Claim an Award

We post Notices of Covered Action for each SEC action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.

The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the SEC opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case.

Subject to the Final Rules, individuals who voluntarily provided the SEC with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award.

Once a Notice of Covered Action is posted, individuals have 90 calendar days to apply for an award by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action. Please send completed forms to the Office of the Whistleblower by mail at 100 F Street NE, Mail Stop 5631, Washington, DC 20549 or by fax at (703) 813-9322.

Notice of Covered Action Updates

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Mail Stop 5631
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Phone: (202) 551-4790
Fax: (703) 813-9322

Notice of Covered Actions

Published date grouping
Notice No.
Action
Notice Date
Claim Due Date
Published date grouping:November 2017 Notice No.:2017-168

New

Action:

SEC v. Dwight Shane Baldwin and Silverleaf Financial, LLC
Case Number: 15-cv-00458 (United States District Court for the District of Utah)
Date Filed: June 25, 2015
Date of Qualifying Judgment/Order: October 12, 2017

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:November 2017 Notice No.:2017-167

New

Action:

In the Matter of Henry Lin-Han Jan
Administrative Proceeding File No.: 3-18267
Date Filed: October 26, 2017
Date of Qualifying Judgment/Order: October 26, 2017

In the Matter of Artemus Mayor
Administrative Proceeding File No.: 3-18268
Date Filed: October 26, 2017
Date of Qualifying Judgment/Order: October 26, 2017

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:November 2017 Notice No.:2017-166

New

Action:

SEC v. Renwick Haddow, Bar Works, Inc., Bar Works 7th Avenue, Inc., and Bitcoin Store, Inc.
Case Number: 16-cv-04950 (United States District Court for the Southern District of New York)
Date Filed: June 30, 2017
Date of Qualifying Judgment/Order: October 20, 2017

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:November 2017 Notice No.:2017-165

New

Action:

SEC v. Haena Park
Case Number: 16-cv-04103 (United States District Court for the Southern District of New York)
Date Filed: June 2, 2016
Date of Qualifying Judgment/Order: September 25, 2017
 

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:November 2017 Notice No.:2017-164

New

Action:

In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-18270
Date Filed: October 27, 2017
Date of Qualifying Judgment/Order: October 27, 2017
 

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:November 2017 Notice No.:2017-163

New

Action:

SEC v. The Leonard Vincent Group, Leonard Vincent Lombardo, and Brian A. Hudlin
Case Number: 17-cv-05723 (United States District Court for the Eastern District of New York)
Date Filed: September 29, 2017
Date of Qualifying Judgment/Order: October 11, 2017

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:November 2017 Notice No.:2017-162

New

Action:

SEC v. International Stock Transfer, Inc., and Cecil Franklin Speight
Case Number: 14-cv-04435 (United States District Court for the Eastern District of New York)
Date Filed: July 23, 2014
Date of Qualifying Judgment/Order: October 6, 2017

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:November 2017 Notice No.:2017-161

New

Action:

SEC v. JustInfo LLC, David Weddle, and Scott Allensworth
Case Number: 17-cv-07426 (United States District Court for the Central District of California)
Date Filed: October 11, 2017
Date of Qualifying Judgment/Order: October 25, 2017
 

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:November 2017 Notice No.:2017-160

New

Action:

In the Matter of Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.), John T. Porter, and Thomas F. Duszynski, CPA
Administrative Proceeding File No.: 3-17740
Date Filed: October 26, 2017
Date of Qualifying Judgment/Order: October 26, 2017

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:November 2017 Notice No.:2017-159

New

Action:

SEC v. The Estate of Vincent James Saviano and Palmetto Investments, LLC
Case Number: 14-cv-13902 (United States District Court for the Eastern District of Michigan)
Date Filed: October 9, 2014
Date of Qualifying Judgment/ Order: October 6, 2017

Notice Date:11/30/2017 Claim Due Date:02/28/2018
Published date grouping:October 2017 Notice No.:2017-158 Action:

SEC v. Louis Martin Blazer, III
Case Number: 16-cv-03384 (United States District Court for the Southern District of New York)
Date Filed: May 6, 2017
Date of Qualifying Judgment/Order: August 4, 2017

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-157 Action:

SEC v. Edward Bronson and E-Lionheart Associates, LLC d/b/a Fairhills Capital
Case Number: 12-cv-06421(United States District Court for the Southern District of New York)
Date Filed: August 22, 2012
Date of Qualifying Judgment/Order: August 28, 2017

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-156 Action:

SEC v. Charles C. Liu; Xin Wang a/k/a Lisa Want; Pacific Proton Therapy Regional Center, LLC; Pacific Proton EB-5 Fund, LLC; and Beverly Proton Center, LLC f/k/a Los Angeles Country Proton Therapy, LLC
Case Number: 16-cv-00974 (United States District Court for the Central District of California)
Date Filed: May 26, 2016
Date of Qualifying Judgment/Order: April 20, 2017
 

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-155 Action:

In the Matter of Platinum Equity Advisors, LLC
Administrative Proceeding File No.: 3-18194
Date Filed: September 21, 2017
Date of Qualifying Judgment/Order: September 21, 2017

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-154 Action:

SEC v. Peter L. Jensen and Thomas C. Tekulve, Jr.
Case Number: 11-cv-05316 (United States District Court for the Central District of California)
Date Filed: June 24, 2011
Date of Qualifying Judgment/Order: September 13, 2017

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-153 Action:

In the Matter of Telia Company AB
Administrative Proceeding File No.: 3-18195
Date Filed: September 21, 2017
Date of Qualifying Judgment/Order: September 21, 2017

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-152 Action:

SEC v. Ahmad Fnaikher Alyasin and Optima Global Financial, Inc.
Case Number: 15-cv-00566 (United States District Court for the Southern District of Texas)
Date Filed: March 3, 2015
Date of Qualifying Judgment/Order: September 26, 2017
 

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-151 Action:

SEC v. James G. Temme, and Stewardship Funds, LP
Case Number: 11-cv-00655 (United States District Court for the Eastern District of Texas)
Date Filed: October 14, 2011
Date of Qualifying Judgment/Order: September 12, 2017
 

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-150 Action:

SEC v. Thomas Abdallah (a.k.a. Tom Abraham), Kenneth Grant, KGTA Petroleum, Ltd., Mark M. George, Jeffrey L. Gainer, and Jerry A. Cicolani, Jr.
Case Number: 14-cv-01155 (United States District Court for the Northern District of Ohio)
Date Filed: May 29, 2014
Date of Qualifying Judgment/Order: September 26, 2017
 

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-149 Action:

In the Matter of Alere Inc.
Administrative Proceeding File No.: 3-18228
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: September 28, 2017
 

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-148 Action:

SEC v. Aegerion Pharmaceuticals, Inc.
Case Number: 17-cv-11817 (United States District Court for the District of Massachusetts)
Date Filed: September 22, 2017
Date of Qualifying Judgment/Order: September 25, 2017
 

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-147 Action:

In the Matter of SunTrust Investment Services, Inc.
Administrative Proceeding File No.: 3-18178
Date Filed: September 14, 2017
Date of Qualifying Judgment/Order: September 14, 2017
 

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:October 2017 Notice No.:2017-146 Action:

SEC v. Optimum Income Property, LLC, Optimum Property Investments, LLC and Frank E. Lleras
Case Number: 16-cv-00073 (United States District Court for the Western District of North Carolina)
Date Filed: February 10, 2016
Date of Qualifying Judgment/Order: September 8, 2017

Notice Date:10/31/2017 Claim Due Date:01/29/2018
Published date grouping:September 2017 Notice No.:2017-145 Action:

SEC v. Wensheng Lin and Sheng Li Chen
Case Number: 17-cv-03054 (United States District Court for the Southern District of New York)
Date Filed: April 26, 2017
Date of Qualifying Judgment/Order: August 25, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-144 Action:

In the Matter of Banca IMI Securities Corp.
Administrative Proceeding File No.: 3-18118
Date Filed: August 18, 2017
Date of Qualifying Judgment/Order: August 18, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-143 Action:

SEC v. Jay Belson, Smarte Real Estate Investments, Inc., Jack Rockman, LLC, John Blackstone LLC, Residence at St. Ives, LLC, and Bellagio Place Residence, LLC
Case Number: 17-cv-05953(United States District Court for the Central District of California)
Date Filed: August 10, 2017
Date of Qualifying Judgment/Order: August 15, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-142 Action:

SEC v. Hui Feng and Law Offices of Feng & Associates P.C.
Case Number: 15-cv-09420 (United States District Court for the Central District of California)
Date Filed: December 7, 2015
Date of Qualifying Judgment/Order: August 11, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-141 Action:

In the Matter of Vertical Capital Asset Management, LLC, Vertical Fund Group, Inc., Vertical Recovery Management, LLC, Gustavo A. Altuzarra, and Christopher R. Chase
Administrative Proceeding File No.: 3-18125
Date Filed: August 22, 2017
Date of Qualifying Judgment/Order: August 22, 2017
 

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-140 Action:

In the Matter of Deerfield Management Company, L.P.
Administrative Proceeding File No.: 3-18120
Date Filed: August 21, 2017
Date of Qualifying Judgment/Order: August 21, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-139 Action:

SEC v. Inteligentry, Ltd., PlasmERG, Inc., and John P. Rohner
Case Number: 13-cv-00344 (United States District Court for the District of Nevada)
Date Filed: February 28, 2013
Date of Qualifying Judgment/Order: July 17, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-138 Action:

SEC v. Darrell Glenn Hardaway and Hardaway Net-Works, Inc.
Case Number: 17-cv-00529 (United States District Court for the Southern District of Texas)
Date Filed: February 17, 2017
Date of Qualifying Judgment/Order: August 11, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-137 Action:

SEC v. Hidalgo Mining Corp., John W. Boyer, and Joshua F. McAlees
Case Number: 17-cv-80916 (United States District Court for the Southern District of Florida)
Date Filed: August 4, 2017
Date of Qualifying Judgment/Order: August 15, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-136 Action:

In the Matter of Allen Chi
Administrative Proceeding File No.: 3-18121
Date Filed: August 21, 2017
Date of Qualifying Judgment/Order: August 21, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-128 Action:

In the Matter of KPMG LLP and John Riordan, CPA
Administrative Proceeding File No.: 3-18110
Date Filed: August 15, 2017
Date of Qualifying Judgment/Order: August 15, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-129 Action:

In the Matter of Ironridge Global Partners, LLC, and Ironridge Global IV, Ltd.
Administrative Proceeding File No.: 3-16649
Date Filed: August 21, 2017
Date of Qualifying Judgment/Order: August 21, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-130 Action:

SEC v. Southridge Capital Management LLC, Southridge Advisors LLC, and Stephen M. Hicks
Case Number: 10-cv-01685 (United States District Court for the District of Connecticut)
Date Filed: October 25, 2010
Date of Qualifying Judgment/Order: August 3, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-131 Action:

In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC, and State Street Bank and Trust Company 
Administrative Proceeding File No.: 3-18159
Date Filed: September 7, 2017
Date of Qualifying Judgment/Order: September 7, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-132 Action:

In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-18158
Date Filed: September 7, 2017
Date of Qualifying Judgment/Order: September 7, 2017
 

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-133 Action:

SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino “Dino” Paolucci, Jr., and Don L. Rose
Case Number: 16-cv-05176 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order:  August 10, 2017
 

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-134 Action:

SEC v. Donald J. Lester, Rubicon Alliance, LLC, CFI Fund, LLC, and NuPower, LLC
Case Number: 15-cv-02301 (United States District Court for the District of Colorado)
Date Filed: October 16, 2015
Date of Qualifying Judgment/Order: July 26, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:September 2017 Notice No.:2017-135 Action:

In the Matter of Coachman Energy Partners LLC and Randall D. Kenworthy
Administrative Proceeding File No.: 3-18109
Date Filed: August 14, 2017
Date of Qualifying Judgment/Order: August 14, 2017

Notice Date:09/29/2017 Claim Due Date:12/28/2017
Published date grouping:August 2017 Notice No.:2017-123 Action:

SEC v. Trudy R. Gilmond
Case Number: 15-cv-00591 (United States District Court for the Western District of North Carolina)
Date Filed: December 4, 2015
Date of Qualifying Judgment/Order: June 21, 2017

Notice Date:08/31/2017 Claim Due Date:11/29/2017
Published date grouping:August 2017 Notice No.:2017-122 Action:

SEC v. Andrew I. Farmer, Charles E. Grob, Jr., Carolyn Austin, Baldemar P. Rios, and Chimera Energy Corp.
Case Number: 14-cv-02345 (United States District Court for the Southern District of Texas)
Date Filed: August 14, 2014
Date of Qualifying Judgment/Order: July 18, 2017

Notice Date:08/31/2017 Claim Due Date:11/29/2017
Published date grouping:August 2017 Notice No.:2017-121 Action:

SEC v. Joey Stanton Dodson
Case Number: 17-cv-05520 (United States District Court for the Central District of California)
Date Filed: July 26, 2017
Date of Qualifying Judgment/Order: July 27, 2017

Notice Date:08/31/2017 Claim Due Date:11/29/2017
Published date grouping:August 2017 Notice No.:2017-120 Action:

SEC v. Thomas J. Lawler and Freedom Foundation USA LLC dba Freedom Club USA
Case Number: 14-cv-02468 (United States District Court for the Northern District of Georgia)
Date Filed: July 31, 2014
Date of Qualifying Judgment/Order: June 29, 2017

Notice Date:08/31/2017 Claim Due Date:11/29/2017
Published date grouping:August 2017 Notice No.:2017-124 Action:

SEC v. Christopher J. Hall
Case Number: 15-cv-23489 (United States District Court for the Southern District of Florida)
Date Filed: September 17, 2015
Date of Qualifying Judgment/Order: June 29, 2017

Notice Date:08/31/2017 Claim Due Date:11/29/2017
Published date grouping:August 2017 Notice No.:2017-125 Action:

In the Matter of Halliburton Company and Jeannot Lorenz
Administrative Proceeding File No.: 3-18080
Date Filed: July 27, 2017
Date of Qualifying Judgment/Order: July 27, 2017

Notice Date:08/31/2017 Claim Due Date:11/29/2017
Published date grouping:August 2017 Notice No.:2017-126 Action:

SEC v. Marcus A Luna, Norrell L. Walker, Paul L. Gomez, and Dustin S. Smith
Case Number: 16-cv-07333 (United States District Court for the Central District of California)
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: July 19, 2017

Notice Date:08/31/2017 Claim Due Date:11/29/2017
Published date grouping:August 2017 Notice No.:2017-127 Action:

In the Matter of Cadaret, Grant & Co., Inc.
Administrative Proceeding File No.: 3-18087
Date Filed: August 1, 2017
Date of Qualifying Judgment/Order:  August 1, 2017

Notice Date:08/31/2017 Claim Due Date:11/29/2017
Published date grouping:July 2017 Notice No.:2017-118 Action:

SEC v. Marc D. Broidy and Broidy Wealth Advisors, LLC
Case Number: 16-cv-05960 (United States District Court for the Eastern District of New York)
Date Filed: October 27, 2016
Date of Qualifying Judgment/Order: May 30, 2017
 

Notice Date:07/31/2017 Claim Due Date:10/29/2017
Published date grouping:July 2017 Notice No.:2017-117 Action:

SEC v. Sigma Capital Management, LLC
Case Number: 13-cv-01740 (United States District Court for the Southern District of New York)
Date Filed: March 19, 2013
Date of Qualifying Judgment/Order: March 29, 2013

Notice Date:07/31/2017 Claim Due Date:10/29/2017
Published date grouping:July 2017 Notice No.:2017-116 Action:

SEC v. Renato Rodriguez and Gutemberg Dos Santos
Case Number: 17-cv-00375 (United States District Court for the Central District of California)
Date Filed: March 2, 2017
Date of Qualifying Judgment/Order: June 8, 2017

Notice Date:07/31/2017 Claim Due Date:10/29/2017
Published date grouping:July 2017 Notice No.:2017-115 Action:

SEC v. Yu-Cheng Lin, a/k/a Believe Lin
Case Number: 17-cv-00875 (United States District Court for the District of New Jersey)
Date Filed: February 9, 2017
Date of Qualifying Judgment/Order: June 14, 2017

Notice Date:07/31/2017 Claim Due Date:10/29/2017
Published date grouping:July 2017 Notice No.:2017-114 Action:

SEC v. Ascenergy LLC and Joseph (a/k/a Joey) Gabaldon
Case Number: 15-cv-01974 (United States District Court for the District of Nevada)
Date Filed: October 13, 2015
Date of Qualifying Judgment/Order: May 23, 2017

Notice Date:07/31/2017 Claim Due Date:10/29/2017
Published date grouping:July 2017 Notice No.:2017-113 Action:

SEC v. Kingdom Legacy General Partner, LLC and Mark C. Northrop
Case Number: 16-cv-00441 (United States District Court for the Middle District of Florida)
Date Filed: June 7, 2016
Date of Qualifying Judgment/Order: June 6, 2017

Notice Date:07/31/2017 Claim Due Date:10/29/2017
Published date grouping:July 2017 Notice No.:2017-112 Action:

SEC v. Thomas D. Melvin, Michael S. Cain, Joel C. Jinks and Peter C. Doffing
Case Number: 12-cv-02984 (United States District Court for the Northern District of Georgia)
Date Filed: August 30, 2012
Date of Qualifying Judgment/Order: June 22, 2017

Notice Date:07/31/2017 Claim Due Date:10/29/2017
Published date grouping:July 2017 Notice No.:2017-119 Action:

In the Matter of Joel Corenman
Administrative Proceeding File No.: 3-17910
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Galena Biopharma, Inc. and Mark J. Ahn
Administative Proceeding File No.: 3-17911
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Craig Keolanui
Administrative Proceeding File No.: 3-17913
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Lion Biotechnologies, Inc.
Administative Proceeding File No.: 3-17914
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Edward Borrelli and Dunedin, Inc.
Administrative Proceeding File No.: 3-17915
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Stephen Ramey
Administrative Proceeding File No.: 3-17916
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC
Administative Proceeding File No.: 3-17917
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Ciaran Thornton
Administrative Proceeding File No.: 3-17918
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Manish Singh and Lavos, LLC
Administative Proceeding File No.: 3-17920
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Christopher French
Administative Proceeding File No.: 3-17921
Date of Qualifying Judgment/Order: April 10, 2017

Notice Date:07/31/2017 Claim Due Date:10/29/2017
Published date grouping:June 2017 Notice No.:2017-111 Action:

SEC v. Charles C. Slowey, Jr. Endeavor Partners, LLC; Endeavor Capital Management Group, LLC; Edward D. Puttick, Sr.; Advanced Planning Securities, Inc. Gregory L. Oldham; Glenn R. Harris; and Oldham Harris, Inc.
Case Number: 09-cv-04547 (United States District Court for the Eastern District of New York)
Date Filed: October 27, 2009
Date of Qualifying Judgment/Order: October 22, 2012

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-110 Action:

SEC v. Diversified Lending Group, Inc.; Applied Equities, Inc. and Bruce Friedman
Case Number: 09-cv-01533 (United States District Court for the Central District of California)
Date Filed: March 4, 2009
Date of Qualifying Judgment/Order: July 13, 2015

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-109 Action:

SEC v. Serofim Muroff, Blackhawk Manager, LLC, ISR Capital, LLC, Equity Recap Account, LLC and Debra L. Riddle
Case Number:17-cv-00180 (United States District Court for the District of Idaho)
Date Filed: April 28, 2017
Date of Qualifying Judgment/Order: May 10, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-108 Action:

In the Matter of Miles S. Nadal
Administrative Proceeding File No.: 3-17980
Date Filed: May 11, 2017
Date of Qualifying Judgment/Order: May 11, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-107 Action:

SEC v. Leon G. Cooperman and Omega Advisors, Inc.
Case Number: 16-cv-05043 (United States District Court for the Eastern District of Pennsylvania )
Date Filed: September 22, 2016
Date of Qualifying Judgment/Order: May 22, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-106 Action:

SEC v. William R. Schantz III and Verto Capital Management LLC
Case Number: 17-cv-03115 (United States District Court for the District of New Jersey)
Date Filed: May 4, 2017
Date of Qualifying Judgment/Order: May 8, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-105 Action:

In the Matter of Barclays Capital, Inc.
Administrative Proceeding File No.: 3-17978
Date Filed: May 10, 2017
Date of Qualifying Judgment/Order:  May 10, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-104 Action:

SEC v. BIC Real Estate Development Corporation and Daniel R. Nase, indivudally and d/b/a Bakersfield Investment Club
Case Number: 16-cv-00344 (United States District Court for the Eastern District of California)
Date Filed: March 11, 2016
Date of Qualifying Judgment/Order: May 4, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-103 Action:

SEC v. Iat Hong, Bo Zheng, and Hung Chin
Case Number: 16-cv-09947 (United States District Court for the Southern District of New York)
Date Filed: December 28, 2016
Date of Qualifying Judgment/Order: May 5, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-102 Action:

In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-17953
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017

In the Matter of Yoon Seok Lee
Administrative Proceeding File No.: 3-17954
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017

In the Matter of David F. Wong
Administrative Proceeding File No.: 3-17955
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-101 Action:

SEC v. Carl Keith Battie
Case Number: 17-cv-01113 (United States District Court for the Northern District of Texas)
Date Filed:  April 27, 2017
Date of Qualifying Judgment/Order: May 19, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-100 Action:

SEC v. Seth Eber, Howard Ettelman, Ronny J. Halperin, Charles Hansen, III, Melissa K. Rice, Luz Rodriguez, and Kevin D. Sepe
Case Number: 12-cv-21653 (United States District Court for the Southern District of Florida)
Date Filed:  May 2, 2012
Date of Qualifying Judgment/Order: July 6, 2012

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-99 Action:

SEC v. Homero Joshua Garza, GAW Miners, LLC and ZenMiner (d/b/a Zen Cloud)
Case Number: 15-cv-01760 (United States District Court for the District of Connecticut)
Date Filed: December 1, 2015
Date of Qualifying Judgment/Order: June 2, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-98 Action:

SEC v. TelexFree, Inc., TelexFree, LLC, James M. Merrill, Carlos N. Wanzeler, Steven M. Labriola, Joseph H. Craft, Sanderley Rodrigues de Vasconcelos, Santiago de al Rosa, Randy N. Crosby and Faith R. Sloan
Case Number: 14-cv-11858 (United States District Court for the District of Massachusetts)
Date Filed: April 15, 2014
Date of Qualifying Judgment/Order: May 17, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:June 2017 Notice No.:2017-97 Action:

SEC v. Francisco Illarramendi and Michael Kenwood Capital Management, LLC
Case Number: 11-cv-00078 (United States District Court for the District of Connecticut)
Date Filed: January 14, 2011
Date of Qualifying Judgment/Order: May 24, 2017

Notice Date:06/30/2017 Claim Due Date:09/28/2017
Published date grouping:May 2017 Notice No.:2017-96 Action:

In the Matter of MagnaChip Semiconductor Corporation and Maragret Hye-Ryoung Sakai, CPA 
Administative Proceeding File No.: 3-17956
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-95 Action:

In the Matter of BlackRock Fund Advisors 
Administative Proceeding File No.: 3-17942
Date Filed: April 25, 2017
Date of Qualifying Judgment/Order: April 25, 2017  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-94 Action:

In the Matter of Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. 
Administative Proceeding File No.: 3-17964
Date Filed: May 2, 2017
Date of Qualifying Judgment/Order: May 2, 2017  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-93 Action:

SEC v. McGinn Smith & Co., Inc., McGinn Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes LLC, Third Albany Income Notes, LLC, Timothy M. McGinn, David L. Smith, Lynn A. Smith, Geoffrey R. Smith, Lauren T. Smith, and Nancy McGinn 
Case Number: 10-cv-00457 (United States District Court for the Northern District of New York)
Date Filed: April 20, 2010
Date of Qualifying Judgment/Order: July 8, 2015  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-92 Action:

SEC v. Scott Allen and John Michael Bennett 
Case Number: 11-cv-06443 (United States District Court for the Southern District of New York)
Date Filed: September 15, 2011
Date of Qualifying Judgment/Order: April 4, 2017  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-91 Action:

SEC v. Janus Spectrum LLC; David Alcorn; Kent Maerki; Dominion Private Client Group, LLC; Janus Spectrum Group, LLC; Spectrum Management, LLC; Spectrum 100, LLC; Spectrum 100 Management, LLC; Prime Spectrum, LLC; Prime Spectrum Management, LLC; Daryl G. Bank; Premier Spectrum Group, PMA; Bobby D. Jones; Innovative Group, PMA; Premier Group, PMA; Prosperity Group, PMA; Terry W. Johnson; and Raymon G. Chadwick, Jr. 
Case Number: 15-cv-00609 (United States District Court for the District of Arizona)
Date Filed: April 9, 2015
Date of Qualifying Judgment/Order: April 27, 2017  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-90 Action:

SEC v. Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese 
Case Number: 03-cv-01514 (United States District Court for the District of Arizona)
Date Filed: December 4, 2003
Date of Qualifying Judgment/Order: February 14, 2017

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-89 Action:

SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler 
Case Number: 17-cv-00243 (United States District Court for the District of South Carolina)
Date Filed: January 26, 2017
Date of Qualifying Judgment/Order: April 24, 2017  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-87 Action:

SEC v. Michael Andre Jones 
Case Number: 17-cv-02413 (United States District Court for the Central District of California)
Date Filed: March 29, 2017
Date of Qualifying Judgment/Order: April 5, 2017  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-86 Action:

SEC v. Provident Capital Indemnity, LTD., Minor Vargas Calvo, and Jorge L. Castillo 
Case Number: 11-cv-00045 (United States District Court for the Eastern District of Virginia)
Date Filed: January 19, 2011
Date of Qualifying Judgment/Order: July 10, 2012  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-85 Action:

SEC v. Todd Farha, Paul Behrens, and Thaddeus Bereday 
Case Number: 12-cv-00047 (United States District Court for the Middle District of Florida)
Date Filed: January 09, 2012
Date of Qualifying Judgment/Order: April 17, 2017

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-88 Action:

In the Matter of Credit Suisse Securities (USA) LLC 
Administrative Proceeding File No: 3-17899
Date Filed: April 4, 2017
Date of Qualifying Judgment/ Order: April 4, 2017;

In the Matter of Sanford Michael Katz
Administrative Proceeding File No.: 3-17900
Date Filed: April 4, 2017
Date of Qualifying Judgment/Order: April 4, 2017

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-84 Action:

SEC v. Mercury Interactive, LLC (F/K/A Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer 
Case Number: 07-cv-02822 (United States District Court for the Northern District of California)
Date Filed: May 31, 2007
Date of Qualifying Judgment/Order: February 21, 2013

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-83 Action:

SEC v. Jeffrey A. McCollum and JNL Oilfield Instruments, LLC 
Case Number: 16-cv-00282 (United States District Court for the Western District of Texas)
Date Filed: July 27, 2016
Date of Qualifying Judgment/Order: April 11, 2017

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-82 Action:

SEC v. Marco A. Ramirez; Bebe Ramirez; USA Now, LLC, USA Now Energy Capital Group, LP; and Now Co. Loan Services LLC 
Case Number: 13-cv-00531 (United States District Court for the Southern District of Texas)
Date Filed: September 30, 2013
Date of Qualifying Judgment/Order: March 31, 2017  

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-81 Action:

In the Matter of William Blair & Company, LLC 
Administrative Proceeding File No.: 3-17960
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:May 2017 Notice No.:2017-80 Action:

SEC v. Thomas J. Connerton and Safety Technologies, LLC 
Case Number: 16-cv-00882 (United States District Court for the District of Connecticut)
Date Filed: June 8, 2016
Date of Qualifying Judgment/Order: April 4, 2017

Notice Date:05/31/2017 Claim Due Date:08/29/2017
Published date grouping:April 2017 Notice No.:2017-79 Action:

In the Matter of Voya Financial Advisors, Inc. 
Administative Proceeding File No.: 3-17870
Date Filed: March 8, 2017
Date of Qualifying Judgment/Order: March 8, 2017  

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-78 Action:

SEC v. Path America, LLC; Path America SnoCo LLC; Path America Farmer's Market, LP; Path America KingCo LLC; Path America Tower, LP; Path Tower Seattle, LP; Potala Tower Seattle, LLC; and Lobsang Dargey 
Case Number: 15-cv-01350 (United States District Court for the Western District of Washington)
Date Filed: August 24, 2015
Date of Qualifying Judgment/Order: March 3, 2017  

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-77 Action:

In the Matter of Bennett Group Financial Services, LLC, and Dawn J. Bennett 
Adminstrative Proceeding File No.: 3-16801
Date Filed: September 9, 2015
Date of Qualifying Judgment/Order: March 30, 2017 

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-76 Action:

In the Matter of Louis Capital Markets, LP 
Adminstrative Proceeding File No.: 3-17890
Date Filed: March 29, 2017
Date of Qualifying Judgment/Order: March 29, 2017

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-75 Action:

SEC vs. Gregory W. Gray, Jr., Archipel Capital LLC, BIM Management LP 
Case Number: 15-cv-01465 (United States District Court for the Southern District of New York)
Date Filed: Feburary 27, 2015 
Date of Qualifying Judgment/Order: January 10, 2017  

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-74 Action:

SEC vs. Harold Bailey "B.J." Gallison, II (A.K.A. Bart Williams, Moneyline Brokers, Bastille Advisors, Inc., Club Consultants Inc., Jurojin, Inc., Sandias Azucaradas CR, S.A., Vanilla Sky, S.A., Roger G. Coleman, Sr., Ann "Anna" M. Hiskey, Robin M. Rushing, David K. Rushing, Michael J. Randles, Warrior Girl Corp., Carl H. Kruse, Sr., Carl H. Kruse Jr., (A.K.A. Carl Kruse-Velasquez), Allan M. Migdall, Nature's Peak F.K.A. Everock, Inc., Frank J. Zangara, Mark S. Dresner, Charles "Chuck" S. Moeller, Robert S. Oppenheimer, Antonio ("Tony" or "Anthony") J. Katz, Richard S. Roon, Fryn Canyon Corporation, L.F. Technology Group LLC, Starburst Innovations LLC, Tachion Projects, Inc., B.H.I. Group, Inc., U D F Consulting Inc., Digital Edge Marketing LLC, Core Business One, Inc., Spectrum Research Group Inc., Oceanic Consulting LLC, and Akat Global LLC 
Case Number: 15-cv-05456 (United States District Court for the Southern District of New York)
Date Filed: July 15, 2015
Date of Qualifying Judgment/Order: March 10, 2017

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-73 Action:

SEC v. Warren D. Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC 
Case Number: 11-cv-00215 (United States District Court for the Eastern District of New York)
Date Filed: January 14, 2011
Date of Qualifying Judgment/Order: January 20, 2017 

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-72 Action:

SEC v. Steve Chen, USFIA, Inc., Alliance Financial Group, Inc., Amauction, Inc., Aborell MGMT I, LLC, Aborell Advisors I, LLC, Aborell REIT II, LLC, Ahome Real Estate, LLC, Alliance NGN, Inc., Apollo REIT I, Inc., Apollo REIT II, LLC, Amkey Inc., US China Consultation Association, and Quail Ranch Golf Course, LLC 
Case Number: 15-cv-07425 (United States District Court for the Central District of California)
Date Filed: September 29, 2015
Date of Qualifying Judgment/Order: March 16, 2017

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-71 Action:

SEC v. Notis Global, Inc. (f/k/a MedBox, Inc.), Vincent Mehdizadeh, Bruce Bedrick, Yocelin Legaspi, and New-Age Investment Consulting, Inc. 
Case Number: 17-cv-01905 (United States District Court for the Central District of California)
Date Filed: March 9, 2017
Date of Qualifying Judgment/Order: March 22, 2017  

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-70 Action:

SEC v. Nathan Halsey and TexStar Oil Co., Ltd. 
Case Number: 16-cv-00450 (United States District Court for the Northern District of Texas)
Date Filed: February 17, 2016
Date of Qualifying Judgment/Order: March 20, 2017  

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-69 Action:

SEC v. Arcturus Corporation, Aschere Energy, LLC, Leon Ali Parvizian a/k/a Alex Parvizian, Alfredo Gonzalez, AMG Energy, LLC, Robert J. Balunas, and R. Thomas & Co., LLC 
Case Number: 13-cv-04861 (United States District Court for the Northern District of Texas)
Date Filed: December 12, 2013
Date of Qualifying Judgment/Order: March 2, 2017  

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-68 Action:

In the Matter of Sheldon Rose and MKJJ Consulting LLC  
Administrative Proceeding File No.: 3-17559 
Date Filed: March 23, 2017
Date of Qualifying Judgment/Order: March 23, 2017

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-65 Action:

SEC v. Mark A. Jones
Case Number: 16-cv-10524 (United States District Court for the District of Massachusetts)
Date Filed: March 15, 2016
Date of Qualifying Judgment/Order: March 28, 2017

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-66 Action:

SEC v. Oscar F. Villarreal 
Case Number: 14-cv-01891 (United States District Court for the Northern District of Ohio)
Date Filed: August 26, 2014
Date of Qualifying Judgment/Order: March 16, 2017

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-67 Action:

SEC v. Clayton A. Cohn and Marketaction Advisors, LLC 
Case Number: 13-cv-05586 (United States District Court for the Northern District of Illinois)
Date Filed: August 6, 2013
Date of Qualifying Judgment/Order: March 30, 2017

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-64 Action:

SEC v. Matthew E. White, Rodney A. Zehner, Daniel J. Merandi, White Investment Groups and Equities, LLC, the Grand Empire Palace and Resort, LLC, GEPR Investments Trust No. 1, GEPR Investments, LLC, M&M Financial, LLC, and Mountaineer Development & Construction Group, LLC
Case Number: 16-cv-02715 (United States District Court for the Northern District of Georgia)
Date Filed: July 27, 2016
Date of Qualifying Judgment/Order: March 21, 2017

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:April 2017 Notice No.:2017-63 Action:

SEC v. Lonny S. Bernath
Case number: 15-cv-00485 (United States District Court for the Western District of North Carolina)
Date Filed: October 13, 2015
Date of Qualifying Judgment/Order: March 8, 2017

Notice Date:04/28/2017 Claim Due Date:07/27/2017
Published date grouping:March 2017 Notice No.:2017-58 Action:

SEC v. Bruce A. Cole
Case Number: 12-cv-08024 (United States District Court for the Central District of California)
Date Filed: September 18, 2012
Date of Qualifying Judgment/Order: February 10, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-59 Action:

SEC v. Robert Seibert, a.k.a. John Grey
Case Number: 15-cv-09331 (United States District Court for the Central District of California)
Date Filed: December 2, 2015
Date of Qualifying Judgment/Order: February 6, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-60 Action:

SEC v. Jason Cope, Izak Zirk de Maison (F/K/A Izak Zirk Engelbrecht), Gregory Goldstein, Stephen Wilshinsky, Talman Harris, William Scholander, Jack Tagliaferro, Victor Alfaya, Justin Esposito, Kona Jones Barbera, Louis Mastromatteo, Angelique de Maison, Trish Malone, Kieran T. Kuhn, Peter Voutsas, Ronald Loshin, Gepco, Ltd., Sunatco Ltd., Suprafin Ltd., Worldbridge Partners, Traverse International, and Small Cap Resource Corp.
Case Number: 14-cv-07575 (United States District Court for the Southern District of New York)
Date Filed: September 18, 2014 (amended complaint filed June 15, 2015)
Date of Qualifying Judgment/Order: February 7, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-61 Action:

SEC v. Raymond H. Barton, William G. Goode, Mathew Charles Briggs, Kenneth Manzo, and Justin Sindelman
Case Number: 17-cv-00403 (United States District Court for the Eastern District of New York)
Date Filed: January 25, 2017
Date of Qualifying Judgment/Order: February 6, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-62 Action:

SEC v. Paul A. Garcia, Caliber Capital Management, LLC, Partner Medical Solutions, LLC, Richard T. Woods, and Caliber Partnership I, LLC
Case Number: 17-cv-00174 (United States District Court for the Central District of California)
Date Filed: February 1, 2017
Date of Qualifying Judgment/Order: February 8, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-57 Action:

In the Matter of SLRA Inc. as successor entity to Liquid Realty Advisors III, LLC and Scott M. Landress
Administrative Proceeding File No.: 3-17826
Date Filed: February 7, 2017
Date of Qualifying Judgment/Order: February 7, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-49 Action:

In the Matter of Thomas R. Stanley, II
Administrative Proceeding File No.: 3-17844
Date Filed: February 13, 2017
Date of Qualifying Judgment/Order: February 13, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-50 Action:

SEC v. Brian S. Hudnall and JBH Consulting Group LLC
Case Number: 17-cv-00059 (United States District Court for the Western District of Missouri)
Date Filed: January, 27, 2017
Date of Qualifying Judgment/Order: February 9, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-51 Action:

SEC v. Braskem S.A.
Case Number: 16-cv-02488 (United States District Court for the District of Columbia)
Date Filed: December 21, 2016
Date of Qualifying Judgment/Order: February 28, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-52 Action:

In the Matter of Jay T. Comeaux
Administrative Proceeding File No.: 3-15002
Date Filed: August 31, 2012
Date of Qualifying Judgment/Order: February 17, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-53 Action:

SEC v. Harrison Schumacher; Paul Mysyk; Quaneco, LLC; and Quantum Energy, LLC
Case Number: 15-cv-06388 (United States District Court for the Central District of California)
Date Filed: August 25, 2015
Date of Qualifying Judgment/Order: February 21, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-54 Action:

In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin
Administrative Proceeding File No.: 3-17807
Date Filed: January 23, 2017
Date of Qualifying Judgment/Order: January 23,2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-55 Action:

In the Matter of Angel Oak Capital Partners, LLC, Peraza Capital & Investment, LLC, Sreeniwas Prabhu, and David W. Wells
Administrative Proceeding File No.: 3-17849
Date Filed: February 16, 2017
Date of Qualifying Judgment/Order: February 16, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:March 2017 Notice No.:2017-56 Action:

In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17845
Date Filed: February 14, 2017
Date of Qualifying Judgment/Order: February 14, 2017

Notice Date:03/31/2017 Claim Due Date:06/29/2017
Published date grouping:February 2017 Notice No.:2017-26 Action:

SEC v. Vu H. Le a/k/a Vinh H. Le, and TeamVinh.com LLC
Case number: 15-cv-04366 (United States District Court for the District of Minnesota)
Case filed: December 15, 2015
Qualifying Judgment/Order: February 1, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-25 Action:

In the Matter of the Bank of New York Mellon Corporation
Administrative Proceeding File No.: 3-17768
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-24 Action:

SEC v. Christopher R. Esposito, Anthony Jay Pignatello, James Gondolfe, Renee Galizio, Lionshare Ventures LLC, and Cannabiz Mobile, Inc.
Case number: 16-cv-10960 (United States District Court for the District of Massachusetts)
Case filed: May 26, 2016
Qualifying Judgment/Order: January 27, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-27 Action:

SEC v. James M. Louks and FiberPoP Solutions, Inc.
Case number: 15-cv-03456 (United States District Court for the District of Minnesota)
Case filed: September 1, 2015
Qualifying Judgment/Order: January 13, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-28 Action:

SEC v. Robert DeWayne Milligan
Case number: 15-cv-07308 (United States District Court for the Central District of California)
Case filed: September 17, 2015
Qualifying Judgment/Order: January 17, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-29 Action:

In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17808
Case filed: January 24, 2017
Qualifying Judgment/Order: January 24, 2017

In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17809
Case filed: January 24, 2017
Qualifying Judgment/Order: January 24, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-30 Action:

SEC v. AJN Investments, LLC and Jason Adam Ogden
Case number: 16-cv-63036 (United States District Court for the Southern District of Florida)
Case filed: December 28, 2016
Qualifying Judgment/Order: January 19, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-31 Action:

In the Matter of Cadbury Limited and Mondelēz International, Inc
Administrative Proceeding File No.: 3-17759
Case filed: January 6, 2017
Qualifying Judgment/Order: January 6, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-32 Action:

In the Matter of Orthofix International N.V.
Administrative Proceeding File No.: 3-17791
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

In the Matter of Jeffrey Hammel, CPA
Administrative Proceeding File No.: 3-17792
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

In the Matter of Brian McCollum
Administrative Proceeding File No.: 3-17793
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

In the Matter of Kenneth Mack and Bryan McMillan
Administrative Proceeding File No.: 3-17794
Case filed: January 18, 2017
Qualifying Judgment/Order:January 18, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-33 Action:

SEC v. Oxford City Football Club, Inc., and Thomas Anthony Guerriero
Case number: 15-cv-62594 (United States District Court for the Southern District of Florida)
Case filed: December 10, 2015
Qualifying Judgment/Order: January 26, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-34 Action:

In the Matter of Citadel Securities LLC
Administrative Proceeding File No.: 3-17772
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-35 Action:

In the Matter of Biomet, Inc.
Administrative Proceeding File No.: 3-17771
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-36 Action:

SEC v. Gregg R. Mulholland
Case number: 15-cv-03668 (United States District Court for the Eastern District of New York)
Case filed: June 23, 2015
Qualifying Judgment/Order: January 11, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-37 Action:

In the Matter of Orthofix International N.V.
Administrative Proceeding File No.: 3-17800
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-38 Action:

In the Matter of Harding Advisory LLC and Wing F. Chau
Administrative Proceeding File No.: 3-15574
Case filed: October 18, 2013
Qualifying Judgment/Order: January 6, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-39 Action:

In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17817
Case filed: January 26, 2017
Qualifying Judgment/Order: January 26, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-40 Action:

In the Matter of ITG Inc.
Administrative Proceeding File No.: 3-17770
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-41 Action:

In the Matter of Allergan, Inc.
Administrative Proceeding File No.: 3-17790
Case filed: January 17, 2017
Qualifying Judgment/Order: January 17, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-42 Action:

In the Matter of L3 Technologies, Inc.
Administrative Proceeding File No.: 3-17769
Case filed: January 11, 2017
Qualifying Judgment/Order: January 11, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-43 Action:

In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17773
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-44 Action:

SEC v. Charles A. Bennett
Case number: 14-cv-09828 (United States District Court for the Southern District of New York)
Case filed: December 15, 2014
Qualifying Judgment/Order: January 10, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-45 Action:

SEC v. Andrew W.W. Caspersen and Irving Place III SPV, LLC
Case number: 16-cv-02249 (United States District Court for the Southern District of New York)
Case filed: March 28, 2016
Qualifying Judgment/Order: January 30, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-46 Action:

SEC v. Timothy S. Durham, James F. Cochran, and Rick D. Snow
Case number: 11-cv-00370 (United States District Court for the Southern District of Indiana)
Case filed: March 16, 2011
Qualifying Judgment/Order: January 18, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-47 Action:

In the Matter of MDC Partners Inc.
Administrative Proceeding File No.: 3-17795
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:February 2017 Notice No.:2017-48 Action:

In the Matter of Sociedad Quimica y Minera de Chile, S.A.
Administrative Proceeding File No.: 3-17774
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017

Notice Date:02/28/2017 Claim Due Date:05/29/2017
Published date grouping:January 2017 Notice No.:2017-23 Action:

SEC v. Randal Kent Hansen, RAHFCO Management Group, LLC, Vincent Puma, and Hudson Capital Partners Corporation
Case number: 13-cv-01403 (United States District Court for the Southern District of New York)
Case filed: March 4, 2013
Qualifying Judgment/Order: May 19, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-22 Action:

In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-17737
Case filed: December 20, 2016
Qualifying Judgment/Order: December 20, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-21 Action:

In the Matter of United Continental Holdings, Inc.
Administrative Proceeding File No.: 3-17705
Case filed: December 2, 2016
Qualifying Judgment/Order: December 2, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-20 Action:

SEC v. David L. Fleet
Case number: 14-cv-06695 (United States District Court for the Western District of New York)
Case filed: December 12, 2014
Qualifying Judgment/Order: December 12, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-19 Action:

In the Matter of Harold D. Garrison
Administrative Proceeding File No.: 3-17713
Case filed: December 7, 2016
Qualifying Judgment/Order: December 7, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-18 Action:

SEC v. Patrick S. Carter, 808 Renewable Energy Corporation, 808 Investments, LLC, Martin J. Kinchloe, Peter Kirkbride, West Coast Commodities, LLC, Thomas A. Flowers, and T.A. Flowers LLC
Case number: 16-cv-02070 (United States District Court for the Central District of California)
Case filed: November 17, 2016
Qualifying Judgment/Order: November 21, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-17 Action:

SEC v. Diverse Financial Corporation, Roy Dekel, and David Kandell
Case number: 15-cv-01746 (United States District Court for the Central District of California) 
Case filed: October 28, 2015
Qualifying Judgment/Order: December 9, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-16 Action:

In the Matter of Pacific Investment Management Company, LLC
Administrative Proceeding File No.: 3-17701
Case filed: December 1, 2016
Qualifying Judgment/Order: December 1, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-15 Action:

SEC v. Yin Nan "Michael" Wang, Wendy Ko, Velocity Investment Group, Inc., Bio Profit Series I, LLC, Bio Profit Series II, LLC, Bio Profit Series III, LLC, Bio Profit Series V, LLC, and Rockwell Realty Management, Inc.
Case number: 13-cv-07553 (United States District Court for the Central District of California)
Case filed: October 15, 2013
Qualifying Judgment/Order: November 30, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-14 Action:

In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-17730
Case filed: December 16, 2016
Qualifying Judgment/Order: December 16, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-13 Action:

SEC v. Edward F. Panos
Case number: 16-cv-02473 (United States District Court for the District of District of Columbia)
Case filed: December 19, 2016
Qualifying Judgment/Order: December 21, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-12 Action:

SEC v. Caledonian Bank, LTD., Caledonian Securities LTD., Clear Water Securities, Inc., Legacy Global Markets S.A., and Verdmont Capital, S.A.
Case number: 15-cv-00894 (United States District Court for the Southern District of New York)
Case filed: February 9, 2015
Qualifying Judgment/Order: November 9, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-11 Action:

In the Matter of General Cable Corporation
Administrative Proceeding File No.: 3-17755
Case filed: December 29, 2016
Qualifying Judgment/Order: December 29, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-10 Action:

In the Matter of General Cable Corporation
Administrative Proceeding File No.: 3-17754
Case filed: December 29, 2016
Qualifying Judgment/Order: December 29, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-9 Action:

In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited
Administrative Proceeding File No.: 3-17746
Case filed: December 22, 2016
Qualifying Judgment/Order: December 22, 2016

In the Matter of Alok Saraf, CA
Administrative Proceeding File No.: 3-17745
Case filed: December 22, 2016
Qualifying Judgment/Order: December 22, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-8 Action:

In the Matter of Dennis Ira Ringer
Administrative Proceeding File No.: 3-17697
Case filed: November 23, 2016
Qualifying Judgment/Order: November 23, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-7 Action:

SEC v. Ash Narayan, The Ticket Reserve Inc. a/k/a/ Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
Case number: 16-cv-01417 (United States District Court for the Northern District of Texas)
Case filed: May 24, 2016
Qualifying Judgment/Order: November 22, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-6 Action:

In the Matter of SandRidge Energy, Inc.
Administrative Proceeding File No.: 3-17739
Case filed: December 20, 2016
Qualifying Judgment/Order: December 20, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-1 Action:

SEC v. John W. Femenia, Shawn C. Hegedus, Danielle C. Laurenti, Coram Real Estate Holding, Inc., Goldstar P.S. Inc., Roger A. Williams, Kenneth M. Raby, Frank M. Burgess, James A. Hayes, Matthew J. Musante, Anthony C. Musante, and Aaron M. Wens
Case number: 12-cv-00803 (United States District Court for the Western District of North Carolina)
Case filed: December 5, 2012
Qualifying Judgment/Order: November 17, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-5 Action:

SEC v. Teva Pharmaceuticals, LTD.
Case number: 16-cv-25298 (United States District Court for the Southern District of Florida)
Case filed: December 22, 2016
Qualifying Judgment/Order: December 29, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-2 Action:

In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-17720
Case filed: December 12, 2016
Qualifying Judgment/Order: December 12, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-4 Action:

SEC v. City of Miami, Florida and Michael Boudreaux
Case number: 13-cv-22600 (United States District Court for the Southern District of Florida)
Case filed: July 19, 2013
Qualifying Judgment/Order: December 6, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:January 2017 Notice No.:2017-3 Action:

SEC v. Interinvest Corporation, Inc., and Hans Peter Black
Case number: 15-cv-12350 (United States District Court for the District of Massachusetts)
Case filed: June 16, 2015
Qualifying Judgment/Order: December 27, 2016

Notice Date:01/31/2017 Claim Due Date:05/01/2017
Published date grouping:December 2016 Notice No.:2016-164 Action:

In the Matter of Credit Suisse AG, Inc.
Administrative Proceeding File No.: 3-17617
Case filed: October 5, 2016
Qualifying Judgment/Order: October 5, 2016

Notice Date:12/31/2016 Claim Due Date:03/31/2017
Published date grouping:December 2016 Notice No.:2016-165 Action:

SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack
Case number: 11-cv-00755 (United States District Court for the Eastern District of Wisconsin)
Case filed: August 10, 2011
Qualifying Judgment/Order: December 6, 2016

Notice Date:12/31/2016 Claim Due Date:03/31/2017
Published date grouping:December 2016 Notice No.:2016-166 Action:

In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Administrative Proceeding File No.: 3-17628
Case filed: October 18, 2016
Qualifying Judgment/Order: October 18, 2016

Notice Date:12/31/2016 Claim Due Date:03/31/2017
Published date grouping:December 2016 Notice No.:2016-167 Action:

In the Matter of JP Morgan Chase & Co.,
Administrative Proceeding File No.: 3-17684
Case filed: November 17, 2016
Qualifying Judgment/Order: November 17, 2016

Notice Date:12/31/2016 Claim Due Date:03/31/2017
Published date grouping:December 2016 Notice No.:2016-168 Action:

In the Matter of Michael L. Reger
Administrative Proceeding File No.: 3-17653
Case filed: October 31, 2016
Qualifying Judgment/Order: October 31, 2016

Notice Date:12/31/2016 Claim Due Date:03/31/2017
Published date grouping:December 2016 Notice No.:2016-169 Action:

In the Matter of Ronald D. Morley and The New Wealth, LLC
Administrative Proceeding File No.: 3-17658
Case filed: November 1, 2016
Qualifying Judgment/Order: November 1, 2016

Notice Date:12/31/2016 Claim Due Date:03/31/2017
Published date grouping:December 2016 Notice No.:2016-170 Action:

SEC v. Embraer, S.A.
Case number: 16-cv-62501 (United States District Court for the Southern District of Florida)
Case filed: October 24, 2016
Qualifying Judgment/Order: October 31, 2016

Notice Date:12/31/2016 Claim Due Date:03/31/2017
Published date grouping:December 2016 Notice No.:2016-171 Action:

SEC v. Southlake Resources Group, LLC, Cody M. Winters, and Nicholas R. Hamilton 
Case number: 16-cv-00992 (United States District Court for the Northern District of Texas)
Case filed: October 24, 2016
Qualifying Judgment/Order: October 27, 2016

Notice Date:12/31/2016 Claim Due Date:03/31/2017
Published date grouping:December 2016 Notice No.:2016-172 Action:

In the Matter of EZTD Inc.
Administrative Proceeding File No.: 3-17673
Case filed: November 10, 2016
Qualifying Judgment/Order: November 10, 2016

Notice Date:12/31/2016 Claim Due Date:03/31/2017
Published date grouping:November 2016 Notice No.:2016-149 Action:

SEC v. Richard Weed, Thomas Brazil and Coleman Flaherty III
Case number: 14-cv-14099 (United States District Court for the District of Massachusetts)
Case filed: November 6, 2014
Qualifying Judgment/Order: October 4, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-150 Action:

SEC v. Yossef Kahlon, a/k/a Jossef Kahlon, and TJ Management Group, LLC
Case number: 12-cv-00517 (United States District Court for the Eastern District of Texas)
Case filed: August 14, 2012
Qualifying Judgment/Order: September 30, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-151 Action:

SEC v. Zenergy International, Inc., Bosko R. Gasich, Robert J. Luiten, Scott H. Wilding, Skyline Capital, Inc., Ronald Martino, and Diane D. Dalmy
Case number: 13-cv-05511 (United States District Court for the Northern District of Illinois)
Case filed: August 1, 2013
Qualifying Judgment/Order: October 12, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-152 Action:

SEC v. JCS Enterprises, Inc. d/b/a JCS Enterprises Services, Inc., T.B.T.I. Inc., Joseph Signore, and Paul L. Schumack, II
Case number: 14-cv-80468 (United States District Court for the Southern District of Florida)
Case filed: April 7, 2014
Qualifying Judgment/Order: October 18, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-153 Action:

SEC v. Aegis Oil, LLC, and Patrick Reagan Beason
Case number: 16-cv-62335 (United States District Court for the Southern District of Florida)
Case filed: September 29, 2016
Qualifying Judgment/Order: October 11, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-154 Action:

SEC v. Paul R. Downey, Jeffry P. Downey, and John M. Leonard
Case number: 14-cv-00185 (United States District Court for the Northern District of Texas)
Case filed: November 20, 2014
Qualifying Judgment/Order: September 29, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-155 Action:

SEC v. Anthony C. Zufelt, Joseph A. Nelson, David M. Decker, Jr., Cache D. Decker, Zufelt Business Services, Inc. (d/b/a Zufelt, Inc.), Silver Leaf Investments, Inc. JCN, Inc., JCN Capital, LLC, and JCN International, LLC
Case number: 10-cv-00574 (United States District Court for the District of Utah)
Case filed: June 23, 2010
Qualifying Judgment/Order: October 7, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-156 Action:

SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina
Case number: 16-cv-08088 (United States District Court for the Southern District of New York)
Case filed: October 17, 2016
Qualifying Judgment/Order: October 18, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-157 Action:

In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-17622
Case filed: October 12, 2016
Qualifying Judgment/Order: October 12, 2016

In the Matter of Charles P. Grom
Administrative Proceeding File No.: 3-17119
Case filed: February 17, 2016
Qualifying Judgment/Order: February 17, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-158 Action:

In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA
Administrative Proceeding File No.: 3-17639
Case filed: October 20, 2016
Qualifying Judgment/Order: October 20, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-159 Action:

In the Matter of GlaxoSmithKline plc
Administrative Proceeding File No.: 3-17606
Case filed: September 30, 2016
Qualifying Judgment/Order: September 30, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-160 Action:

In the Matter of Bank Leumi le-Israel B.M., Leumi Private Bank, and Bank Leumi (Luxembourg) S.A.
Administrative Proceeding File No.: 3-17631
Case filed: October 18, 2016
Qualifying Judgment/Order: October 18, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-161 Action:

SEC v. Charles P. Copeland, Copeland Wealth Management, a Financial Advisory Corporation, and Copeland Wealth Management, a Real Estate Corporation
Case number: 11-cv-08607 (United States District Court for the Central District of California)
Case filed: October 20, 2011
Qualifying Judgment/Order: October 5, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-162 Action:

In the Matter of Artis Capital Management, L.P. and Michael W. Harden
Administrative Proceeding File No.: 3-17624
Case filed: October 13, 2016
Qualifying Judgment/Order: October 13, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:November 2016 Notice No.:2016-163 Action:

In the Matter of Calvert Investment Management, Inc.
Administrative Proceeding File No.: 3-17630
Case filed: October 18, 2016
Qualifying Judgment/Order: October 18, 2016

Notice Date:11/30/2016 Claim Due Date:02/28/2017
Published date grouping:October 2016 Notice No.:2016-125 Action:

SEC v. James M. Donnan, III and Gregory L. Crabtree
Case Number: 12-cv-02831 (United States District Court for the Northern District of Georgia)
Date Filed: August 16, 2012
Date of Qualifying Judgment/Order: September 26, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-126 Action:

In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank
Administrative Proceeding File No.: 3-17595
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: September 29, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-127 Action:

SEC v. Daniel Thibeault, GL Capital Partners, LLC, GL Investment Services, LLC, Graduate Leverage, LLC (d/b/a GL Advisor and GL Holdings Corp.), and Taft Financial Services, LLC
Case Number: 15-cv-10050 (United States District Court for the District of Massachusetts)
Date Filed: January 9, 2015
Date of Qualifying Judgment/Order: September 26, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-128 Action:

In the Matter of First Reserve Management, L.P.
Administrative Proceeding File No.: 3-17538
Date Filed: September 14, 2016
Date of Qualifying Judgment/Order: September 14, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-129 Action:

SEC v. Veros Partners, Inc., Matthew D. Haab, Jeffrey B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, FarmGrowCap LLC, PinCap LLC
Case Number: 15-cv-00659 (United States District Court for the Southern District of Indiana)
Date Filed: April 22, 2015
Date of Qualifying Judgment/Order: September 15, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-130 Action:

SEC v. Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela M. Hass
Case Number: 13-cv-00849 (United States District Court for the District of New Mexico)
Date Filed: September 9, 2013
Date of Qualifying Judgment/Order: September 22, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-131 Action:

In the Matter of Michael A. Horowitz and Moshe Marc Cohen
Administrative Proceeding File No.: 3-15790
Date Filed: March 13, 2014
Date of Qualifying Judgment/Order: September 9, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-132 Action:

SEC v. China Northeast Petroleum Holdings Limited; Wang Hongjun (a/k/a Hongjun Wang); Ju Guizhi (a/k/a Guizhi Ju); and Jiang Chao (a/k/a Chao Jiang)
Case Number: 12-cv-08696 (United States District Court for the Southern District of New York)
Date Filed: November 29, 2012
Date of Qualifying Judgment/Order: September 20, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-133 Action:

In the Matter of Russell C. Schalk, Jr.
Administrative Proceeding File No.: 3-16498
Date Filed: April 7, 2015
Date of Qualifying Judgment/Order: September 21, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-134 Action:

In the Matter of Weatherford International PLC, f/k/a Weatherford International Ltd, James Hudgins, CPA, and Darryl Kitay, CPA
Administrative Proceeding File No.: 3-17582
Date Filed: September 27, 2016
Date of Qualifying Judgment/Order: September 27, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-135 Action:

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-17573
Date Filed: September 26, 2016
Date of Qualifying Judgment/Order: September 26, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-136 Action:

In the Matter of Ernst & Young LLP, Robert J. Brehl, CPA, Pamela J. Hartford, CPA, and Michael T. Kamienski, CPA
Administrative Proceeding File No.: 3-17553
Date Filed: September 19, 2016
Date of Qualifying Judgment/Order: September 19, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-137 Action:

In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-17587
Date Filed: September 28, 2016
Date of Qualifying Judgment/Order: September 28, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-138 Action:

In the Matter of Anheuser-Busch InBev SA/NV
Administrative Proceeding File No.: 3-17586
Date Filed: September 28, 2016
Date of Qualifying Judgment/Order: September 28, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-139 Action:

SEC v. Manuel E. Jesus aka Manny Backus, et al.
Case Number: 16-cv-06850 (United States District Court for the Central District of California)
Date Filed: September 13, 2016
Date of Qualifying Judgment/Order: September 27, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-140 Action:

In the Matter of Portugal Telecom, SGPS, S.A., now known as Pharol SGPS, S.A.
Administrative Proceeding File No.: 3-17534
Date Filed: September 13, 2016
Date of Qualifying Judgment/Order: September 13, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-141 Action:

SEC v. PLCMGMT LLC, dba Prometheus Law, James A. Catipay, and David A. Aldrich
Case Number: 16-cv-02594 (United States District Court for the Central District of California)
Date Filed: April 16, 2016
Date of Qualifying Judgment/Order: September 15, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-142 Action:

SEC v. North Hills Management, LLC, and Mark Evan Bloom
Case Number: 09-cv-01746 (United States District Court for the Southern District of New York)
Date Filed: February 25, 2009
Date of Qualifying Judgment/Order: September 6, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-143 Action:

SEC v. Christopher Plummer, Lex M. Cowsert, and Cytogenix, Inc.
Case Number: 14-cv-05441 (United States District Court for the Southern District of New York)
Date Filed: July 18, 2014
Date of Qualifying Judgment/Order: September 7, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-144 Action:

SEC v. Norstra Energy Inc., Glen Landry and Eric Dany
Case Number: 15-cv-04751 (United States District Court for the Southern District of New York)
Date Filed: June 18, 2015
Date of Qualifying Judgment/Order: September 20, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-145 Action:

In the Matter of Ernst & Young LLP and Gregory S. Bednar, CPA
Administrative Proceeding File No.: 3-17552
Date Filed: September 19, 2016
Date of Qualifying Judgment/Order: September 19, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-146 Action:

In the Matter of BOKF, NA
Administrative Proceeding File No.: 3-17533
Date Filed: September 9, 2016
Date of Qualifying Judgment/Order: September 9, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-147 Action:

In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA
Administrative Proceeding File No.: 3-17583
Date Filed: September 27, 2016
Date of Qualifying Judgment/Order: September 27, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:October 2016 Notice No.:2016-148 Action:

SEC v. Saleem Khan, Ammar Akbari, Roshanlal Chaganlal and Ranjan Mendonsa
Case Number: 14-cv-02743 (United States District Court for the Northern District of California)
Date Filed: June 13, 2014
Date of Qualifying Judgment/Order: September 21, 2016

Notice Date:10/31/2016 Claim Due Date:01/29/2017
Published date grouping:September 2016 Notice No.:2016-113 Action:

SEC v. Cedric Cañas Maillard
Case number: 15-cv-06389 (United States District Court for the Southern District of New York)
Case filed: August 13, 2015
Qualifying Judgment/Order: August 19, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-114 Action:

SEC v. Southern Cross Resources Group, Inc., Michael A. Nasatir, and Andrew L. Madenberg
Case number: 15-cv-11506 (United States District Court for the Northern District of Illinois)
Case filed: December 21, 2015
Qualifying Judgment/Order: August 4, 2016 

In the Matter of Allen M. Perres, and Willard R. St. Germain
Administrative Proceeding File No.: 3-17013
Case filed: December 21, 2015
Qualifying Judgment/Order: December 21, 2015

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-115 Action:

SEC v. Gary C. Snisky
Case number: 13-cv-03149 (United States District Court for the District of Colorado)
Case filed: November 21, 2013
Qualifying Judgment/Order: August 12, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-116 Action:

SEC v. Secured Income Reserve, Inc., Ilona A. Mandelbaum, David A. Zimmerman, Tamda Marketing, Inc., and Matthew H. Sage
Case number: 16-cv-81490 (United States District Court for the Southern District of Florida)
Case filed: August 24, 2016
Qualifying Judgment/Order: August 31, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-117 Action:

SEC v. Robert L. Sonfield, Donald C. Bradley, Jeffrey W. Bradley, Jason Landess, Marc Lane, Roger Brewer 
Case number: 08-cv-02351 (United States District Court for the Southern District of Texas)
Case filed: July 29, 2008
Qualifying Judgment/Order: July 28, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-118 Action:

In the Matter of Key Energy Services, Inc.
Administrative Proceeding File No.: 3-17379
Case filed: August 11, 2016
Qualifying Judgment/Order: August 11, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-119 Action:

In the Matter of optionsXpress, Inc., and Jonathan I. Feldman
Administrative Proceeding File No.: 3-14848
Case filed: August 18, 2016
Qualifying Judgment/Order: September 13, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-120 Action:

In the Matter of AstraZeneca PLC
Administrative Proceeding File No.: 3-17517
Case filed: August 30, 2016
Qualifying Judgment/Order: August 30, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-121 Action:

In the Matter of RBC Capital Markets, LLC
Administrative Proceeding File No.: 3-17520
Case filed: August 31, 2016
Qualifying Judgment/Order: August 31, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-122 Action:

In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P.
Administrative Proceeding File No.: 3-17409
Case filed: August 23, 2016
Qualifying Judgment/Order: August 23, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-123 Action:

In the Matter of Barry B. Clare
Administrative Proceeding File No.: 3-17172
Case filed: August 15, 2016
Qualifying Judgment/Order: August 15, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:September 2016 Notice No.:2016-124 Action:

In the Matter of WL Ross & Co. LLC
Administrative Proceeding File No.: 3-17491
Case filed: August 24, 2016
Qualifying Judgment/Order: August 24, 2016

Notice Date:09/30/2016 Claim Due Date:12/29/2016
Published date grouping:August 2016 Notice No.:2016-100 Action:

SEC v. James Y. Lee
Case number: 14-cv-00347 (United States District Court for the Southern District of California)
Case filed: February 13, 2014
Qualifying Judgment/Order: July 15, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-101 Action:

SEC v. First Mortgage Corporation, Inc., Clement Ziroli, Sr., Clement Ziroli, Jr., Pac W. Dong, Ronald T. Vargus, Scott Lehrer, and Edward Joseph Sanders
Case number: 16-cv-03772 (United States District Court for the Central District of California)
Case filed: May 31, 2016
Qualifying Judgment/Order: July 20, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-102 Action:

In the Matter of LAN Airlines S. A.
Administrative Proceeding File No.: 3-17357
Case filed: July 25, 2016
Qualifying Judgment/Order: July 25, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-103 Action:

SEC v. CKB168 Holdings LTD., WIN168 Biz Solutions LTD., CKB168 LTD., CKB168 Biz Solution, Inc., Cyber Kids Best Education LTD., Rayla Melcher Santos, Hung Wai ("Howard") Shern, Rui ling ("Florence") Leung, Daliang ("David") Guo, Yao Lin, Chih Hsuan "Kiki" Lin, Wen Chen Hwang (aka "Wendy Lee"), Toni Tong Chen, Cheongwha "Heywood" Chang, Joan Congyi Ma (aka "JC Ma"), and Heidi Mao Liu (aka "Heidi Mao")
Case number: 13-cv-05584 (United States District Court for the Eastern District of New York)
Case filed: October 9, 2013
Qualifying Judgment/Order: June 29, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-104 Action:

In the Matter of Johnson Controls, Inc.
Administrative Proceeding File No.: 3-17337
Case filed: July 11, 2016
Qualifying Judgment/Order: July 11, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-105 Action:

SEC v. Lee D. Weiss, Family Endowment Partners, LP
Case number: 15-cv-13460 (United States District Court for the District of Massachusetts)
Case filed: September 29, 2015
Qualifying Judgment/Order: June 20, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-106 Action:

In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17338
Case filed: July 12, 2016
Qualifying Judgment/Order: July 12, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-107 Action:

SEC v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo
Case number: 13-cv-01735 (United States District Court for the Southern District of New York)
Case filed: March 15, 2013
Qualifying Judgment/Order: July 20, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-108 Action:

SEC v. Michael J. Oppenheim
Case number: 15-cv-02957 (United States District Court for the Southern District of New York)
Case filed: April 16, 2015
Qualifying Judgment/Order: July 29, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-109 Action:

SEC v. Thomas C. Conradt, David J. Weishaus, and Trent Martin
Case number: 12-cv-08676 (United States District Court for the Southern District of New York)
Case filed: December 3, 2012
Qualifying Judgment/Order: June 17, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-110 Action:

SEC v. Malcolm Segal
Case number: 15-cv-03668 (United States District Court for the Eastern District of Pennsylvania)
Case filed: July 1, 2015
Qualifying Judgment/Order: June 21, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-111 Action:

SEC v. Luca International Group, LLC; Luca Resources Group, LLC; Luca Energy Fund, LLC; Entholpy EMC, Inc.; Bingqing Yang; Lei (Lily) Lei; Anthony V. Pollace; and Yong (Michael) Chen
Case number: 15-cv-03101 (United States District Court for the Northern District of California)
Case filed: July 6, 2015
Qualifying Judgment/Order: July 26, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-112 Action:

SEC v. Tyson D. Williams and Stanley D. Parrish
Case number: 14-cv-00510 (United States District Court for the District of Utah)
Case filed: July 10, 2014
Qualifying Judgment/Order: July 18, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:August 2016 Notice No.:2016-99 Action:

SEC v. Jammin' Java Corp., dba Marley Coffee, Shane G. Whittle, Wayne S. P. Weaver, Michael K. Sun, Rene Berlinger, Stephen B. Wheatley, Kevin P. Miller, Mohammed A. Al-Barwani, Alexander J. Hunter, and Thomas E. Hunter
Case number: 15-cv-08921 (United States District Court for the Central District of California)
Case filed: November 17, 2015
Qualifying Judgment/Order: July 7, 2016

Notice Date:08/31/2016 Claim Due Date:11/29/2016
Published date grouping:July 2016 Notice No.:2016-85 Action:

In the Matter of Analogic Corporation and Lars Frost
Administrative Proceeding File No.: 3-17305
Date Filed: June 21, 2016
Qualifying Judgment/Order: June 21, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-86 Action:

In the Matter of Bank of New York Mellon
Administrative Proceeding File No.: 3-17286
Date Filed: June 13, 2016
Qualifying Judgment/Order: June 13, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-87 Action:

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-17314
Date Filed: June 23, 2016
Qualifying Judgment/Order: June 23, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-88 Action:

In the Matter of American Life, Inc. and Henry Liebman
Administrative Proceeding File No.: 3-17285
Date Filed: June 13, 2016
Qualifying Judgment/Order: June 13, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-89 Action:

In the Matter of Ethiopian Electric Power
Administrative Proceeding File No.: 3-17281
Date Filed: June 8, 2016
Qualifying Judgment/Order: June 8, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-90 Action:

In the Matter of 2 West, Inc., Mijust, Inc., KAKids, Inc., Alton Partners, Inc., Old Farm, Inc., Bloomfield, Inc., Katz Imports, Inc., and Todd B. Katz
Administrative Proceeding File No.: 3-17290
Date Filed: June 14, 2016
Qualifying Judgment/Order: June 14, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-91 Action:

In the Matter of Behruz Afshar, Shahryar Afshar, Richard F. Kenny, IV, Fineline Trading Group LLC, and Makin Capital LLC
Administrative Proceeding File No.: 3-16978
Date Filed: December 3, 2015
Qualifying Judgment/Order: June 13, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-92 Action:

In the Matter of J.S. Oliver Capital Management, L.P., and Ian O. Mausner
Administrative Proceeding File No.: 3-15446
Initial Decision: August 5, 2014
Qualifying Judgment/Order: June 17, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-93 Action:

SEC v. Paul Mata, David Kayatta, Mario Pincheira, Secured Capital Investments, LLC., Logos Real Estate Holdings, LLC., Logos Wealth Advisors, Inc., Lifetime Enterprises, LLC (dba Logos Lifetime University)
Case Number: 15-cv-01792 (United States District Court for the Central District of California)
Date Filed: September 3, 2015
Qualifying Judgment: Order: June 17, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-94 Action:

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp.
Administrative Proceeding File No.: 3-17312
Date Filed: June 23, 2016
Qualifying Judgment/Order: June 23, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-95 Action:

SEC v. Daryl M. Payton, and Benjamin Durant, III
Case Number: 14-cv-04644 (United States District Court for the Sourthern District of New York)
Date Filed: June 25, 2014
Qualifying Judgment/Order: May 16, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-96 Action:

SEC v. Wilfred T. Azar, III, Joseph A. Giordano, and Empire Corporation
Case Number: 14-cv-03598 (United States District Court for the District of Maryland)
Date Filed: November 14, 2014
Qualifying Judgment/Order: June 7, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-97 Action:

SEC v. Andrew K. Proctor and Atlas JG, LLC
Case Number: 16-cv-00437 (United States District Court for the District of Delaware)
Date Filed: June 14, 2016
Qualifying Judgment/Order: June 16, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:July 2016 Notice No.:2016-98 Action:

SEC v. Keith Greenberg
Case Number: 00-cv-09109 (United States District Court for the Southern District of Florida)
Date Filed: November 26, 2013
Qualifying Judgment/Order: March 16, 2016

Notice Date:07/29/2016 Claim Due Date:10/27/2016
Published date grouping:June 2016 Notice No.:2016-76 Action:

In the Matter of Ireeco, LLC, and Ireeco Limited
Administrative Proceeding File No.: 3-16647
Initial Decision: June 23, 2015
Qualifying Judgment/Order: May 12, 2016

Notice Date:06/30/2016 Claim Due Date:09/28/2016
Published date grouping:June 2016 Notice No.:2016-77 Action:

SEC v. Sanctum Publishing and Marketing, Limited, Sanctum Media Group, Inc., and Salvatore Renaldi
Case number: 15-cv-81342 (United States District Court for the Southern District of Florida) 
Case filed: September 29, 2015
Qualifying Judgment/Order: May 23, 2016

Notice Date:06/30/2016 Claim Due Date:09/28/2016
Published date grouping:June 2016 Notice No.:2016-78 Action:

SEC v. Charles Couch and Couch Oil & Gas, Inc.
Case number: 14-cv-01747 (United States District Court for the Northern District of Texas) 
Case filed: May 12, 2014
Qualifying Judgment/Order: May 9, 2016

Notice Date:06/30/2016 Claim Due Date:09/28/2016
Published date grouping:June 2016 Notice No.:2016-79 Action:

SEC v. China Infrastructure Investment Corporation, Li Xipeng, and Wang Feng
Case number: 15-cv-00307 (United States District Court for the District of Columbia) 
Case filed: March 3, 2015
Qualifying Judgment/Order: May 26, 2016

Notice Date:06/30/2016 Claim Due Date:09/28/2016
Published date grouping:June 2016 Notice No.:2016-80 Action:

In the Matter of James Caird Asset Management LLP and Timothy G. Leslie
Administrative Proceeding File No.: 3-17276
Case filed: June 2, 2016
Qualifying Judgment/Order: June 2, 2016

Notice Date:06/30/2016 Claim Due Date:09/28/2016
Published date grouping:June 2016 Notice No.:2016-81 Action:

In the Matter of Blackstreet Capital Management, LLC and Murry N. Gunty
Administrative Proceeding File No.: 3-17267
Case filed: June 1, 2016
Qualifying Judgment/Order: June 1, 2016

Notice Date:06/30/2016 Claim Due Date:09/28/2016
Published date grouping:June 2016 Notice No.:2016-82 Action:

In the Matter of Edgar R. Page and PageOne Financial, Inc.
Administrative Proceeding File No.: 3-16037
Initial Decision: June 25, 2015
Qualifying Judgment/Order: May 27, 2016

Notice Date:06/30/2016 Claim Due Date:09/28/2016
Published date grouping:June 2016 Notice No.:2016-83 Action:

In the Matter of Federated Global Investment Management Corp.
Administrative Proceeding File No.: 3-17264
Case filed: May 27, 2016
Qualifying Judgment/Order: May 27, 2016

Notice Date:06/30/2016 Claim Due Date:09/28/2016
Published date grouping:June 2016 Notice No.:2016-84 Action:

SEC v. John Scott Clark
Case number: 16-cv-00040 (United States District Court for the District of Utah) 
Case filed: March 31, 2016
Qualifying Judgment/Order: May 26, 2016

Notice Date:06/30/2016 Claim Due Date:09/28/2016
Published date grouping:May 2016 Notice No.:2016-66 Action:

SEC v. Inter Reef Ltd dba Profitable Sunrise
Case number: 13-cv-01104 (United States District Court for the Northern District of Georgia)
Case filed: April 4, 2013
Qualifying Judgment/Order: April 15, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:May 2016 Notice No.:2016-67 Action:

SEC v. Steven R. Maruksen, Jay C. Cope, Archer Advisors LLC
Case number: 14-cv-03395 (United States District Court for the District of Minnesota)
Case filed: September 8, 2014
Qualifying Judgment/Order: April 27, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:May 2016 Notice No.:2016-68 Action:

In the Matter of Cabela's Incorporated and Ralph W. Castner, CPA
Administrative Proceeding File No.: 3-17227
Case filed: April 26, 2016
Qualifying Judgment/Order: April 26, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:May 2016 Notice No.:2016-69 Action:

SEC v. Frederic Elm f/k/a Frederic Elmaleh, Elm Tree Investment Advisors LLC, Elm Tree Investment Fund LP, Elm Tree 'e'Conomy Fund LP, and Elm Tree Motion Opportunity LP
Case number: 15-cv-60082 (United States District Court for the Southern District of Florida)
Case filed: January 15, 2015
Qualifying Judgment/Order: April 12, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:May 2016 Notice No.:2016-70 Action:

In the Matter of L & L Energy, Inc.
Administrative Proceeding File No.: 3-15815
Case filed: March 27, 2014
Initial Decision: February 17, 2016
Qualifying Judgment/Order: April 13, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:May 2016 Notice No.:2016-71 Action:

In the Matter of Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA
Administrative Proceeding File No.: 3-17212
Case filed: April 19, 2016
Qualifying Judgment/Order: April 19, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:May 2016 Notice No.:2016-72 Action:

SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek
Case number: 13-cv-03837 (United States District Court for the Southern District of New York)
Case filed: June 5, 2013
Qualifying Judgment/Order: April 12, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:May 2016 Notice No.:2016-73 Action:

SEC v. Tomas Alberto Clarke Bethancourt, Jose Alejandro Hurtado, Haydee Leticia Pabon, Iuri Rodolfo Bethancourt, Ernesto Lujan, Benito Chinea and Joseph Flores Demeneses Jr.
Case number: 13-cv-03074 (United States District Court for the Southern District of New York)
Case filed: May 9, 2013
Qualifying Judgment/Order: April 7, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:May 2016 Notice No.:2016-74 Action:

SEC v. American Pension Services, Inc., and Curtis L. De Young
Case number: 14-cv-00309 (United States District Court for the District of Utah)
Case filed: April 24, 2014
Qualifying Judgment/Order: April 21, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:May 2016 Notice No.:2016-75 Action:

SEC v. Roger S. Bliss, an individual and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, a Utah Limited Liability Company, d/b/a Roger Bliss and Associates Club LLC, d/b/a Bliss Club LLC
Case number: 15-cv-00098 (United States District Court for the District of Utah)
Case filed: February 11, 2015
Qualifying Judgment/Order: April 19, 2016

Notice Date:05/31/2016 Claim Due Date:08/29/2016
Published date grouping:April 2016 Notice No.:2016-51 Action:

SEC v. Bruce D. Strebinger, Brent Howard Chapman, and Muskateer Investments, Inc.
Case Number: 14-cv-03533 (United States District Court for the Northern District of Georgia)
Date Filed: November 3, 2014
Date of Qualifying Order/Judgment: March 15, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-52 Action:

In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable
Administrative Proceeding File No: 3-17171
Date Filed: March 15, 2016
Date of Qualifying Order/Judgment: March 15, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-53 Action:

SEC v. Aveo Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer
Case Number: 16-cv-10607 (United States District Court for the District of Massachusetts)
Date Filed: March 29, 2016
Date of Qualifying Order/Judgment: April 1, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-54 Action:

In the Matter of Navistar International Corporation
Administrative Proceeding File No.: 3-17190
Date Filed: March 31, 2016
Date of Qualifying Order/Judgment: March 31, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-55 Action:

SEC v. Neal V. Goyal, Caldera Advisors, LLC, and Blue Horizon Asset Management, LLC
Case Number: 14-cv-03900 (United States District Court for the Northern District of Illinois)
Date Filed: May 28, 2014
Date of Qualifying Order/Judgment: March 9, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-56 Action:

SEC v. eCareer Holding, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks
Case Number: 15-cv-80446 (United States District Court for the Southern District of Florida)
Date Filed: April 7, 2015
Date of Qualifying Order/Judgment: March 2, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-57 Action:

SEC v. Gregory G. Jones
Case Number: 15-cv-00438 (United States District Court for the Northern District of Texas)
Date Filed: June 10, 2015
Date of Qualifying Order/Judgment: March 21, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-58 Action:

In the Matter of Las Vegas Sands Corp.
Administrative Proceeding File No.: 3-17204
Date Filed: April 7, 2016
Date of Qualifying Order/Judgment: April 7, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-59 Action:

In the Matter of Novartis AG
Administrative Proceeding File No.: 3-17177
Date Filed: March 23, 2016
Date of Qualifying Order/Judgment: March 23, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-60 Action:

SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane Properties Inc.
Case Number: 16-cv-01636 (United States District Court for the District of New Jersey)
Date Filed: March 24, 2016
Date of Qualifying Order/Judgment: March 28, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-61 Action:

SEC v. Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello
Case Number: 09-cv-00818 (United States District Court for the Central District of California)
Date Filed: July 16, 2009
Date of Qualifying Order/Judgment: February 23, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-62 Action:

SEC v. Banc de Binary Ltd, Oren Shabat Laurent (f/k/a Oren Shabat), Et Binary Options Ltd., Bo Systes Ltd., Seychelles and BDB Services Ltd. Seychelles
Case Number: 13-cv-00993 (United States District Court for the District of Nevada) 
Date Filed: June 5, 2013
Date of Qualifying Order/Judgment: February 25, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-63 Action:

In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation
Administrative Proceeding File No.: 3-17169
Date Filed: March 14, 2016
Date of Qualifying Order/Judgment: March 14, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-64 Action:

In the Matter of Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert Esq.; and Helena C. Sen, CPA
Administrative Proceeding File No.: 3-17186
Date Filed: March 30, 2016
Date of Qualifying Order/Judgment: March 30, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:April 2016 Notice No.:2016-65 Action:

SEC v. Marrone Bio Innovations, Inc.
Case Number: 16-cv-00321 (United States District Court for the Eastern District of California)
Date Filed: February 17, 2016
Date of Qualifying Order/Judgment: March 8, 2016

Notice Date:04/29/2016 Claim Due Date:07/28/2016
Published date grouping:March 2016 Notice No.:2016-40 Action:

In the Matter of IBC Funds, LLC
Administrative Proceeding File No.: 3-17125
Case filed: February 19, 2016
Qualifying Judgment/Order: February 19, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-41 Action:

In the Matter of PTC Inc.
Administrative Proceeding File No.: 3-17118
Case filed: February 16, 2016
Qualifying Judgment/Order: February 16, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-42 Action:

SEC v. Trevor G. Cook, Patrick J. Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLC
Case number: 09-cv-03333 (United States District Court for the District of Minnesota)
Case filed: November 23, 2009
Qualifying Judgment/Order: January 12, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-43 Action:

In the Matter of George N. Krinos, Krinos Holdings, Inc., and Fordgate Acquisition Corp.
Administrative Proceeding File No.: 3-16202
Case filed: October 16, 2014
Initial Decision: December 21, 2015
Qualifying Judgment/Order: February 3, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-44 Action:

SEC v. VimpelCom Ltd
Case number: 16-cv-01266 (United States District Court for the Southern District of New York)
Case filed: February 18, 2016
Qualifying Judgment/Order: February 22, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-45 Action:

SEC v. Newpoint Financial Services, Inc.; John Farahi; Gissou Rastegar Farahi; and Elaheh Amouei
Case number: 10-cv-00124 (United States District Court for the Central District of California)
Case filed: January 8, 2010
Qualifying Judgment/Order: February 29, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-46 Action:

In the Matter of Qualcomm Incorporated
Administrative Proceeding File No.: 3-17145
Case filed: March 1, 2016
Qualifying Judgment/Order: March 1, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-47 Action:

SEC v. Moazzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
Case number: 15-cv-01025 (United States District Court for the Southern District of New York)
Case filed: February 13, 2015
Qualifying Judgment/Order: February 9, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-48 Action:

SEC v. Scott Valente and The Eliv Group, LLC
Case number: 14-cv-03974 (United States District Court for the Southern District of New York)
Case filed: June 3, 2014
Qualifying Judgment/Order: February 17, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-49 Action:

SEC v. eAdGear, Inc., eAdGear Holdings Limited, Charles S. Wang, Francis Y. Yuen, and Qian Cathy Zhang
Case number: 14-cv-04294 (United States District Court for the Northern District of California)
Case filed: September 24, 2014
Qualifying Judgment/Order: February 1, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:March 2016 Notice No.:2016-50 Action:

In the Matter of Peter Kuperman and QED Benchmark Management, L.L.C.
Administrative Proceeding File No.: 3-17075
Case filed: January 28, 2016
Qualifying Judgment/Order: January 28, 2016

Notice Date:03/31/2016 Claim Due Date:06/29/2016
Published date grouping:February 2016 Notice No.:2016-17 Action:

SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC
Case number: 14-cv-03247 (United States District Court for the Southern District of New York)
Case filed: May 5, 2014
Qualifying Judgment/Order: July 31, 2015

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-18 Action:

In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas
Administrative Proceeding File No.: 3-17107
Case filed: February 9, 2016
Qualifying Judgment/Order: February 9, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-19 Action:

In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA
Administrative Proceeding File No.: 3-16729
Case filed: January 12, 2016
Qualifying Judgment/Order: January 12, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-20 Action:

SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides
Case number: 11-cv-03656 (United States District Court for the District of Minnesota)
Case filed: December 21, 2011
Qualifying Judgment/Order: January 28, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-21 Action:

In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-17079
Case filed: January 31, 2016
Qualifying Judgment/Order: January 31, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-22 Action:

In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-17055
Case filed: January 14, 2016
Qualifying Judgment/Order: January 14, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-23 Action:

In the Matter of Equinox Fund Management, LLC
Administrative Proceeding File No.: 3-17057
Case filed: January 19, 2016
Qualifying Judgment/Order: January 19, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-24 Action:

In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-17077
Case filed: January 31, 2016
Qualifying Judgment/Order: January 31, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-25 Action:

SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen
Case number: 11-cv-00895 (United States District Court for the District of Columbia)
Case filed: May 13, 2011
Qualifying Judgment/Order: January 14, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-26 Action:

SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis
Case number: 13-cv-02575 (United States District Court for the Southern District of New York)
Case filed: April 18, 2013
Qualifying Judgment/Order: January 12, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-27 Action:

In the Matter of SciClone Pharmaceuticals, Inc
Administrative Proceeding File No.: 3-17101
Case filed: February 4, 2016
Qualifying Judgment/Order: February 4, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-28 Action:

SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation
Case number: 12-cv-02164 (United States District Court for the Southern District of California)
Case filed: September 4, 2012
Qualifying Judgment/Order: January 21, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-29 Action:

In the Matter of SAP SE
Administrative Proceeding File No.: 3-17080
Case filed: February 1, 2016
Qualifying Judgment/Order: February 1, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-30 Action:

SEC v. Eric Lipkin
Case number: 11-cv-03826 (United States District Court for the Southern District of New York)
Case filed: June 6, 2011
Qualifying Judgment/Order: January 5, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-31 Action:

SEC v. Enrica Cotellessa-Pitz
Case number: 11-cv-09302 (United States District Court for the Southern District of New York)
Case filed: December 19, 2011
Qualifying Judgment/Order: January 5, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-32 Action:

In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-17078
Case filed: January 31, 2016
Qualifying Judgment/Order: January 31, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-33 Action:

In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-17053
Case filed: January 14, 2016
Qualifying Judgment/Order: January 14, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-34 Action:

In the Matter of Ocwen Financial Corp.
Administrative Proceeding File No.: 3-17060
Case filed: January 20, 2016
Qualifying Judgment/Order: January 20, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-35 Action:

SEC v. Michael Donnelly
Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania)
Case filed: October 19, 2015
Qualifying Judgment/Order: January 20, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-36 Action:

SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin
Case number: 11-cv-01356 (United States District Court for the Northern District of California)
Case filed: March 22, 2011
Qualifying Judgment/Order: January 20, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-37 Action:

SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation
Case number: 15-cv-00416 (United States District Court for the District of Utah)
Case filed: June 12, 2015
Qualifying Judgment/Order: January 12, 2016

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-38 Action:

SEC v. Stephen C. Bond
Case number: 10-cv-01358 (United States District Court for the Northern District of California)
Case filed: March 31, 2010
Qualifying Judgment/Order: August 12, 2013

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:February 2016 Notice No.:2016-39 Action:

SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual
Case number: 12-cv-01120 (United States District Court for the District of Utah)
Case filed: December 10, 2012
Qualifying Judgment/Order: December 17, 2012

Notice Date:02/29/2016 Claim Due Date:05/29/2016
Published date grouping:January 2016 Notice No.:2016-16 Action:

In the Matter of SuttonBrook Capital Management LP
Administrative Proceeding File No.: 3-16114
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-15 Action:

SEC v. M. "Shi" Shailendra
Case number: 14-cv-02465 (United States District Court for the Northern District of Georgia)
Case filed: July 31, 2014
Qualifying Judgment/Order: September 23, 2014

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-14 Action:

SEC v. Jon C. Ginder, Northamerican Energy Group, Inc., and Northamerican Energy Group, Corp.
Case number: 10-cv-02867 (United States District Court for the Southern District of Texas)
Case filed: August 11, 2010
Qualifying Judgment/Order: November 13, 2012

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-13 Action:

SEC v. American Settlement Associates, LLC, Charles Jordan, and Kelly Gipson
Case number: 10-cv-00912 (United States District Court for the Southern District of Texas)
Case filed: March 19, 2010
Qualifying Judgment/Order: March 11, 2013

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-12 Action:

SEC v. King Chuen Tang a/k/a Chen Tang, Ronald Yee, Zisen Yu, Joseph Seto, Ming Siu, King S. Tang a/k/a James K. Tang, and Ying Kit Yu a/k/a Eddie Yu
Case number: 09-cv-05146 (United States District Court for the Northern District of California)
Case filed: October 30, 2009
Qualifying Judgment/Order: March 13, 2013

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-11 Action:

In the Matter of William M. Stephens
Administrative Proceeding File No.: 3-15233
Case filed: March 8, 2013
Qualifying Judgment/Order: March 8, 2013

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-10 Action:

SEC v. Juan Cruz Bilbao Hormaeche
Case number: 14-cv-10036 (United States District Court for the Southern District of New York)
Case filed: December 22, 2014
Qualifying Judgment/Order: December 17, 2015

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-9 Action:

SEC v. Alternate Energy Holdings, Inc., Donald L. Gillispie, and Jennifer Ransom
Case number: 10-cv-00621 (United States District Court for the District of Idaho)
Case filed: December 16, 2010
Qualifying Judgment/Order: May 21, 2015

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-8 Action:

In the Matter of Owen Li and Canarsie Capital, LLC
Administrative Proceeding File No.: 3-17005
Case filed: December 16, 2015
Qualifying Judgment/Order: December 16, 2015

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-7 Action:

In the Matter of SG Americas Securities LLC and Yimin Ge
Administrative Proceeding File No.: 3-17017
Case filed: December 22, 2015
Qualifying Judgment/Order: December 22, 2015

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-5 Action:

In the Matter of KCG Americas LLC
Administrative Proceeding File No.: 3-17012
Case filed: December 21, 2015
Qualifying Judgment/Order: December 21, 2015

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-6 Action:

In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang
Administrative Proceeding File No.: 3-17016
Case filed: December 22, 2015
Qualifying Judgment/Order: December 22, 2015

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-4 Action:

SEC v. New Stream Capital, LLC
Case number: 13-cv-00264 (United States District Court for the District of Connecticut)
Case filed: February 26, 2013
Qualifying Judgment/Order: December 21, 2015

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-3 Action:

In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-17036
Case filed: January 6, 2016
Qualifying Judgment/Order: January 6, 2016

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-2 Action:

SEC v. John Clifford Williams
Case number: 15-cv-00819 (United States District Court for the Western District of Missouri)
Case filed: Month DD, YYYY
Qualifying Judgment/Order: October 20, 2015

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:January 2016 Notice No.:2016-1 Action:

SEC v. Douglas E. Cowgill and Professional Investment Management, Inc.
Case number: 14-cv-00396 (United States District Court for the Southern District of Ohio)
Case filed: April 29, 2014
Qualifying Judgment/Order: December 22, 2015

Notice Date:01/29/2016 Claim Due Date:04/28/2016
Published date grouping:December 2015 Notice No.:2015-136 Action:

SEC v. Tropikgadget FZE, et al.
Case Number: 15-cv-10543 (United States District Court for the District of Massachusetts)
Date Filed: February 25, 2015
Date of Qualifying Judgment/Order: November 12, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-137 Action:

In the Matter of Grant Thornton, LLP
Administrative Proceeding File No.: 3-16976
Date Filed: December 2, 2015
Date of Qualifying Judgment/Order: December 2, 2015

In the Matter of Melissa K. Koeppel, CPA, and Jeffrey J. Robinson, CPA
Administrative Proceeding File No.: 3-16977
Date Filed: December 2, 2015
Date of Qualifying Judgment/Order: December 2, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-138 Action:

SEC v. Summit Trust Company, Rampart Capital Management, LLC, Trust Counselors Network, Inc., Brown Investment Advisors, Inc., Kevin C. Brown, and George P. Brown
Case Number: 15-cv-05843 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: October 27, 2015
Date of Qualifying Judgment/Order: November 6, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-139 Action:

SEC v. Hitachi, LTD.
Case Number: 15-cv-01573 (United States District Court for the District of Columbia)
Date Filed: September 28, 2015
Date of Qualifying Judgment/Order: November 24, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-140 Action:

SEC v. Vladimir Eydelman
Case Number: 14-cv-01742 (United States District Court for the District of New Jersey)
Date Filed: March 19, 2014
Date of Qualifying Judgment/Order: October 28, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-141 Action:

SEC v. Brett A. Cooper, et al.
Case Number: 13-cv-05781 (United States District Court for the District of New Jersey)
Date Filed: September 27, 2013
Date of Qualifying Judgment/Order: November 5, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-142 Action:

In the Matter of Standard Bank PLC
Administrative Proceeding File No.: 3-16973
Date Filed: November 30, 2015
Date of Qualifying Judgment/Order: November 30, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-143 Action:

In the Matter of Sands Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly
Administrative Proceeding File No.: 3-16223
Date Filed: November 19, 2015
Date of Qualifying Judgment/Order: November 19, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-144 Action:

SEC v. Bonan Huang, et al.
Case Number: 15-cv-00269 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: January 21, 2015
Date of Qualifying Judgment/Order: December 3, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-145 Action:

SEC v. Summit Asset Strategies Investment Management, LLC; Summit Asset Strategies Wealth Management, LLC; and Chris Yoo
Case Number: 15-cv-01429 (United States District Court for the Western District of Washington)
Date Filed: September 4, 2015
Date of Qualifying Judgment/Order: November 6, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-146 Action:

SEC v. National Note of Utah, LC, a Utah Limited Liability Company and Wayne LaMar Palmer, an individual
Case Number: 12-cv-00591 (United States District Court for the District of Utah)
Date Filed: June 25, 2012
Date of Qualifying Judgment/Order: December 2, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-147 Action:

In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-17008
Date Filed: December 18, 2015
Date of Qualifying Judgment/Order: December 18, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-148 Action:

SEC v. Enviratrands, Inc. and Russell F. Haraburda
Case Number: 15-cv-01903 (United States District Court for the Middle District of Florida)
Date Filed: August 17, 2015
Date of Qualifying Judgment/Order: August 20, 2015

Notice Date:12/23/2015 Claim Due Date:03/22/2016
Published date grouping:December 2015 Notice No.:2015-135 Action:

In the Matter of Virtus Investment Advisers, Inc.
Administrative Proceeding File No.: 3-16959
Case filed: November 16, 2015
Qualifying Judgment/Order: November 16, 2015

Notice Date:12/01/2015 Claim Due Date:02/29/2016
Published date grouping:November 2015 Notice No.:2015-120 Action:

SEC v. Billy Wayne McClintock, individually, and dba MSC Holdings, Dianne Alexander aka Linda Dianne Alexander
Case number: 12-cv-04028 (United States District Court for the Northern District of Georgia)
Case filed: November 19, 2012
Qualifying Judgment/Order: September 15, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-121 Action:

In the Matter of David F. Bandimere and John O. Young
Administrative Proceeding File No.: 3-15124
Case filed: December 6, 2012
Qualifying Judgment/Order: October 29, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-122 Action:

In the Matter of Gary M. Arford
Administrative Proceeding File No.: 3-16932
Case filed: October 28, 2015
Qualifying Judgment/Order: October 28, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-123 Action:

SEC v. Robert A. Helms, et al.
Case number: 13-cv-01036 (United States District Court for the Western District of Texas)
Case filed: December 3, 2013
Qualifying Judgment/Order: October 21, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-124 Action:

In the Matter of the St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA
Administrative Proceeding File No.: 3-16927
Case filed: October 27, 2015
Qualifying Judgment/Order: October 27, 201

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-125 Action:

In the Matter of DBRS, Inc.
Administrative Proceeding File No.: 3-16922
Case filed: October 26, 2015
Qualifying Judgment/Order: October 26, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-126 Action:

In the Matter of UBS Willow Management LLC and UBS Fund Advisor LLC
Administrative Proceeding File No.: 3-16909
Case filed: October 19, 2015
Qualifying Judgment/Order: October 19, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-127 Action:

SEC v. Premiere Power, LLC; John Jankovic; and Jerry Jankovic
Case number: 15-cv-01248 (United States District Court for the Southern District of New York)
Case filed: February 20, 2015
Qualifying Judgment/Order: October 9, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-128 Action:

In the Matter of J.P. Morgan Investment Management Inc.
Administrative Proceeding File No.: 3-16897
Case filed: October 14, 2015
Qualifying Judgment/Order: October 14, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-129 Action:

In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C. and Blackstone Management Partners IV L.L.C.
Administrative Proceeding File No.: 3-16887
Case filed: October 7, 2015
Qualifying Judgment/Order: October 7, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-130 Action:

SEC v. Justin Moongyu Lee; Rebecca Taewon Lee; Thomas Edward Kent; American Immigrant Investment Fund I, LLC; Biofuel Venture IV, LLC; Biofuel Venture V, LLC; Nexland, Inc., dba Nexland Investment Group; and Nexsun Ethanol, LLC
Case number: 14-cv-06865 (United States District Court for the Central District of California)
Case filed: September 3, 2014
Qualifying Judgment/Order: October 29, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-131 Action:

In the Matter of Total Wealth Management, Inc., Jacob Keith Cooper, Mathan McNamee, and Douglas David Shoemaker
Administrative Proceeding File No.: 3-15842
Case filed: April 15, 2014
Qualifying Judgment/Order: October 13, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-132 Action:

In the Matter of Wolverine Trading, LLC and Wolverine Asset Management, LLC
Administrative Proceeding File No.: 3-16890
Case filed: October 8, 2015
Qualifying Judgment/Order: October 8, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-133 Action:

In the Matter of Briargate Trading, LLC and Eric Oscher
Administrative Proceeding File No.: 3-16889
Case filed: October 8, 2015
Qualifying Judgment/Order: October 8, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:November 2015 Notice No.:2015-134 Action:

In the Matter of Fenway Partners, LLC, Peter Lamm, William Gregory Smart, Timothy Mayhew, Jr., and Walter Wiacek, CPA
Administrative Proceeding File No.: 3-16938
Case filed: November 3, 2015
Qualifying Judgment/Order: November 3, 2015

Notice Date:11/30/2015 Claim Due Date:02/28/2016
Published date grouping:October 2015 Notice No.:2015-96 Action:

SEC v. James A. Evans, Jr., d/b/a/ Cashflowbot.com, d/b/a Dollarmonster
Case number: 15-cv-01118 (United States District Court for the Northern District of Georgia)
Case filed: April 13, 2015
Qualifying Judgment/Order: September 30, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-97 Action:

SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc. and Hilbroy Advisory Inc.
Case number: 12-cv-12334 (United States District Court for the District of Massachusetts)
Case filed: December 17, 2012
Qualifying Judgment/Order: October 1, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-98 Action:

In the Matter of Bankrate, Inc.
Administrative Proceeding File No.: 3-16837
Case filed: September 8, 2015
Qualifying Judgment/Order: September 8, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-99 Action:

In the Matter of Trinity Capital Corporation
Administrative Proceeding File No.: 3-16837
Case filed: September 28, 2015
Qualifying Judgment/Order: September 8, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-100 Action:

SEC v. Xiaoyu Xia and Yanting Hu
Case number: 15-cv-03320 (United States District Court for the Southern District of New York)
Case filed: April 29, 2015
Qualifying Judgment/Order: September 10, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-101 Action:

SEC v. Bankatlantic Bancorp, Inc. and Alan B. Levan
Case number: 12-cv-60082 (United States District Court for the Southern District of Florida)
Case filed: January 18, 2012
Qualifying Judgment/Order: September 24, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-102 Action:

In the Matter of UBS Financial Services Incorporated of Puerto Rico
Administrative Proceeding File No.: 3-16846
Case filed: September 29, 2015
Qualifying Judgment/Order: September 29, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-103 Action:

SEC v. Evolution Capital Advisors, LLC, Evolution Investment Group I, LLC, and Damian Omar Valdez
Case number: 11-cv-02945 (United States District Court for the Southern District of Texas)
Case filed: August 10, 2011
Qualifying Judgment/Order: September 17, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-104 Action:

In the Matter of Bristol-Myers Squibb Company
Administrative Proceeding File No.: 3-16881
Case filed: October 5, 2015
Qualifying Judgment/Order: October 5, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-105 Action:

In the Matter of Edward T. Borg and Brian J. Mulkeen
Administrative Proceeding File No.: 3-16875
Case filed: September 30, 2015
Qualifying Judgment/Order: September 30, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-106 Action:

In the Matter of First Eagle Investment Management, LLC and FEF Distributors, LLC
Administrative Proceeding File No.: 3-16823
Case filed: September 21, 2015
Qualifying Judgment/Order: September 21, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-107 Action:

In the Matter of Latour Trading LLC
Administrative Proceeding File No.: 3-16851
Case filed: September 30, 2015
Qualifying Judgment/Order: September 30, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-108 Action:

SEC v. ABS Manager, LLC and George Charles Cody Price
Case number: 13-cv-00319 (United States District Court for the Southern District of California)
Case filed: February 8, 2013
Qualifying Judgment/Order: July 16, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-109 Action:

SEC v. Efstratios "Elias" D. Argryropoulos and Prima Capital Group, Inc.
Case number: 14-cv-09800 (United States District Court for the Central District of Florida)
Case filed: December 23, 2014
Qualifying Judgment/Order: September 29, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-110 Action:

SEC v. iShopNoMarkup.com, Inc., Scott W. Brockop, Anthony M. Knight, and Moussa Yeroushalmi a/k/a Mike Yeroush
Case number: 04-cv-04057 (United States District Court for the Eastern District of New York)
Case filed: September 20, 2004
Qualifying Judgment/Order: September 3, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-111 Action:

In the Matter of Focus Media Holding Limited and Jason Jiang
Administrative Proceeding File No.: 3-16852
Case filed: September 30, 2015
Qualifying Judgment/Order: September 30, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-112 Action:

In the Matter of Home Loan Servicing Solutions, Ltd.
Administrative Proceeding File No.: 3-16882
Case filed: October 5, 2015
Qualifying Judgment/Order: October 5, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-113 Action:

In the Matter of William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.
Administrative Proceeding File No.: 3-16829
Case filed: September 23, 2015
Qualifying Judgment/Order: September 23, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-114 Action:

SEC v. Arkadiy Dubovoy, Igor Dubovoy, Pavel Dubovoy, Nelia Dubova, David Amaryan, Alexander Redoseev, Aleksandr Garkusha, Oleksander Ieremenko (a.k.a. Aleksander Eremenko), Vladislav Khalupsky, Vitaly Korchevsky, Roman Lavlinskiy, Oleksandr Makarov, Leonid Momtok, Nikolai Slepenkov, Andriy Supranonok, Ivan Turchynov, Maxim Zakharchenko, APD Developers, LLC, Beratto Group LTD., Bering Explorer Fund LTD., Concorde Bermuda LTD., Escada Logistics LTD., Exante LTD, Global Hedge Capital Group, Guibor S.A., Intertrade Pacific S.A., Memelland Investments LTD, Jaspen Capital Partners Limited, NTS Capital Fund, Ocean Prime Inc., Omega 26 Investments LTD, and Southeastern Holding and Investment Company LLC
Case number: 15-cv-06076 (United States District Court for the District of New Jersey)
Case filed: August 10, 2015
Qualifying Judgment/Order: September 28, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-115 Action:

In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-16835
Case filed: September 28, 2015
Qualifying Judgment/Order: September 28, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-116 Action:

In the Matter of UBS AG
Administrative Proceeding File No.: 3-16891
Case filed: October 13, 2015
Qualifying Judgment/Order: October 13, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-117 Action:

SEC v. Jeffory D. Shields (a/k/a Jeffrey D. Shields) and Geodynamics, Inc. (f/k/a or d/b/a Geodynamics Exploration, Inc.)
Case number: 11-cv-02121 (United States District Court for the District of Colorado)
Case filed: August 15, 2011
Qualifying Judgment/Order: March 16, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-118 Action:

SEC v. Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley, and Jack Halperin
Case number: 10-cv-02031 (United States District Court for the Eastern District of New York)
Case filed: May 5, 2010
Qualifying Judgment/Order: April 16, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:October 2015 Notice No.:2015-119 Action:

SEC v. Daniel Bergin
Case number: 13-cv-01940 (United States District Court for the Northern District of Texas)
Case filed: May 23, 2013
Qualifying Judgment/Order: August 18, 2015

Notice Date:10/30/2015 Claim Due Date:01/28/2016
Published date grouping:September 2015 Notice No.:2015-86 Action:

In the Matter of the Bank of New York Mellon Corporation
Administrative Proceeding File No.: 3-16762
Case filed: August 18, 2015
Qualifying Judgment/Order: August 18, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:September 2015 Notice No.:2015-87 Action:

In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-16764
Case filed: August 19, 2015
Qualifying Judgment/Order: August 19, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:September 2015 Notice No.:2015-88 Action:

In the Matter of Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
Administrative Proceeding File No.: 3-16776
Case filed: September 2, 2015
Qualifying Judgment/Order: September 2, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:September 2015 Notice No.:2015-89 Action:

In the Matter of Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed
Administrative Proceeding File No.: 3-16755
Case filed: August 14, 2015
Qualifying Judgment/Order: August 14, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:September 2015 Notice No.:2015-90 Action:

In the Matter of Edward D. Jones & Co., L.P.
Administrative Proceeding File No.: 3-16751
Case filed: August 13, 2015
Qualifying Judgment/Order: August 13, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:September 2015 Notice No.:2015-91 Action:

SEC v. John Thornes
Case number: 14-cv-06088 (United States District Court for the Central District of California)
Case filed: August 4, 2014
Qualifying Judgment/Order: July 17, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:September 2015 Notice No.:2015-92 Action:

In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.
Administrative Proceeding File No.: 3-16757
Case filed: August 17, 2015
Qualifying Judgment/Order: August 17, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:September 2015 Notice No.:2015-93 Action:

In the Matter of BDO USA, LLP
Administrative Proceeding File No.: 3-16800
Case filed: September 9, 2015
Qualifying Judgment/Order: September 9, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:September 2015 Notice No.:2015-94 Action:

SEC v. David Craven and Alexander J. Craven
Case number: 15-cv-01820 (United States District Court for the Southern District of New York)
Case filed: March 11, 2015
Qualifying Judgment/Order: August 27, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:September 2015 Notice No.:2015-95 Action:

SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill
Case number: 15-cv-02401 (United States District Court for the District of Maryland)
Case filed: August 13, 2015
Qualifying Judgment/Order: August 21, 2015

Notice Date:09/30/2015 Claim Due Date:12/29/2015
Published date grouping:August 2015 Notice No.:2015-77 Action:

SEC v. George G. Levin and Frank J. Preve
Case Number: 12-cv-21917 (United States District Court for the Southern District of Florida)
Case Filed: May 22, 2012
Qualifying Judgment/Order: August 3, 2015

Notice Date:08/31/2015 Claim Due Date:11/29/2015
Published date grouping:August 2015 Notice No.:2015-78 Action:

SEC v. Frank Tamayo
Case Number: 14-cv-05844 (United States District Court for the District of New Jersey)
Case Filed: September 19, 2014
Qualifying Judgment/Order: July 14, 2015

Notice Date:08/31/2015 Claim Due Date:11/29/2015
Published date grouping:August 2015 Notice No.:2015-79 Action:

In the Matter of Guggenheim Partners Investment Management, LLC
Administrative Proceeding File No.: 3-16735
Case Filed: August 10, 2015
Qualifying Judgment/Order: August 10, 2015

Notice Date:08/31/2015 Claim Due Date:11/29/2015
Published date grouping:August 2015 Notice No.:2015-80 Action:

SEC v. Mikhail Galas, Alexander Hawatmeh, Christopher Mwroca, and Tovy Pustovit
Case Number: 14-cv-05621 (United States District Court for the Western District of Washington)
Case Filed: August 5, 2014
Qualifying Judgment/Order: July 21, 2015

Notice Date:08/31/2015 Claim Due Date:11/29/2015
Published date grouping:August 2015 Notice No.:2015-81 Action:

In the Matter of VERO Capital Management, LLC, Robert Geiger, George Barbaresi, Esq, and Steven Downey, CPA
Administrative Proceeding File No.: 3-16328
Case Filed: December 29, 2014
Qualifying Judgment/Order: July 8, 2015

Notice Date:08/31/2015 Claim Due Date:11/29/2015
Published date grouping:August 2015 Notice No.:2015-82 Action:

In the Matter of OZ Management, LP
Administrative Proceeding File No.: 3-16686
Case Filed: July 14, 2015
Qualifying Judgment/Order: July 14, 2015

Notice Date:08/31/2015 Claim Due Date:11/29/2015
Published date grouping:August 2015 Notice No.:2015-83 Action:

In the Matter of ITG Inc. and AlterNet Securities, Inc.
Administrative Proceeding File No.: 3-16742
Case Filed: August 12, 2015
Qualifying Judgment/Order: August 12, 2015

Notice Date:08/31/2015 Claim Due Date:11/29/2015
Published date grouping:August 2015 Notice No.:2015-84 Action:

In the Matter of Wisteria Global, Inc. and Hiroshi Fujigami
Administrative Proceeding File No.: 3-16675
Case Filed: July 6, 2015
Qualifying Judgment/Order: July 6, 2015

Notice Date:08/31/2015 Claim Due Date:11/29/2015
Published date grouping:August 2015 Notice No.:2015-85 Action:

In the Matter of Mead Johnson Nutrition Company
Administrative Proceeding File No.: 3-16704
Case Filed: July 28, 2015
Qualifying Judgment/Order: July 28, 2015

Notice Date:08/31/2015 Claim Due Date:11/29/2015
Published date grouping:July 2015 Notice No.:2015-70 Action:

In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield
Administrative Proceeding File No.: 3-16575
Case filed: June 5, 2015
Qualifying Judgment/Order: June 5, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-71 Action:

In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton
Administrative Proceeding File No.: 3-16672
Case filed: July 1, 2015
Qualifying Judgment/Order: July 1, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-72 Action:

In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-16665
Case filed: June 30, 2015
Qualifying Judgment/Order: June 30, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-73 Action:

In the Matter of Kohlberg Kravis Roberts & Co. L.P.
Administrative Proceeding File No.: 3-16656
Case filed: June 29, 2015
Qualifying Judgment/Order: June 29, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-74 Action:

SEC v. Andrew L. Evans
Case number: 15-cv-02551 (United States District Court for the Northern District of California)
Case filed: June 9, 2015
Qualifying Judgment/Order: June 10, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-75 Action:

SEC v. Joshua A. Yudell
Case number: 15-cv-04548 (United States District Court for the Southern District of New York)
Case filed: June 11, 2015
Qualifying Judgment/Order: June 16, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-76 Action:

SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr.
Case number: 12-cv-10692 (United States District Court for the Central District of California)
Case filed: December 14, 2012
Qualifying Judgment/Order: May 11, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-66 Action:

In the Matter of Alphabridge Capital Management, LLC, Thomas T. Kutzen, and Michael J. Carino
Administrative Proceeding File No.: 3-16670
Case filed: July 1, 2015
Qualifying Judgment/Order: July 1, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-67 Action:

SEC v. Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner
Case number: 14-cv-80823 (United States District Court for the Southern District of Florida)
Case filed: June 23, 2014
Qualifying Judgment/Order: June 22, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-68 Action:

In the Matter of Helmut Anscheringer
Administrative Proceeding File No.: 3-16589
Case filed: June 15, 2015
Qualifying Judgment/Order: June 15, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:July 2015 Notice No.:2015-69 Action:

SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller
Case number: 10-cv-01235 (United States District Court for the Northern District of Ohio)
Case filed: June 2, 2010
Qualifying Judgment/Order: May 26, 2015

Notice Date:07/31/2015 Claim Due Date:10/29/2015
Published date grouping:June 2015 Notice No.:2015-54 Action:

In the Matter of Spectrum Concepts, LLC, Donald James Worswick, Michael Nicholas Grosso, and Michael Patrick Brown
Administrative Proceeding File No.: 3-16358
Case Filed: January 23, 2015
Initial DecisionApril 7, 2015
Qualifying Judgment/OrderMay 20, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-55 Action:

SEC v. Charles H. Merchant, Sr. and Southern USA Resources, Inc.
Case Number: 13-cv-03879 (United States District Court for the Northern District of Georgia)
Case Filed: November 22, 2013
Qualifying Judgment/Order: May 6, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-56 Action:

SEC v. Robert A. Gist and Gist, Kennedy & Associates, Inc.
Case Number: 13-cv-01833 (United States District Court for the Northen District of Georgia)
Case Filed: May 31, 2013
Qualifying Judgment/Order: May 1, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-57 Action:

SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd.
Case Number: 13-cv-24360 (United States District Court for the Southern District of Florida)
Case Filed: December 3, 2013
Qualifying Judgment/Order: May 26, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-58 Action:

In the Matter of David B. Havanich, Jr., Carmine A. DellaSala, Matthew D. Welch, Richard Hampton Scurlock, III, RTAG Inc. d/b/a Retirement Tax Advisory Group, Jose F. Carrio, Dennis K. Karasik, Carrio, Karasik & Associates, LLP, and Michael J. Salovay
Administrative Proceeding File No.: 3-16354
Case Filed: January 23, 2015
Qualifying Judgments/Orders33-979133-979233-9793 (May 26, 2015)

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-59 Action:

SEC v. Radius Capital Corp. and Robert A. DiGiorgio
Case Number: 11-cv-00116 (United States District Court for the Middle District of Florida)
Case Filed: March 7, 2011
Qualifying Judgment/Order: April 23, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-60 Action:

In the Matter of BHP Billiton Ltd. And BHP Billton Plc
Administrative Proceeding File No.: 3-16546
Case Filed: May 20, 2015
Qualifying Judgment/Order: May 20, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-61 Action:

In the Matter of Deutsche Bank AG
Administrative Proceeding File No.: 3-16557
Case Filed: May 26, 2015
Qualifying Judgment/Order: May 26, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-62 Action:

SEC v. Luis Chang and Everbright Development Overseas Limited
Case Number: 14-cv-04132 (United States District Court for the Southern District of New York
Case Filed: July 24, 2014
Qualifying Judgment/Order: May 15, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-63 Action:

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation
Administrative Proceeding File No.: 3-16567
Case Filed: June 1, 2015
Qualifying Judgment/Order: June 1, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-64 Action:

SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson
Case Number: 15-cv-03528 (United States District Court for the District of New Jersey)
Case Filed: May 26, 2015
Qualifying Judgment/Order: May 29, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:June 2015 Notice No.:2015-65 Action:

In the Matter of Nationwide Life Insurance Company
Administrative Proceeding File No.: 3-16537
Case Filed: May 14, 2015
Qualifying Judgment/Order: May 14, 2015

Notice Date:06/30/2015 Claim Due Date:09/28/2015
Published date grouping:May 2015 Notice No.:2015-45 Action:

SEC v. Eric William Johnson
Case number: 14-cv-08825 (United States District Court for the Northern District of Illinois)
Case filed: November 5, 2014
Qualifying Judgment/Order: April 13, 2015

Notice Date:05/29/2015 Claim Due Date:08/27/2015
Published date grouping:May 2015 Notice No.:2015-46 Action:

In the Matter of Larry C. Grossman and Gregory J. Adams
Administrative Proceeding File No.: 3-15617
Case filed: April 7, 2014
Initial Decision: December 23, 2014
Qualifying Judgment/Order: April 22, 2015

Notice Date:05/29/2015 Claim Due Date:08/27/2015
Published date grouping:May 2015 Notice No.:2015-47 Action:

SEC v. Frank Perkins Hixon, Jr.
Case number: 14-cv-00158 (United States District Court for the Western District of Texas)
Case filed: February 20, 2014
Qualifying Judgment/Order: April 20, 2015

Notice Date:05/29/2015 Claim Due Date:08/27/2015
Published date grouping:May 2015 Notice No.:2015-48 Action:

In the Matter of Jonathan Fortenberry (A/K/A S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry)
Administrative Proceeding File No.: 3-15858
Case filed: April 28, 2014
Initial Decision: March 2, 2015
Qualifying Judgment/Order: April 7, 2015

Notice Date:05/29/2015 Claim Due Date:08/27/2015
Published date grouping:May 2015 Notice No.:2015-49 Action:

SEC v. Rudolf Pameijer, Lindsay R. Sayer, Ryan W. Koester, Rykoworks Capital Group, LLC
Case number: 12-cv-01364 (United States District Court for the Southern District of Indiana)
Case filed: September 24, 2012
Qualifying Judgment/Order: April 29, 2015

Notice Date:05/29/2015 Claim Due Date:08/27/2015
Published date grouping:May 2015 Notice No.:2015-50 Action:

In the Matter of BlackRock Advisors, LLC and Bartholomew A. Battista
Administrative Proceeding File No.: 3-16501
Case filed: April 20, 2015
Qualifying Judgment/Order: April 20, 2015

Notice Date:05/29/2015 Claim Due Date:08/27/2015
Published date grouping:May 2015 Notice No.:2015-51 Action:

SEC v. Macquarie Capital (USA), Inc., Aaron Black and William Fang
Case number: 15-cv-02304 (United States District Court for the Southern District of New York)
Case filed: March 27, 2015
Qualifying Judgment/Order: April 1, 2015

Notice Date:05/29/2015 Claim Due Date:08/27/2015
Published date grouping:May 2015 Notice No.:2015-52 Action:

SEC v. Guy M. Jean-Pierre, a/k/a "Marcelo Dominguez de Guerra"
Case number: 12-cv-08886 (United States District Court for the Southern District of New York)
Case filed: December 6, 2012
Qualifying Judgment/Order: April 16, 2015

Notice Date:05/29/2015 Claim Due Date:08/27/2015
Published date grouping:May 2015 Notice No.:2015-53 Action:

In the Matter of Julieann Palmer Martin
Administrative Proceeding File No.: 3-15613
Case filed: November 13, 2013
Initial Decision: March 9, 2015
Qualifying Judgment/Order: April 21, 2015

Notice Date:05/29/2015 Claim Due Date:08/27/2015
Published date grouping:April 2015 Notice No.:2015-37 Action:

SEC v. 8000, Inc., Johnathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan
Case Number: 12-cv-07261 (United States District Court for the Southern District of New York)
Case Filed: September 27, 2012
Qualifying Judgment/Order: April 7, 2015

Notice Date:04/30/2015 Claim Due Date:07/29/2015
Published date grouping:April 2015 Notice No.:2015-38 Action:

SEC v. BioChemics, Inc., John J. Masiz, Craig Medoff and Gregory Kroning
Case Number: 12-cv-12324 (United States District Court for the District of Massachusetts)
Case Filed: December 14, 2012
Qualifying Judgment/Order: March 25, 2015

Notice Date:04/30/2015 Claim Due Date:07/29/2015
Published date grouping:April 2015 Notice No.:2015-39 Action:

SEC v. Robert D. Falor
Case Number: 09-cv-05644 (United States District Court for the Northern District of Illinois)
Case Filed: September 11, 2009
Qualifying Judgment/Order: March 9, 2015

Notice Date:04/30/2015 Claim Due Date:07/29/2015
Published date grouping:April 2015 Notice No.:2015-40 Action:

SEC vs. Charles R. Kokesh
Case Number: 09-cv-01021 (United States District Court for the District of New Mexico)
Case Filed: October 27, 2009
Qualifying Judgment/Order: March 30, 2015

Notice Date:04/30/2015 Claim Due Date:07/29/2015
Published date grouping:April 2015 Notice No.:2015-41 Action:

SEC vs. StratoComm Corporation, Roger D. Shearer, and Craig Danzig
Case Number: 11-cv-01188 (United States District Court for the Northern District of New York)
Case Filed: October 4, 2011
Qualifying Judgment/Order: March 26, 2015

Notice Date:04/30/2015 Claim Due Date:07/29/2015
Published date grouping:April 2015 Notice No.:2015-42 Action:

In the Matter of Global Fixed Income, LLC, Charles Perlitz Kempf, AGS Capital Group, LLC, Allen Gabriel Silberstein, Banes Capital Management, LLC, Joel Leigh Banes, Michael Warner Kochman, Big Star Capital, LLC, Ryan Patrick Mcguinness, Esso Ventures, LLC, Mark Leonard Lechler, Etek Investment Management, Inc., Kevin Gregory Haley, Finmark Resources, LLC, Peter Eric Baker, Joseph Michael Araiz, Parker Paschal & Company, LLC, Andrew Parker Shook, PMK Capital Management, LLC, Roger Kumar, Jr., RLJ Fixed Income, LLC, and Corey Antwuan Printup
Administrative Proceeding File No.: 3-16460
Case Filed: March 26, 2015
Qualifying Judgment/Order: March 26, 2015

Notice Date:04/30/2015 Claim Due Date:07/29/2015
Published date grouping:April 2015 Notice No.:2015-43 Action:

SEC vs. Ronald Feldstein, Mara Capital Management LLC, and Vita Health of Americal, LLC
Case Number: 13-cv-06168 (United States District Court for the Southern District of New York)
Case Filed: Septmber 3, 2013
Qualifying Judgment/Order: March 16, 2015

Notice Date:04/30/2015 Claim Due Date:07/29/2015
Published date grouping:April 2015 Notice No.:2015-44 Action:

In the Matter of FLIR Systems, Inc.
Administrative Proceeding File No.: 3-16478
Case Filed: April 8, 2015
Qualifying Judgment/Order: April 8, 2015

Notice Date:04/30/2015 Claim Due Date:07/29/2015
Published date grouping:April 2015 Notice No.:2015-36 Action:

SEC v. Life Partners Holdings, Inc., Brian Pardo, R. Scott Peden, and David M. Martin
Case Number: 12-cv-00033 (United States District Court for the Western District of Texas) 
Case Filed: January 3, 2012
Qualifying Judgment/Order: January 16, 2015

Notice Date:04/01/2015 Claim Due Date:06/30/2015
Published date grouping:March 2015 Notice No.:2015-23 Action:

SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner
Case Number: 15-cv-01142 (United States District Court for the Northern District of Illinois)
Case Filed: February 5, 2015
Qualifying Judgment/Order: February 18, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-24 Action:

SEC v. Lee Chi Ling
Case Number: 13-cv-05364 (United States District Court for the Eastern District of New York)
Case Filed: September 26, 2013
Qualifying Judgment/Order: February 11, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-25 Action:

In the Matter of BDO China Dahua CPA Co., Ltd.; Deloitte Touche Tohmatsu Certified Public Accountants Ltd.; Ernst & Young Hua Ming LLP; KPMG Huazhen (Special General Partnership); PricewaterhouseCoopers Zhong Tian CPAs Limited
Administrative Proceeding File Nos.: 3-14872, 3-15116
Case Filed: February 6, 2015
Qualifying Judgment/Order: February 6, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-26 Action:

In the Matter of The Goodyear Tire & Rubber Company
Administrative Proceeding File No.: 3-16400
Case Filed: February 24, 2015
Qualifying Judgment/Order: February 24, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-27 Action:

SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc.
Case Number: 13-cv-01658 (United States District Court for the District of Nevada)
Case Filed: September 11, 2013
Qualifying Judgment/Order: January 27, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-28 Action:

In the Matter of Sandra Dyche
Administrative Proceeding File No.: 3-16398
Case Filed: February 20, 2015
Qualifying Judgment/Order: February 20, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-29 Action:

SEC v. China Sky One Medical, Inc., and Yan-Qing Liu
Case Number: 12-cv-07543 (United States District Court for the Central District of California)
Case Filed: September 4, 2012
Qualifying Judgment/Order: March 4, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-30 Action:

SEC v. World Capital Market Inc.; WCM777 Inc.; WCM777 Ltd. d/b/a WCM777 Enterprises, Inc.; and Ming Xu a/k/a Phil Ming Xu
Case Number: 14-cv-02334 (United States District Court for the Central District of California)
Case Filed: March 27, 2014
Qualifying Judgment/Order: February 20, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-31 Action:

SEC v. John Gray, Christian Keller, Kyle Martin, and Aaron Shepard
Case Number: 15-cv-00551 (United States District Court for the Northern District of California)
Case Filed: February 5, 2015
Qualifying Judgment/Order: March 2, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-32 Action:

SEC vs. Mark F. Spangler and The Spangler Group, Inc.
Case Number: 12-cv-00856 (United States District Court for the Western District of Washington)
Case Filed: May 17, 2012
Qualifying Judgment/Order: November 13, 2014

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-33 Action:

SEC v. Robert A Walker, Dennis L. DeSender, and DLD Financial, LTD
Case Number: 11-cv-03655 (United States District Court for the District of Minnesota)
Case Filed: December 21, 2011
Qualifying Judgment/Order: January 30, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-34 Action:

SEC v. Steven Scoppetuolo, Robert Tocci, Sarang Ahuja, Richard White and Eric Gordon
Case Number: 10-cv-20475 (United States District Court for the Southern District of Florida)
Case Filed: February 16, 2010
Qualifying Judgment/Order: March 27, 2013

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:March 2015 Notice No.:2015-35 Action:

SEC v. Lawrence "Lee" Loomis, Loomis Wealth Solutions, LLC, John Hagener, and Lismar Financial Services, LLC
Case Number: 10-cv-00458 (United States District Court for the Eastern District of California)
Case Filed: February 23, 2010
Qualifying Judgment/Order: January 21, 2015

Notice Date:03/31/2015 Claim Due Date:06/29/2015
Published date grouping:February 2015 Notice No.:2015-13 Action:

In the Matter of International Capital Group, LLC, Brian R. Nord, Larry Russell, Jr., and Todd J. Bergeron
Administrative Proceeding File No.: 3-16366
Case filed: January 29, 2015
Qualifying Judgment/Order: January 29, 2015

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:February 2015 Notice No.:2015-14 Action:

SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter D. Kirschner, and Stuart M. Rubens
Case number: 13-cv-62100 (United States District Court for the Southern District of Florida)
Case filed: September 26, 2013
Qualifying Judgment/Order: December 9, 2014

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:February 2015 Notice No.:2015-15 Action:

SEC v. Avon Products, Inc.
Case number: 14-cv-09956 (United States District Court for the Southern District of New York) 
Case filed: December 17, 2014
Qualifying Judgment/Order: January 8, 2015

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:February 2015 Notice No.:2015-16 Action:

In the Matter of Oppenheimer & Co. Inc.
Administrative Proceeding File No.: 3-16361
Case filed: January 27, 2015
Qualifying Judgment/Order: January 27, 2015

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:February 2015 Notice No.:2015-17 Action:

SEC v. Magdalena Tavella, Andres Horacio Ficicchia, Gonzalo Garcia Blaya, Lucia Mariana Hernando, Cecilia de Lorenzo, Adriana Rosa Bagattin, Daniella Patricia Goldman, Mariano Pablo Ferrari, Mariano Graciarena, and Fernando Loureyro
Case number: 13-cv-04609 (United States District Court for the Southern District of New York)
Case filed: July 3, 2013
Qualifying Judgment/Order: January 9, 2015

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:February 2015 Notice No.:2015-18 Action:

SEC v. Wwebnet, Inc. and Robert L. Kelly
Case number: 12-cv-06581 (United States District Court for the Southern District of New York)
Case filed: August 28, 2012
Qualifying Judgment/Order: January 16, 2015

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:February 2015 Notice No.:2015-19 Action:

In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-16338
Case filed: January 15, 2015
Qualifying Judgment/Order: January 15, 2015

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:February 2015 Notice No.:2015-20 Action:

SEC v. Chan Tze Ngon and Jiang Xiangyuan
Case number: 13-cv-06828 (United States District Court for the Southern District of New York)
Case filed: September 26, 2013
Qualifying Judgment/Order: January 16, 2015

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:February 2015 Notice No.:2015-21 Action:

SEC v. GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, and John A. Geringer
Case number: 12-cv-02663 (United States District Court for the Northern District of California)
Case filed: May 24, 2012
Qualifying Judgment/Order: February 3, 2015

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:February 2015 Notice No.:2015-22 Action:

In the Matter of VCAP Securities, LLC, and Brett Thomas Graham
Administrative Proceeding File No.: 3-16389
Case filed: February 19, 2015
Qualifying Judgment/Order: February 19, 2015

Notice Date:02/27/2015 Claim Due Date:05/28/2015
Published date grouping:January 2015 Notice No.:2015-1 Action:

In the Matter of Bruker Corporation
Administrative Proceeding File No.: 3-16314
Case Filed: December 15, 2014
Qualifying Judgment/Order: December 15, 2014

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-2 Action:

In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-16310
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 10, 2014

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-3 Action:

SEC vs. Brian N. Hollnagel and BCI Aircraft Leasing, Inc.
Case Number: 07-cv-04538 (United States District Court for the Northern District of Illinois)
Case filed: August 13, 2007
Qualifying judgment/order: December 18, 2014

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-4 Action:

SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch
Case Number: 11-cv-01962 (United States District Court for the Central District of California)
Case Filed: December 21, 2011
Qualifying Judgment/Order: December 10, 2014

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-5 Action:

SEC v. Bill C. (Billy) Crafton, Jr.
Case Number: 14-cv-02916 (United States District Court for the Southern District of California)
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 17, 2014

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-6 Action:

SEC v. Larry R. Polhill
Case Number: 13-cv-01729 (United States District Court for the Central District of California)
Case Filed: September 24, 2013
Qualifying Judgment/Order: December 6, 2014

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-7 Action:

SEC v. Alternative Green Technologies, Inc., Mitchell Segal, Belmont Partners, LLC, Joseph Meuse, Howard Borg, David Ryan, Vikram Khanna, and Panascope Capital Inc.
Case Number: 11-cv-09056 (United States District Court for the Southern District of New York)
Case Filed: December 12, 2011
Qualifying Judgment/Order: December 15, 2014

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-8 Action:

SEC v. John N. Irwin, CPA and Jacklin Associates, Inc.
Case Number: 11-cv-04429 (United States District Court for the Eastern District of Pennsylvania)
Case Filed: July 11, 2011
Qualifying Judgment/Order: December 19, 2014

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-9 Action:

SEC v. Michael B. Ferguson and Transactions Unlimited
Case Number: 14-cv-04188 (United States District Court for the Northern District of California)
Case Filed: September 29, 2014
Qualifying Judgment/Order: November 13, 2014

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-10 Action:

In the Matter of EDGA Exchange, Inc., and EDGX Exchange, Inc.
Administrative Proceeding File No.: 3-16332
Case Filed: January 12, 2015
Qualifying Judgment/Order: January 12, 2015

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-11 Action:

In the Matter of Standard & Poor's Rating Services
Administrative Proceeding File No.: 3-16346
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:January 2015 Notice No.:2015-12 Action:

In the Matter of Standard & Poor's Rating Services
Administrative Proceeding File No.: 3-16348
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015

Notice Date:01/27/2015 Claim Due Date:04/27/2015
Published date grouping:December 2014 Notice No.:2014-146 Action:

In the Matter of F-Squared Investments, Inc.
Administrative Proceeding File No.: 3-16325
Case filed: December 22, 2014
Qualifying Judgment/Order: December 22, 2014

Notice Date:12/29/2014 Claim Due Date:03/29/2015
Published date grouping:December 2014 Notice No.:2014-136 Action:

SEC vs. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC
Case number: 13-cv-00447 (United States District Court for the Western District of North Carolina)
Case filed: August 6, 2013
Qualifying judgment/order: November 25, 2014

Notice Date:12/22/2014 Claim Due Date:03/22/2015
Published date grouping:December 2014 Notice No.:2014-137 Action:

SEC vs. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group, PLC, and Aetius Group, LLC
Case number: 12-cv-11489 (United States District Court for the District of Massachusetts)
Case filed: August 10, 2012
Qualifying judgment/order: November 24, 2014

Notice Date:12/22/2014 Claim Due Date:03/22/2015
Published date grouping:December 2014 Notice No.:2014-138 Action:

SEC vs. John K. Marcum and Guaranty Reserves Trust, LLC
Case number: 13-cv-01361 (United States District Court for the Southern District of Indiana)
Case filed: August 26, 2013
Qualifying judgment/order: November 18, 2014

Notice Date:12/22/2014 Claim Due Date:03/22/2015
Published date grouping:December 2014 Notice No.:2014-139 Action:

SEC vs. Matthew O. Madison, Dwight McGhee, and Infinity Exploration, LLC
Case number: 13-cv-02499 (United States District Court for the Northern District of Texas)
Case filed: June 28, 2013
Qualifying judgment/order: November 18, 2014

Notice Date:12/22/2014 Claim Due Date:03/22/2015
Published date grouping:December 2014 Notice No.:2014-141 Action:

In the Matter of HSBC Private Bank (Suisse), SA
Administrative Proceeding File No.: 3-16288 
Case filed: November 25, 2014
Qualifying judgment/order: November 25, 2014

Notice Date:12/22/2014 Claim Due Date:03/22/2015
Published date grouping:December 2014 Notice No.:2014-142 Action:

In the Matter of Alan Gavornik, Nicholas Mariniello and Lee Argush
Administrative Proceeding File No.: 3-16286 
Case filed: November 24, 2014
Qualifying judgment/order: November 24, 2014

Notice Date:12/22/2014 Claim Due Date:03/22/2015
Published date grouping:December 2014 Notice No.:2014-143 Action:

In the Matter of Wedbush Securities Inc., Jeffrey Bell, and Christina Fillhart
Administrative Proceeding File No.: 3-15913
Case filed: November 20, 2014
Qualifying judgment/order: November 20, 2014

Notice Date:12/22/2014 Claim Due Date:03/22/2015
Published date grouping:December 2014 Notice No.:2014-144 Action:

SEC vs. Garfield Taylor, Incorporated, Gibraltar Asset Management Group, LLC, Garfield M. Taylor, Benjamin C. Dalley, Jeffrey A. King, Randolph M. Taylor, Maurice G. Taylor, and William B. Mitchell
Case number: 11-cv-02054 (United States District Court for the District of Columbia)
Case filed: November 18, 2011
Qualifying judgment/order: March 28, 2013

Notice Date:12/22/2014 Claim Due Date:03/22/2015
Published date grouping:December 2014 Notice No.:2014-145 Action:

SEC vs. Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. Burks
Case number: 12-cv-00519 (United States District Court for the Western District of North Carolina)
Case filed: August 17, 2012
Qualifying judgment/order: August 17, 2012
 
In the Matter of Adam Troy Dooly
Administrative Proceeding File No.: 3-15540
Case filed: September 30, 2013
Qualifying judgment/order: September 30, 2013

Notice Date:12/22/2014 Claim Due Date:03/22/2015
Published date grouping:December 2014 Notice No.:2014-140 Action:

SEC vs. Larry J. Dearman, Sr. and Marya Gray
Case number: 13-cv-00553 (United States District Court for the Northern District of Oklahoma)
Case filed: August 27, 2013
Qualifying judgment/order: November 14, 2014

Notice Date:12/20/2014 Claim Due Date:03/20/2015
Published date grouping:November 2014 Notice No.:2014-120 Action:

SEC vs. Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC
Case number: 11-cv-00723 (United States District Court for the District of Minnesota)
Case filed: March 24, 2011
Qualifying Judgment/Order: September 22, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-121 Action:

SEC vs. Resources Planning Group, Inc., and Joseph J. Hennessy
Case number: 12-cv-09509 (United States District Court for the Northern District of Illinois)
Case filed: November 29, 2012
Qualifying Judgment/Order: September 29, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-122 Action:

SEC v. Nikolai S. Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage
Case number: 12-cv-07125 (United States District Court for the Northern District of Illinois)
Case filed: September 6, 2012
Qualifying Judgment/Order: September 30, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-123 Action:

SEC v. Agfeed Industries, Inc., Junhong Xiong, Selina Jin, Songyan Li, Shaobo Ouyang, Edward J. Pazdro, K. Ivan Gothner
Case number: 14-cv-00663 (United States District Court for the Middle District of Tennessee)
Case filed: March 11, 2014
Qualifying judgment/order: October 6, 2014

In the Matter of John A. Stadler
Administrative Proceeding File No.: 3-15782
Case filed: March 11, 2014
Qualifying judgment/order: March 11, 2014

In the Matter of Clayton T. Marshall
Administrative Proceeding File No.: 3-15783
Case filed: March 11, 2014
Qualifying judgment/order: March 11, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-124 Action:

SEC v. Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle), and Jilapuhn, Inc. (d/b/a Her Majesty's Credit Union)
Case number: 12-cv-02939 (United States District Court for the District of Colorado)
Case filed: November 8, 2012
Qualifying Judgment/Order: October 9, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-125 Action:

SEC v. Abatement Corp. Holding Company Limited
Case number: 14-cv-23336 (United States District Court for the Southern District of Florida)
Case filed: September 10, 2014
Qualifying Judgment/Order: October 29, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-126 Action:

In the Matter of Layne Christensen Company
Administrative Proceeding File No.: 3-16216
Case filed: October 27, 2014
Qualifying Judgment/Order: October 27, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-127 Action:

In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC
Administrative Proceeding File No.: 3-16192
Case filed: October 9, 2014
Qualifying Judgment/Order: October 9, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-128 Action:

SEC v. Timothy J. Coughlin, OICU LTD., and OICU Investments Corp. (both d/b/a "Oxford International Credit Union" and/or "Oxford International Cooperative Union")
Case number: 14-cv-00562 (United States District Court for the Southern District of Indiana)
Case filed: April 11, 2014
Qualifying Judgment/Order: October 29, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-129 Action:

SEC v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, James C. Warras, Joseph N. Micelli, M.Y. Consultants, Inc., Anthony B. Brandel, M. Dwyer, LLC, and Sean P. Finn
Case number: 13-cv-02280 (United States District Court for the District of Nevada)
Case filed: December 16, 2013
Qualifying Judgment/Order: September 15, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-130 Action:

In the Matter of Bio-Rad Laboratories, Inc.
Administrative Proceeding File No.: 3-16231
Case filed: November 3, 2014
Qualifying Judgment/Order: November 3, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-131 Action:

In the Matter of Clean Energy Capital, LLC and Scott A. Brittenham
Administrative Proceeding File No.: 3-15766
Case filed: October 17, 2014
Qualifying Judgment/Order: October 17, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-132 Action:

SEC v. Christopher Wheeler and OTCStockExchange.com
Case number: 11-cv-06169 (United States District Court for the Southern District of New York)
Case filed: January 14, 2011
Qualifying Judgment/Order: September 29, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-133 Action:

SEC v. Lee Cole, Linden Boyne, Kevin B. Donovan, and Timothy Quintanilla
Case number: 12-cv-08167 (United States District Court for the Southern District Court of New York)
Case filed: November 8, 2012
Qualifying Judgment/Order: October 8, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-134 Action:

SEC v. Dennis F. Wright
Case number: 14-cv-01896 (United States District Court for the Middle District of Pennsylvania)
Case filed: September 30, 2014
Qualifying Judgment/Order: October 9, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:November 2014 Notice No.:2014-135 Action:

In the Matter of China Ruitai International Holdings Co., LTD., Dian Min Ma, Gang Ma, and Jin Tian
Administrative Proceeding File No.: 3-15544
Case filed: September 30, 2013
Qualifying Judgment/Order: October 2, 2014

Notice Date:11/26/2014 Claim Due Date:02/24/2015
Published date grouping:October 2014 Notice No.:2014-103 Action:

SEC v. Paul Marshall, Bridge Securities, LLC a/k/a/ Bridge Financial, Bridge Equity, Inc., and FOGfuels, Inc.
Case number: 13-cv-3032 (United States District Court for the Northern District of Georgia)
Case filed: September 11, 2013
Qualifying Judgment/Order: September 16, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-104 Action:

In the Matter of RA Capital Management, LLC
Administrative Proceeding File No.: 3-16109
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-105 Action:

SEC v. Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, and Susana Gomez 
Case number: 13-cv-01865 (United States District Court for the Central District of California) 
(originally filed as 12-cv-00505 (United States District Court for the Eastern District of Texas)
Case filed: August 13, 2012
Qualifying Judgment/Order: August 14, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-106 Action:

SEC v. Gordon A. Driver and Axcess Automation, LLC
Case number: 09-cv-03410 (United States District Court for the Central District of California)
Case filed: May 14, 2009
Qualifying Judgment/Order: September 23, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-107 Action:

SEC v. Trendon T. Shavers and Bitcoin Savings and Trust
Case number: 13-cv-00416 (United States District Court for the Eastern District of Texas)
Case filed: July 23, 2013
Qualifying Judgment/Order: September 18, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-108 Action:

SEC v. AIC, Inc., Community Bankers Securities, LLC, Nicholas D. Skaltsounis, John B. Guyette, and John R. Graves
Case number: 11-cv-00176 (United States District Court for the Eastern District of Tennessee)
Case filed: April 15, 2011
Qualifying Judgment/Order: August 1, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-109 Action:

SEC v. Tyrone L. Gilliams, Jr. and TL Gilliams, LLC
Case number: 11-cv-08201 (United States District Court for the Southern District of New York)
Case filed: November 14, 2011
Qualifying Judgment/Order: September 16, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-110 Action:

In the Matter of Lincolnshire Management, Inc.
Administrative Proceeding File No.: 3-16139
Case filed: September 22, 2014
Qualifying Judgment/Order: September 22, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-111 Action:

In the Matter of BlackRock Institutional Trust Company, N.A.
Administrative Proceeding File No.: 3-16120
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-112 Action:

In the Matter of Whitebox Advisors LLC
Administrative Proceeding File No.: 3-16117
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-113 Action:

In the Matter of Wilmington Trust Corporation
Administrative Proceeding File No.: 3-16098
Case filed: September 11, 2014
Qualifying Judgment/Order: September 11, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-114 Action:

In the Matter of Latour Trading LLC and Nicolas Niquet
Administrative Proceeding File No.: 3-16128
Case filed: September 17, 2014
Qualifying Judgment/Order: September 17, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-115 Action:

In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-16154
Case filed: September 23, 2014
Qualifying Judgment/Order: September 23, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-116 Action:

In the Matter of Bank of America Corporation
Administrative Proceeding File No.: 3-16177
Case filed: September 29, 2014
Qualifying Judgment/Order: September 29, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-117 Action:

In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon
Administrative Proceeding File No.: 3-16159
Case filed: September 24, 2014
Qualifying Judgment/Order: September 24, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-118 Action:

In the Matter of Babak ("Bobby") Yazdani
Administrative Proceeding File No.: 3-16160
Case filed: September 24, 2014
Qualifying Judgment/Order: September 24, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:October 2014 Notice No.:2014-119 Action:

In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-16153
Case filed: September 22, 2014
Qualifying Judgment/Order: September 22, 2014

Notice Date:10/23/2014 Claim Due Date:01/21/2015
Published date grouping:September 2014 Notice No.:2014-96 Action:

SEC v. Blake B. Richards
Case number: 13-cv-01729 (United States District Court for the Northern District of Georgia)
Case filed: May 23, 2013
Qualifying Judgment/Order: August 26, 2014

Notice Date:09/24/2014 Claim Due Date:12/23/2014
Published date grouping:September 2014 Notice No.:2014-97 Action:

In the Matter of Bank of America Corporation
Administrative Proceeding File No.: 3-16028
Case filed: August 21, 2014
Qualifying Judgment/Order: August 21, 2014

Notice Date:09/24/2014 Claim Due Date:12/23/2014
Published date grouping:September 2014 Notice No.:2014-98 Action:

In the Matter of Keith MacDonald Summers
Administrative Proceeding File No.: 3-16014
Case filed: August 13, 2014
Qualifying Judgment/Order: August 13, 2014

Notice Date:09/24/2014 Claim Due Date:12/23/2014
Published date grouping:September 2014 Notice No.:2014-99 Action:

SEC v. James M. Peister and Northstar International Group Inc. 
Case number: 11-cv-03386 (United States District Court for the Eastern District of New York)
Case filed: July 14, 2011 
Qualifying Judgment/Order: August 19, 2014

Notice Date:09/24/2014 Claim Due Date:12/23/2014
Published date grouping:September 2014 Notice No.:2014-100 Action:

SEC v. Fleet Mutual Wealth Limited, and MWF Financial Limited, d/b/a Mutual Wealth 
Case number: 14-cv-01409 (United States District Court for the Central District of California)
Case filed: February 25, 2014 
Qualifying Judgment/Order: August 21, 2014

Notice Date:09/24/2014 Claim Due Date:12/23/2014
Published date grouping:September 2014 Notice No.:2014-101 Action:

SEC v. Troy Lyndon and Ronald Zaucha 
Case number: 13-cv-00486 (United States District Court for the District of Hawaii)
Case filed: September 24, 2013 
Qualifying Judgment/Order: August 21, 2014

Notice Date:09/24/2014 Claim Due Date:12/23/2014
Published date grouping:September 2014 Notice No.:2014-102 Action:

SEC v. Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, Aluma Holdings LLC, Azure Trading LLC, Coastal Group Holdings, Inc., Greyhawk Equities LLC, Leonidas Group Holdings LLC, The Leonidas Group LLC, Nismic Sales Corp., The OGP Group LLC, Perlinda Enterprises LLC, Rio Sterling Holdings LLC, Slow Train Holdings LLC, and Spartan Group Holdings LLC 
Case number: 12-cv-09339 (United States District Court for the Southern District of New York)
Case filed: December 21, 2012 
Qualifying Judgment/Order: August 12, 2014

Notice Date:09/24/2014 Claim Due Date:12/23/2014
Published date grouping:September 2014 Notice No.:2014-94 Action:

SEC v. Rajat K. Gupta and Raj Rajaratnam
Case number: 11-cv-7566 (United States District Court for the Southern District of New York)
Case filed: October 26, 2011
Qualifying Judgment/Order: December 26, 2012

Notice Date:09/05/2014 Claim Due Date:12/04/2014
Published date grouping:September 2014 Notice No.:2014-95 Action:

SEC v. Universal Travel Group, Jiangping Jiang and Jing Xie
Case number: 13-cv-01492 (United States District Court for the District of Columbia)
Case filed: September 27, 2013
Qualifying Judgment/Order: September 30, 2013

In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA
Administrative Proceeding File No.: 3-15952
Case filed: July 1, 2014
Qualifying judgment/order: July 1, 2014

Notice Date:09/05/2014 Claim Due Date:12/04/2014
Published date grouping:August 2014 Notice No.:2014-80 Action:

SEC v. Patrick G. Rooney and Solaris Management, LLC
Case number: 11-cv-08264 (United States District Court for the Northern District of Illinois)
Case filed: November 18, 2011
Qualifying Judgment/Order: July 14, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-81 Action:

SEC v. Cedric Cañas Maillard and Julio Marín Ugedo
Case number: 13-cv-05299 (United States District Court for the Southern District of New York)
Case filed: July 30, 2013
Qualifying Judgment/Order: July 21, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-82 Action:

SEC v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs
Case number: 13-cv-23115 (United States District Court for the Southern District of Florida)
Case filed: August 29, 2013
Qualifying Judgment/Order: July 11, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-83 Action:

SEC v. DDBO Consulting, Inc., DBBG Consulting, Inc., Dean R. Baker, and Bret A. Grove
Case number: 14-cv-61685 (United States District Court for the Southern District of Florida)
Case filed: July 24, 2014
Qualifying Judgment/Order: July 31, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-84 Action:

SEC v. Scott Ashton Riggs, Darrell Parlee, Steven Manderfeld, Ashton Oilfield Services, LLC, Ashton Equipment, LLC, AOS 1-A, L.P., and AOS 1-B, L.P.
Case number: 13-cv-04403 (United States District Court for the Northern District of Texas)
Case filed: November 1, 2013
Qualifying Judgment/Order: July 11, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-85 Action:

SEC v. Citigroup Global Markets Inc.
Case number: 11-cv-07387 (United States District Court for the Southern District of New York)
Case filed: October 19, 2011
Qualifying Judgment/Order: August 5, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-86 Action:

SEC v. Bryan S. Behrens and National Investments, Inc.
Case number: 08-cv-00013 (United States District Court for the District of Nebraska)
Case filed: January 10, 2008
Qualifying Judgment/Order: July 17, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-87 Action:

SEC v. John Babikian
Case number: 14-cv-1740 (United States District Court for the Southern District of New York)
Case filed: March 13, 2014
Qualifying Judgment/Order: July 8, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-88 Action:

SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC
Case number: 13-cv-00895 (United States District Court for the Northern District of California)
Case filed: February 28, 2013
Qualifying Judgment/Order: August 1, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-89 Action:

In the Matter of Smith & Wesson Holding Corporation
Administrative Proceeding File No.: 3-15986
Case filed: July 28, 2014
Qualifying Judgment/Order: July 28, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-90 Action:

In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
Administrative Proceeding File No.: 3-15982
Case filed: July 24, 2014
Qualifying Judgment/Order: July 24, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-91 Action:

In the Matter of Ernst & Young LLP
Administrative Proceeding File No.: 3-15970
Case filed: July 14, 2014
Qualifying Judgment/Order: July 14, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-92 Action:

In the Matter of LavaFlow, Inc.
Administrative Proceeding File No.: 3-15985
Case filed: July 25, 2014
Qualifying Judgment/Order: July 25, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:August 2014 Notice No.:2014-93 Action:

In the Matter of Linkbrokers Derivatives LLC
Administrative Proceeding File No.: 3-16017
Case filed: August 14, 2014
Qualifying Judgment/Order: August 14, 2014

Notice Date:08/21/2014 Claim Due Date:11/19/2014
Published date grouping:July 2014 Notice No.:2014-72 Action:

SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li
Case number: 12-cv-10643 (United States District Court for the District of Massachusetts)
Case filed: April 11, 2012
Qualifying Judgment/Order: June 25, 2014

Notice Date:07/21/2014 Claim Due Date:10/19/2014
Published date grouping:July 2014 Notice No.:2014-73 Action:

SEC v. Robert Hurd, Your Best Memories International, Inc., and Kenneth Gross
Case number: 13-cv-04464 (United States District Court for the Central District of California)
Case filed: June 20, 2013
Qualifying Judgment/Order: June 10, 2014

Notice Date:07/21/2014 Claim Due Date:10/19/2014
Published date grouping:July 2014 Notice No.:2014-74 Action:

SEC v. Marcus A. Luna; Nathan Montgomery; Adam Daskivich; David Murtha; St. Paul Venture Fund, LLC; Minnesota Venture Capital, Inc.; Real Estate of Minnesota, Inc.; and Matrix Venture Capital, Inc.
Case number: 10-cv-2166 (United States District Court for the District of Nevada)
Case filed: December 14, 2010
Qualifying Judgment/Order: June 27, 2014

Notice Date:07/21/2014 Claim Due Date:10/19/2014
Published date grouping:July 2014 Notice No.:2014-75 Action:

SEC v. Charles J. Dushek, Charles S. Dushek, and Capital Management Associates, Inc.
Case number: 13-cv-03669 (United States District Court for the Northern District of Illinois)
Case filed: May 16, 2013
Qualifying Judgment/Order: June 4, 2014

Notice Date:07/21/2014 Claim Due Date:10/19/2014
Published date grouping:July 2014 Notice No.:2014-76 Action:

SEC v. Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras); Sylvester M. Gray II; Alicia Bryan; Maxum Gold Bnk Holdings Limited; Maxum Gold Bnk Holdings LLC; FMP Medical Services Limited; and FMP Medical Services LLC
Case number: 13-cv-07932 (United States District Court for the Central District of California)
Case filed: October 28, 2013
Qualifying Judgment/Order: June 9, 2014

Notice Date:07/21/2014 Claim Due Date:10/19/2014
Published date grouping:July 2014 Notice No.:2014-77 Action:

SEC v. Thomas Fletcher & Co. Inc., Thomas Fletcher & Company, Inc., Sergei Voronchenko, Roman Thaker, Alex Berg, John Donadio and Padraig McGlynn
Case number: 02-cv-9355 (United States District Court for the Southern District of New York)
Case filed: November 22, 2002
Qualifying Judgment/Order: June 19, 2014

Notice Date:07/21/2014 Claim Due Date:10/19/2014
Published date grouping:July 2014 Notice No.:2014-78 Action:

SEC v. John Lazorchak, Mark S. Cupo, Mark D. Foldy, Michael L. Castelli, Lawrence D. Grum, Michael T. Pendolino, and James N. Deprado
Case number: 12-cv-07164 (United States District Court for the District of New Jersey)
Case filed: November 19, 2012
Qualifying Judgment/Order: June 12, 2014

Notice Date:07/21/2014 Claim Due Date:10/19/2014
Published date grouping:July 2014 Notice No.:2014-79 Action:

SEC v. CR Intrinsic Investors, LLC, Mathew Martoma, and Dr. Sidney Gilman
Case number: 12-cv-8466 (United States District Court for the Southern District of New York)
Case filed: November 20, 2012
Qualifying Judgment/Order: June 18, 2014

Notice Date:07/21/2014 Claim Due Date:10/19/2014
Published date grouping:June 2014 Notice No.:2014-70 Action:

SEC v. Avanti Capital Partners, LLC, a Utah Limited Liability Company, Highland Residential, LLC, a Utah Limited Liability Company, and Ivan Wade Brown, an Individual
Case number: 12-cv-00788 (United States District Court for the District of Utah)
Case filed: August 13, 2012
Qualifying judgment/order: April 24, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-71 Action:

In the Matter of Paradigm Capital Management, Inc. and Candace King Weir
Administrative Proceeding File No: 3-15930
Case filed: June 16, 2014
Qualifying judgment/order: June 16, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-58 Action:

In the Matter of George B. Franz III and Ruby Corporation
Administrative Proceeding File No.: 3-15526
Case filed: April 30 2014
Qualifying judgment/order: April 30, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-59 Action:

In the Matter of Diego F. Hernandez, The Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc.
Administrative Proceeding File No.: 3-15518
Case filed: May 1, 2014 
Qualifying judgment/order: May 1, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-60 Action:

In the Matter of Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle
Administrative Proceeding File No.: 3-15881
Case filed: May 1, 2014 
Qualifying judgment/order: May 1, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-61 Action:

SEC v. Yuhe International, Inc. and Gao Zhentao
Case number: 13-cv-01598 (United States District Court for the District of Columbia)
Case filed: October 18, 2013
Qualifying judgment/order: May 22, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-62 Action:

SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker
Case number: 14-cv-02827 (United States District Court for the District of New Jersey)
Case filed: May 6, 2014
Qualifying judgment/order: May 12, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-63 Action:

SEC v. Richard Olive and Susan Olive
Case number: 13-cv-14047 (United States District Court for the Southern District of Florida)
Case filed: February 4, 2013
Qualifying judgment/order: May 23, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-64 Action:

SEC v. OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw
Case number: 13-cv-23486 (United States District Court for the Southern District of Florida)
Case filed: September 27, 2013
Qualifying judgment/order: May 29, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-65 Action:

SEC v. Herbert Richard Lawson, William B. Lawson, and John J. Cerullo
Case number: 14-cv-02157 (United States District Court for the Northern District of California)
Case filed: May 12, 2014
Qualifying judgment/order: May 23, 2014

Notice Date:06/19/2014 Claim Due Date:09/17/2014
Published date grouping:June 2014 Notice No.:2014-66 Action:

SEC v. Behrooz Sarafraz
Case number: 14-cv-02252 (United States District Court for the Nor