Notice of Covered Actions

In the Matter of Summit Financial Group, Inc.
Administrative Proceeding File No.: 3-19071
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Ronald C. Montano, Travis Stephenson, Antonio Giacca and Michael Wright
Case Number: 18-cv-01606 (United States District Court for the Middle District of Florida)
Date Filed: September 27, 2019
Date of Qualifying Judgment/Order: March 5, 2019

In the Matter of Mobile TeleSystems PJSC
Administrative Proceeding File No.: 3-19022
Date Filed: March 6, 2019
Date of Qualifying Judgment/Order: March 6, 2019

SEC v. Pedro Fort Berbel, Fort Marketing Group LLC
Case Number: 17-cv-23572 (United States District Court for the Southern District of Florida) 
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: March 19, 2019

In the Matter of Ameritas Investment Corp.
Administrative Proceeding File No.: 3-19058
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Chad C. McGinnis and Sergey Pugach
Case Number: 14-cv-00006 (United States District Court for the District of Vermont)
Date Filed: July 24, 2013
Date of Qualifying Judgment/Order: February 22, 2019

In the Matter of Principal Securities, Inc.
Administrative Proceeding File No.: 3-19057
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Benjamin F. Edwards & Co., Inc.
Administrative Proceeding File No.: 3-19054
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Transamerica Financial Advisors, Inc.
Administrative Proceeding File No.: 3-19053
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Robert W. Baird & Co. Incorporated
Administrative Proceeding File No.: 3-19051
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Cambridge Investment Research Advisors, Inc.
Administrative Proceeding File No.: 3-19045
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. John Gregory Schmidt
Case Number: 18-cv-00320 (United States District Court for the Southern District of Ohio)
Date Filed: September 25, 2018
Date of Qualifying Judgment/Order: February 19, 2019

In the Matter of Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.
Administrative Proceeding File No.: 3-19040
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of LPL Financial LLC
Administrative Proceeding File No.: 3-19039
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Commonwealth Equity Services, LLC
Administrative Proceeding File No.: 3-19035
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of AXA Advisors, LLC
Administrative Proceeding File No.: 3-19078
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-19102
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of SSN Advisory, Inc.
Administrative Proceeding File No.: 3-19031
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of M Holdings Securities, Inc.
Administrative Proceeding File No.: 3-19096
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of First Republic Investment Management, Inc.
Administrative Proceeding File No.: 3-19095
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Stifel, Nicolaus & Company, Incorporated
Administrative Proceeding File No.: 3-19092
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Kestra Advisory Services, LLC
Administrative Proceeding File No.: 3-19088
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of BB&T Securities, LLC
Administrative Proceeding File No.: 3-19020
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of RBC Capital Markets, LLC
Administrative Proceeding File No.: 3-19101
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Scott Newsholme
Case Number: 17-cv-06813 (United States District Court for the District of New Jersey)
Date Filed: September 6, 2017
Date of Qualifying Judgment/Order: March 22, 2019

In the Matter of Lumber Liquidators Holdings, Inc.
Administrative Proceeding File No.: 3-19104
Date Filed: March 12, 2019
Date of Qualifying Judgment/Order: March 12, 2019

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-19114
Date Filed: March 22, 2019
Date of Qualifying Judgment/Order: March 22, 2019

In the Matter of ProEquities, Inc.
Administrative Proceeding File No.: 3-19028
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Raymond James Financial Services Advisors, Inc.
Administrative Proceeding File No.: 3-19029
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-19100
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Robert P. DePalo, Joshua B. Gladtke, Gregg A. Lerman, Pangaea Trading Partners LLC, Arjent LLC, Arjent Limited, and Excalibur Asset Management LLC
Case Number: 15-cv-03877 (United States District Court for the Southern District of New York)
Date Filed: May 20, 2015
Date of Qualifying Judgment/Order: February 5, 2019

In the Matter of PlanMember Securities Corporation
Administrative Proceeding File No.: 3-19080
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Woodbury Financial Services, Inc.
Administrative Proceeding File No.: 3-19077
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of TIAA-CREF Individual & Institutional Services, LLC
Administrative Proceeding File No.: 3-19032
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Jersey Consulting LLC, Marc Andrew Tager, Matthew Earl Mangum, Suzanne Aileen Gagnier, Kenneth Stephen Gross, Jeffrey Rowland Lebarton, Jonathan Edward Shoucair, Edward Dean Goss, Dana Kenton Harrloe, and Nicholi Mandracken
Case Number: 18-cv-00155 (United States District Court for the  District of Utah)
Date Filed: February 20, 2018
Date of Qualifying Judgment/Order: January 2, 2019

SEC v. Michael Scronic
Case Number: 17-cv-07615 (United States District Court for the Southern District of New York)
Date Filed: October 5, 2017
Date of Qualifying Judgment/Order: February 11, 2019

SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O’Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., Opko Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc.
Case Number: 18-cv-08175 (United States District Court for the Southern District of New York)
Date Filed: September 7, 2018
Date of Qualifying Judgment/Order: January 10, 2019

SEC v. Peter H. Pocklington, Lantson E. Eldred, Terrence J. Walton, Yolanda C. Velazquez a/k/a Lana Velazquez a/k/a Lana Puleo, Vanessa Puleo, Robert A. Vanetten, Nova Oculus Partners, LLC, f/k/a The Eye Machine, LLC, and AMC Holdings, LLC
Case Number: 18-cv-00701 (United States District Court for the Central District of California)
Date Filed: April 5, 2018
Date of Qualifying Judgment/Order: January 11, 2019

SEC v. Troy Joseph Flowers, Sean Paul Nevett, and Fruition, Inc. (f/k/a Seacoast Advisors, Inc.)
Case Number: 17-cv-01456 (United States District Court for the Southern District of California)
Date Filed: July 19, 2017
Date of Qualifying Judgment/Order: January 10, 2019

In the Matter of Cognizant Technology Solutions Corporation 
Administrative Proceeding File No.: 3-19000
Date Filed: February 15, 2019
Date of Qualifying Judgment/Order: February 15, 2019
 

In the Matter of Andrew F. Nicoletta, Bella Industries LLC, Cranberry Rock Investments, Inc., and J.J. Newport Group, Inc.
Administrative Proceeding File No.: 3-18941
Date Filed: December 19, 2018
Date of Qualifying Judgment/Order: December 19, 2018
 

In the Matter of Deloitte Touche Tohmatsu LLC, Futomichi Amano, and Yuji Itagaki
Administrative Proceeding File No.: 3-18997
Date Filed: February 13, 2019
Date of Qualifying Judgment/Order: February 13, 2019
 

In the Matter of Crowe Horwath LLP, Joseph C. Macina, CPA, and Kevin V. Wydra, CPA
Administrative Proceeding File No.: 3-18953
Date Filed: December 21, 2018
Date of Qualifying Judgment/Order: December 21, 2018
 

SEC v. AriseBank, Jared Rice Sr., and Stanley Ford
Case Number: 18-cv-00186 (United States District for the Northern District of Texas)
Date Filed: January 25, 2018
Date of Qualifying Judgment/Order: December 11, 2018
 

SEC v. Tycoon Energy, Inc. and Matthew Dee Nerbonne
Case Number: 16-cv-00693 (United States District Court for the Eastern District of Texas)
Date Filed: September 9, 2016
Date of Qualifying Judgment/Order: December 12, 2018
 

SEC v. Barry M. Kornfeld, Ferne Kornfeld, FEK Enterprises, Inc., d/b/a First Financial Tax Group, Andrew G. Costa, Costa Financial Insurance Services, Corp., Albert D. Klager, and Atlantic Insurance & Financial Services, Inc.
Case Number: 18-cv-23369 (United States District Court for the Southern District of Florida)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: January 14, 2019
 

SEC v. Robert H. Shapiro, Woodbridge Group of Companies, LLC, d/b/a Woodbridge Wealth, RS Protection Trust, WMF Management, LLC, Woodbridge Structured Funding, LLC, Woodbridge Mortgage Investment Fund 1, LLC, Woodbridge Mortgage Investment Fund 2, LLC, Woodbridge Mortgage Investment Fund 3, LLC, Woodbridge Mortgage Investment Fund 3A, LLC, Woodbridge Mortgage Investment Fund 4, LLC, Woodbridge Commercial Bridge Loan Fund 1, LLC, Woodbridge Commercial Bridge Loan Fund 2, LLC, 144 Woodbridge-Affiliated Property Limited Liability Companies, 131 Woodbridge-Affiliated Holding Limited Liability Companies
Case Number: 17-cv-24624 (United States District Court for the Southern District of Florida
Date Filed: December 20, 2017
Date of Qualifying Judgment/Order: December 27, 2018
 

SEC v. Robert Yang, Claudia Kano, Suncor Fontana, LLC, Suncor Hesperia, LLC, and Suncor Care Lynwood, LLC
Case Number: 15-cv-02387 (United States District Court for the Central District of California)
Date Filed: November 19, 2015
Date of Qualifying Judgment/Order: January 9, 2019

In the Matter of Agria Corporation
Administrative Proceeding File No.: 3-18917
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018

In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-18931
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018

In the Matter of Yucaipa Master Manager, LLC
Administrative Proceeding File No.: 3-18930
Date Filed: December 13, 2018
Date of Qualifying Judgment/Order: December 13, 2018

In the Matter of Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randal “Randy” Hartley
Administrative Proceeding File No.: 3-18952
Date Filed: December 21, 2018
Date of Qualifying Judgment/Order: December 21, 2018

In the Matter of Santander Consumer USA Holdings, Inc.
Administrative Proceeding File No.: 3-18932
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018

SEC v. David H. Brooks
Case Number: 07-cv-61526 (United States District Court for the Southern District of Florida)
Date Filed: October 25, 2007
Date of Qualifying Judgment/Order: December 12, 2018

In the Matter of Centrais Elétricas Brasileiras S.A.
Administrative Proceeding File No.: 3-18962
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: December 26, 2018

SEC v. Jordan E. Goodman
Case Number: 18-cv-25303 (United States District Court for the Southern District of Florida)
Date Filed: December 18, 2018
Date of Qualifying Judgment/Order: December 21, 2018

In the Matter of Polycom, Inc.
Administrative Proceeding File No.: 3-18964
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: December 26, 2018

SEC v. John Afriyie and Lawrencia Afriyie
Case Number: 16-cv-02777 (United States District Court for the Southern District of New York)
Date Filed: April 13, 2016
Date of Qualifying Judgment/Order: November 27, 2018

SEC v. Sunwest Management, Inc. Canyon Creek Development, Inc., Canyon Creek Financial, LLC and Jon M. Harder
Case Number: 09-cv- 06056 (United States District Court for the District of Oregon)
Date Filed: March 2, 2009
Date of Qualifying Judgment/Order: December 7, 2018

SEC v. James V. Mazzo, David L. Parker, and Eddie C. Murray
Case Number: 12-cv-01327  (United States District Court for the Central District of California)
Date Filed: August 17, 2012
Date of Qualifying Judgment/Order: December 7, 2018

In the Matter of NB Alternatives Advisers LLC
Administrative Proceeding File No.: 3-18935
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018

In the Matter of American Portfolios Advisors, Inc.
Administrative Proceeding File No.: 3-18946
Date Filed: December 20, 2018
Date of Qualifying Judgment/Order: December 20, 2018

In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation
Administrative Proceeding File No.: 3-18965
Date Filed: December 31, 2018
Date of Qualifying Judgment/Order: December 31, 2018

In the Matter of JP Morgan Chase Bank, N.A.
Administrative Proceeding File No.: 3-18963
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: December 26, 2018

In the Matter of Bank of New York Mellon
Administrative Proceeding File No.: 3-18933
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018

In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC
Administrative Proceeding File No.: 3-18927
Date Filed: December 12, 2018
Date of Qualifying Judgment/Order: December 12, 2018

In the Matter of Citadel Securities LLC
Administrative Proceeding File No.: 3-18915
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018

In the Matter of Natixis Securities Americas LLC
Administrative Proceeding File No.: 3-18916
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018

In the Matter of MUFG Securities Americas Inc.
Administrative Proceeding File No.: 3-18914
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018

SEC v. Douglas P. Simanski
Case Number: 18-cv-00221 (United States District Court for the Western District of Pennsylvania)
Date Filed: November 2, 2018
Date of Qualifying Judgment/Order: November 6, 2018

SEC  v. Keenan Gracey
Case Number: 18-cv-03872 (United States District Court for the Central District of California)
Date Filed: May 10, 2018
Date of Qualifying Judgment/Order: November 6, 2018

SEC v. Edward Chen, Jean Chen, Home Paradise Investment Center LLC, GH Investment LP, GH Design Group, LLC, Golden Galaxy LP, and Mega Home, LLC
Case Number: 17-cv-06929 (United States District Court for the Central District of California)
Date Filed: September 20, 2017
Date of Qualifying Judgment/Order: November 20, 2018

SEC v. Eric Lesak, Global Research, LLC (PA), and Global Research, LLC (NY)
Case Number: 18-cv- 01951 (United States District Court for the District of Columbia)
Date Filed: August 21, 2018
Date of Qualifying Judgment/Order: October 29, 2018

SEC v. Charles A. Banks, IV
Case Number: 16-cv-03399 (United States District Court for the Northern District of Georgia)
Date Filed: September 9, 2016
Date of Qualifying Judgment/Order: November 1, 2018

SEC v. John Sherman Jumper, Alluvion Securities, LLC, American Investments Fund, II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC
Case Number: 18-cv-02259 (United States District Court for the Western District of Tennessee)
Date Filed: April 17, 2018
Date of Qualifying Judgment/Order: November 1, 2018

In the Matter of Vantage Drilling International
Administrative Proceeding File No.: 3-18899
Date Filed: November 19, 2018
Date of Qualifying Judgment/Order: November 19, 2018

SEC v. Steve Qi and Law Offices of Steve Qi & Associates, A Professional Corporation
Case Number: 17-cv-08856 (United States District Court for the Central District of California)
Date Filed: December 8, 2017
Date of Qualifying Judgment/Order: November 5, 2018

In the Matter of Fifth Street Management, LLC
Administrative Proceeding File No.: 3-18909
Date Filed: December 3, 2018
Date of Qualifying Judgment/Order: December 3, 2018

SEC v. Tesla, Inc.
Case Number:  18-cv- 08947 (United States District Court for the Southern District of New York)
Date Filed: September 29, 2018
Date of Qualifying Judgment/Order: October 16, 2018

SEC v. Elon Musk
Case Number: 18-cv-08865 (United States District Court for the Southern District of New York)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: October 16, 2018

In the Matter of ITG Inc. and AlterNet Securities, Inc.
Administrative Proceeding File No.: 3-18887
Date Filed: November 7, 2018
Date of Qualifying Judgment/Order: November  7, 2018

SEC v. Lawrence P. Schmidt; Futuregen Company d/b/a Futuregen Capital Commercial Equity Partners, LTD.; FGC Distressed Assets Investment #1, LLC; Futuregen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC
Case Number: 14-cv-01002 (United States District Court for the District of Columbia)
Date Filed: June 12, 2014
Date of Qualifying Judgment/Order: October 3, 2018

In the Matter of Citibank, N.A.
Administrative Proceeding File No.: 3-18886
Date Filed: November 7, 2018
Date of Qualifying Judgment/Order: November  7, 2018

SEC v. Lawrence E. Penn, III, Michael St. Altura Ewers, Camelot Acquisitions Secondary Opportunities Management, LLC, The Camelot Group International, LLC, and Ssecurion, LLC
Case Number: 14-cv- 00581 (United States District Court for the Southern District of New York)
Date Filed: January 30, 2014
Date of Qualifying Judgment/Order: October 1, 2018

SEC v. Emilio Francisco; PDC Capital Group, LLC; Caffe Primo International, Inc.; Sal Assisted Living, LP; Sal Carmichael, LP; Sal Citrus Heights, LP; Sal Kern Canyon, LP; Sal Phoenix, LP; Sal Westgate, LP; Summer place at Sarasota, LP; Summerplace at Clearwater, LP; Summerplace at Correll Palms, LP; TRC Tucson, LP; Clear Currents West, LP; Caffe Primo Management, LP; Caffe Primo Management 102, LP; Caffe Primo Management 103, LP; Caffe Primo Management 104, LP; Caffe Primo Management 105, LP; Caffe Primo Management 106, LP; Caffe Primo Management 107, LP; Caffe Primo Management 108, LP
Case Number:  16-cv-02257 (United States District Court for the Central District of California)
Date Filed: December 27, 2016
Date of Qualifying Judgment/Order: October 4, 2018

SEC v. Tangoe, Inc., Albert R. Subbloie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach
Case Number: 18-cv-01479 (United States District Court for the District of Connecticut)
Date Filed: September 4, 2018
Date of Qualifying Judgment/Order: October 10, 2018

SEC v. William M. Apostelos, WMA Enterprises, LLC, Midwest Green Resources, LLC, and Ovo Wealth Management, LLC
Case Number: 15-cv-00699 (United States District Court for the Southern District of Ohio)
Date Filed: October 29, 2015 
Date of Qualifying Judgment/Order: October 1, 2018

SEC v. Iftikar Ahmed
Case Number: 15-cv-00675 (United States District Court for the District of Connecticut)
Date Filed: May 6, 2015
Date of Qualifying Judgment/Order: September 27, 2018

SEC v. SeaWorld Entertainment, Inc., and James Atchison
Case Number: 18-cv-08480 (United States District Court for the Southern District of New York)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: October 4, 2018

SEC v. Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC
Case Number: 18-cv-61234 (United States District Court for the Southern District of Florida)
Date Filed: June 4, 2018
Date of Qualifying Judgment/Order: October 29, 2018

SEC v. Matthew Carl Griffin and William Daniel Griffin
Case Number: 16-cv-00902 (United States District Court for the Eastern District of Texas)
Date Filed: November 23, 2016
Date of Qualifying Judgment/Order: October 9, 2018

SEC v. Thurman P. Bryant, III, and Bryant United Capital Funding, Inc.
Case Number: 17-cv-00336 (United States District Court for the Eastern District of Texas)
Date Filed: May 15, 2017
Date of Qualifying Judgment/Order: October 9, 2018

In the Matter of CMB Export, LLC; Patrick F. Hogan; CMB Infrastructure Investment Group VI-C, LP; CMB Infrastructure Investment Group VII, LP; CMB Infrastructure Investment Group VIII, LP; CMB Infrastructure Investment Group IX, LP; CMB Infrastructure Investment Group X, LP; CMB Export Infrastructure Investment Group XI, LP; CMB Export Infrastructure Investment Group XII, LP; CMB Export Infrastructure Investment Group XIII, LP; CMB Export Infrastructure Investment Group XIV, LP; CMB Export Infrastructure Investment Group XV, LP; CMB Export Infrastructure Investment Group XVI, LP; CMB Export Infrastructure Investment Group XVII, LP; CMB Export Infrastructure Investment Group XVIII, LP; CMB Texas Infrastructure Investment Group XIX, LP; CMB Texas Infrastructure Investment Group 20, LP; CMB Texas Infrastructure Investment Group 21, LP; CMB Texas Infrastructure Investment Group 22, LP; CMB Export Infrastructure Investment Group 23, LP; CMB Texas Infrastructure Investment Group 24, LP; CMB Texas Infrastructure Investment Group 25, LP; CMB Florida Infrastructure Investment Group 26, LP; CMB Texas Infrastructure Investment Group 27, LP; CMB Export Infrastructure Investment Group 28, LP; CMB Export Infrastructure Investment Group 29, LP; CMB Tennessee Infrastructure Investment Group 30 LP; CMB Export Infrastructure Investment Group 31, LP; CMB North Dakota Infrastructure Investment Group 32, LP; CMB Pennsylvania Infrastructure Investment Group 33, LP; CMB Export Infrastructure Investment Group 34, LP; CMB Export Infrastructure Investment Group 35, LP; CMB Maryland Infrastructure Investment Group 37, LP; CMB Texas Infrastructure Investment Group 40, LP; CMB Colorado Infrastructure Investment Group 41, LP; CMB Indiana Infrastructure Investment Group 43, LP; CMB Texas Infrastructure Investment Group 45, LP; CMB Nebraska Infrastructure Investment Group 47, LP; And CMB North Carolina Infrastructure Investment Group 50, LP
Administrative Proceeding File No.: 3-18825
Date Filed: September 21, 2018
Date of Qualifying Judgment/Order: September 21, 2018

SEC v. Jason McDiarmid, Kenneth George Cedric Telford and Stop Sleep Go. Inc., fka Interactive Multi-Media Auction Corp.
Case Number:  17-cv-07201 (United States District Court for the Central District of California)
Date Filed: September 29, 2017
Date of Qualifying Judgment/Order: November 19, 2018

SEC v. Peter C. Chang
Case Number: 17-cv-05438 (United States District Court for the Northern District of California)
Date Filed: September 20, 2017
Date of Qualifying Judgment/Order: September 17, 2018

SEC v. San Francisco Regional Center, LLC; Thomas M. Henderson; California Gold Medal, L.P.; CallSocket, L.P; CallSocket II, L.P; CallSocket III, L.P.; Comprehensive Care of Oakland, L.P.; NA3PL, L.P.; West Oakland Plaza, L.P.; CallSocket, LLC; CallSocket II, LLC; CallSocket III, LLC; Comprehensive Care of California, LLC; Immedia, LLC: and North America 3PL, LLC
Case Number: 17-cv- 00223 (United States District Court for the Northern District of California)
Date Filed: January 17, 2017
Date of Qualifying Judgment/Order: September 24, 2018

In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA
Administrative Proceeding File No.: 3-18806
Date Filed: September 20, 2018
Date of Qualifying Judgment/Order: September 20, 2018

In the Matter of Capital Analysts, LLC
Administrative Proceeding File No.: 3-18765
Date Filed: September 14, 2018
Date of Qualifying Judgment/Order: September 14, 2018

SEC v. Dennis Wayne Hamilton
Case Number: 16-cv-00192 (United States District Court for the District of Connecticut)
Date Filed: February 5, 2016
Date of Qualifying Judgment/Order: September 25, 2018

In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC
Administrative Proceeding File No.: 3-18766
Date Filed: September 14, 2018
Date of Qualifying Judgment/Order: September 14, 2018

In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-18857
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018

In the Matter of Stryker Corporation
Administrative Proceeding File No.: 3-18853
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018

SEC v. Sharone Perlstein, Aric Yerusalem Swartz a/k/a Eric Yerusalem Swartz and Hadas Miriam Yaron
Case Number: 18-cv-01026 (United States District Court for the Eastern District of New York)
Date Filed: February 16, 2018
Date of Qualifying Judgment/Order: September 27, 2018

SEC v. Arista Power, Inc., Peter Kolokouris, William A. Schmitz, Michael T. Hughes, Janice Papapanu, Michael Papapanu, Ekaterini Kolokouris, Demitrios Kolokouris, Anastasios Kolokouris, Ioannis “John” Kolokouris, Sophia Kolokouris, Terry Bechakas, 100 Demetrios, Inc., 200 Anastasios, Inc., 300 Ioannis, Inc., 400 Terry, Inc., 500 Sophia, Inc., Just Sell Gold, Inc., and Express Gold Cash, Inc.
Case Number: 17-cv-04598 (United States District Court for the Southern District of New York)
Date Filed: June 19, 2017
Date of Qualifying Judgment/Order: September 10, 2018

SEC v. NL Technology, LLC, Jonny Ngo, and Donato Baca, Jr.
Case Number: 18-cv-02253 (United States District Court for the Southern District of California)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: September 28, 2018

In the Matter of Convergex Execution Solutions, LLC, now known as Cowen Execution Services LLC
Administrative Proceeding File No.: 3-18761
Date Filed: September 13, 2018
Date of Qualifying Judgment/Order: September 13, 2018

In the Matter of Petróleo Brasileiro S.A. – Petrobras
Administrative Proceeding File No.: 3-18843
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: September 27, 2018

In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr
Administrative Proceeding File No.: 3-18819
Date Filed: September 21, 2018
Date of Qualifying Judgment/Order: September 21, 2018

SEC v. Steve H. Karroum a/k/a Mustapha Karroum, and FX & Beyond Corporation
Case Number: 17-cv-00187 (United States District Court for the Eastern District of Virginia)
Date Filed: February 21, 2017
Date of Qualifying Judgment/Order: September 10, 2018

In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon
Administrative Proceeding File No.: 3-18850
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018

In the Matter of United Technologies Corporation
Administrative Proceeding File No.: 3-18745
Date Filed: September 12, 2018
Date of Qualifying Judgment/Order: September 12, 2018
 

In the Matter of Sanofi
Administrative Proceeding File No.: 3-18708
Date Filed: September 4, 2018
Date of Qualifying Judgment/Order: September 4, 2018

SEC v.  Commodities Online, LLC and Commodities Online Management, LLC
Case Number: 11-cv-60702 (United States District Court for the Southern District of Florida)
Date Filed: April 1, 2011
Date of Qualifying Judgment/Order: September 24, 2018

In the Matter of Mark R. Graham, Blue Capital Management, Inc., and Blue Alternative Asset Management, LLC
Administrative Proceeding File No.: 3-18724
Date Filed: September 6, 2018
Date of Qualifying Judgment/Order: September 6, 2018

In the Matter of LendingClub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud LaPlanche
Administrative Proceeding File No.: 3-18855
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018

SEC v. Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast
Case Number:18-cv-02381 (United States District Court for the District of Colorado)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: September 19, 2018

In the Matter of Putnam Investment Management, LLC and Zachary Harrison
Administrative Proceeding File No.: 3-18844
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: September 27, 2018

SEC v. Hope Advisors, LLC, and Karen Bruton
Case Number: 16-cv-01752 (United States District Court for the Northern District of Georgia)
Date Filed: May 31, 2016
Date of Qualifying Judgment/Order: September 14, 2018

SEC v. CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin
Case Number: 15-cv-01068 (United States District Court for the Middle District of North Carolina)
Date Filed: December 16, 2015
Date of Qualifying Judgment/Order: September 26, 2018

SEC v. Intertech Solutions, Inc., William Scott Marshall, and David Michael Naylor
Case Number: 18-cv-01566 (United States District Court for the District of Nevada)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: August 23, 2018
 

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18651
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: August 20, 2018

In the Matter of Citigroup Global Markets Inc. and Citigroup Inc.
Administrative Proceeding File No.: 3-18647
Date Filed: August 16, 2018
Date of Qualifying Judgment/Order: August 16, 2018

In the Matter of Citigroup, Inc.
Administrative Proceeding File No.: 3-18646
Date Filed: August 16, 2018
Date of Qualifying Judgment/Order:  August 16, 2018

SEC v. Jason W. Galanis, John P. Galanis, Jared M. Galanis, Derek M. Galanis, Gary T. Hirst, and Gavin L. Hamels
Case Number: 15-cv-07547 (United States District Court for the Southern District of New York)
Date Filed: September 24, 2015
Date of Qualifying Judgment/Order: August 9, 2018

SEC v. David A. Harbour
Case Number: 18-cv-02401 (United States District Court for the District of Arizona)
Date Filed: July 31, 2018
Date of Qualifying Judgment/Order: August 9, 2018

SEC v. William Z. (“Billy”) McFarland, Frye Media, Inc., Magnises, Inc., Grant Margolin, and Daniel Simon
Case Number: 18-cv-06634 (United States District Court for the Southern District of New York)
Date Filed: July 25, 2018
Date of Qualifying Judgment/Order: August 1, 2018

In the Matter of Moody’s Investors Service, Inc.
Administrative Proceeding File No.: 3-18689
Date Filed: August 28, 2018
Date of Qualifying Judgment/Order: August 28, 2018

In the Matter of Ribbon Communications Inc., Mark Greenquist, and Michael Swade
Administrative Proceeding File No.: 3-18624
Date Filed: August 7, 2018
Date of Qualifying Judgment/Order: August 7, 2018

In the Matter of Moody’s Investors Service, Inc.
Administrative Proceeding File No.: 3-18688
Date Filed: August 28, 2018
Date of Qualifying Judgment/Order: August 28, 2018

SEC v. RMR Asset Management Company, Bruce A. Broekhuizen, Douglas J. Derryberry, David R. Frost, Richard C. Gounaud, Neil P. Kelly, John M. Kirschenbaum, David S. Luttbeg, Timothy J. McAloon, Jocelyn M. Murphy, Michael S. Murphy, Ralph M. Riccardi, Dewey T. Tran, and Philip A. Weiner
Case Number: 18-cv-01895 (United States District Court for the Southern District of California)
Date Filed: August 14, 2018
Date of Qualifying Judgment/Order: August 17, 2018

SEC v. Core Performance Management, LLC, James P. Scherr, Deborah B. Dora, Sharlene F. Mesite, James O’Neil, and Anadel R. Pinzon
Case Number: 18-cv-81081 (United States District Court for the Southern District of Florida)
Date Filed: August 14, 2018
Date of Qualifying Judgment/Order: August 16, 2018

In the Matter of Ameriprise Financial Services, Inc.
Administrative Proceeding File No.: 3-18642
Date Filed: August 15, 2018
Date of Qualifying Judgment/Order: August 15, 2018

In the Matter of Jinesh P. Brahmbhatt
Administrative Proceeding File No.: 3-18635
Date Filed: August 9, 2018
Date of Qualifying Judgment/Order: August 9, 2018

SEC v. Mieka Energy Corporation, Vadda Energy Corporation, Daro Ray Blankenship, Robert William Myers, Jr., and Stephen Romo
Case Number: 15-cv-00300 (United States District Court for the Northern District of Texas)
Date Filed: April 10, 2015
Date of Qualifying Judgment/Order: August 6, 2018

SEC v. Lynette M. Robbins and Knowles Systems, Inc.
Case Number: 18-cv-23368 (United States District Court for the Southern District of Florida)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: August 24, 2018

In the Matter of AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc.
Administrative Proceeding File No.: 3-18681
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018

In the Matter of Bradley J. Beman
Administrative Proceeding File No.: 3-18682
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018

In the Matter of Kevin A. Giles
Administrative Proceeding File No.: 3-18683
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018

SEC v. Gary S. Williky
Case Number: 15-cv-00357 (United States District Court for the Southern District of Indiana)
Date Filed: March 2, 2015
Date of Qualifying Judgment/Order: August 6, 2018

In the Matter of Massachusetts Financial Services Company
Administrative Proceeding File No.: 3-18704
Date Filed: August 31, 2018
Date of Qualifying Judgment/Order: August 31, 2018

In the Matter of Hari K. Ravichandran
Administrative Proceeding File No.: 3-18653
Date Filed: August 21, 2018
Date of Qualifying Judgment/Order: August 21, 2018

In the Matter of Waruna Tivanka Ellawala
Administrative Proceeding File No.: 3-18654
Date Filed: August 21, 2018
Date of Qualifying Judgment/Order: August 21, 2018

In the Matter of Legg Mason, Inc.
Administrative Proceeding File No.: 3-18684
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018

SEC v. Medient Studios, Inc., FONU2, Inc., Manu Kumaran, Joel A. “Jake” Shapiro, and Roger Miguel
Case Number: 16-cv-00253 (United States District Court for the Southern District of Georgia)
Date Filed: September 23, 2016
Date of Qualifying Judgment/Order: August 3, 2018

SEC v. T.J. Jesky, Esq. and Mark DeStefano
Case Number: 18-cv-05980 (United States District Court for the Southern District of New York)
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 9, 2018

SEC v. Paul Z. Singer and Singer Financial Corp.
Case Number: 17-cv-05053 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: November 9, 2017
Date of Qualifying Judgment/Order: July 24, 2018

In the Matter of Deutsche Bank Trust Company Americas
Administrative Proceeding File No.: 3-18605
Date Filed: July 20, 2018
Date of Qualifying Judgment/Order: July 20, 2018

In the Matter of BGC Financial, L.P.
Administrative Proceeding File No.: 3-18598
Date Filed: July 17, 2018
Date of Qualifying Judgment/Order: July 17, 2018

SEC v. Charles Schwab & Co. Inc.
Case Number: 18-cv-03942 (United States District Court for the Northern District of California)
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 9, 2018
 

In the Matter of Advanced Drainage Systems, Inc. and Mark B Sturgeon, CPA
Administrative Proceeding File No.: 3-18582
Date Filed: July 10, 2018
Date of Qualifying Judgment/Order: July 10, 2018

In the Matter of Mizuho Securities USA LLC
Administrative Proceeding File No.: 3-18069
Date Filed: July 23, 2018
Date of Qualifying Judgment/Order: July 23, 2018

SEC v. Robert Gadimian (a/k/a Robert Ghadimian)
Case Number: 16-cv-11955 (United States District Court for the District of Massachusetts)
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: July 19, 2018

SEC v. James VanBlaricum, Rodney L. Pope, Chet Inglis, Matthew Leaverton, William Hill, Erik Rhodes, and Robert Gilliam
Case Number: 18-cv-00518 (United States District Court for the Northern District of Texas)
Date Filed: June 26, 2018
Date of Qualifying Judgment/Order: July 6, 2018

SEC v. Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies
Case Number: 15-cv-02767 (United States District Court for the Southern District of Texas)
Date Filed: September 22, 2015
Date of Qualifying Judgment/Order: July 5, 2018
 

SEC v. United Development Funding III, LP; United Development Funding IV; Hollis M. Greenlaw; Benjamin L. Wissink; Theodore F. Etter; Cara D. Obert; and David A. Hanson
Case Number: 18-cv-01735 (United States District Court for the Northern District of Texas)
Date Filed: July 3, 2018
Date of Qualifying Judgment/Order: July 31, 2018

SEC v. Erick Laszlo Mathe and Ashif Jiwa
Case Number: 14-cv-23573 (United States District Court for the Southern District of Florida)
Date Filed: September 26, 2014
Date of Qualifying Judgment/Order: July 3, 2018

In the Matter of The Dow Chemical Company
Administrative Proceeding File No.: 3-18570
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 2, 2018

SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell
Case Number: 16-cv-01877 (United States District Court for the District of Minnesota)
Date Filed: June 7, 2016
Date of Qualifying Judgment/Order: July 11, 2018

SEC v. Yasuna Murakami; Avi Chiat; MC2 Capital Management, LLC; MC2 Canada Capital Management, LLC
Case Number: 17-cv-10928 (United States District Court for the District of Massachusetts)
Date Filed: May 22, 2017
Date of Qualifying Judgment/Order: August 6, 2018

SEC v. Joseph Meli, Matthew Harriton, 875 Holdings, LLC, 127 Holdings LLC, Advance Entertainment, LLC, and Advance Entertainment II, LLC
Case Number: 17-cv-00632 (United States District Court for the Southern District of New York)
Date Filed: January 27, 2017
Date of Qualifying Judgment/Order: July 13, 2018

In the Matter of THL Managers V, LLC and THL Managers VI, LLC
Administrative Proceeding File No.: 3-18565
Date Filed: June 29, 2018
Date of Qualifying Judgment/Order: June 29, 2018

SEC v. Christopher A. Faulkner, Breitling Energy Corporation, Jeremy S. Wagers, Judson F. (“Rick”) Hoover, Parker R. Hallam, Joseph Simo, Dustin Michael Miller Rodriguez, Beth C. Handkins, Gilbert Steedley, Breitling Oil & Gas Corporation, Crude Energy, LLC, Patriot Energy, Inc.
Case Number: 16-cv-01735 (United States District Court for the Northern District of Texas)
Date Filed: June 24, 2016
Date of Qualifying Judgment/Order: July 20, 2018

In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-18606
Date Filed: July 20, 2018
Date of Qualifying Judgment/Order: July 20, 2018

In the Matter of Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-18566
Date Filed: June 29, 2018
Date of Qualifying Judgment/Order: June 29, 2018

In the Matter of deVere USA, Inc.
Administrative Proceeding File No.: 3-18527
Date Filed: June 4, 2018
Date of Qualifying Judgment/Order: June 4, 2018

In the Matter of Cantor Fitzgerald & Co.
Administrative Proceeding File No.: 3-18560
Date Filed: June 29, 2018
Date of Qualifying Judgment/Order: June 29, 2018

SEC v. Pacific West Capital Group, Inc.; Andrew B Calhoun IV; PWCG  Trust; Brenda Christine Barry; Bak West, Inc.; Andrew B Calhoun Jr.; Eric Christopher Cannon; Century Point, LLC; Michael Wayne Dotta; and Caleb Austin Moody (dba Sky Stone)
Case Number: 15-cv-02563 (United States District Court for Central District of California)
Date Filed: April 7, 2015
Date of Qualifying Judgment/Order: June 18, 2018

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18549
Date Filed: June 19, 2018
Date of Qualifying Judgment/Order: June 19, 2018

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18538
Date Filed: June 12, 2018
Date of Qualifying Judgment/Order: June 12, 2018

In the Matter of Beam Inc., n/k/a Beam Suntory Inc.
Administrative Proceeding File No.: 3-18568
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 2, 2018

SEC v. Texas Coastal Energy Company, LLC and Jefferey A. Gordon
Case Number: 18-cv-01587 (United States District Court for the Northern District of Texas)
Date Filed: June 19, 2018
Date of Qualifying Judgment/Order: June 28, 2018

In the Matter of KBR, Inc.
Administrative Proceeding File No.: 3-18569
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 2, 2018

SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon
Case Number: 17-cv-01894 (United States District Court for the Western District of Washington)
Date Filed: December 19, 2017
Date of Qualifying Judgment/Order: June 7, 2018

SEC v. David Howard Welch, Marc Jay Bryant, John Charles Knight, Perry Douglas West, Bio-Global Resources, Inc., Diversified Equities, Inc., Diversified Equities Development, Inc., and New Global Energy, Inc.
Case Number: 17-cv-01968 (United States District Court for the Central District of California)
Date Filed: September 27, 2017
Date of Qualifying Judgment/Order: June 18, 2018

SEC v. Quadrant 4 System Corp., Nandu Thondavadi, and Dhru Desai
Case Number: 17-cv-04883 (United States District Court for the Northern District of Illinois)
Date Filed: June 29, 2017
Date of Qualifying Judgment/Order: June 25, 2018

In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-18556
Date Filed: June 25, 2018
Date of Qualifying Judgment/Order: June 25, 2018

In the Matter of Constant Contact, Inc. and Endurance International Group Holdings, Inc.
Administrative Proceeding File No.: 3-18531
Date Filed: June 5, 2018
Date of Qualifying Judgment/Order: June 5, 2018

In the Matter of Credit Suisse Group AG
Administrative Proceeding File No.: 3-18571
Date Filed: July 5, 2018
Date of Qualifying Judgment/Order: July 5, 2018

In the Matter of Visium Asset Management, LP
Administrative Proceeding File No.: 3-18473
Date Filed: May 8, 2018
Date of Qualifying Judgment/Order: May 8, 2018

SEC v. SW Argyll Investments, LLC (d/b/a Argyll Investments, LLC), James T. Miceli, Douglas A. McClain, Jr., Amerifund Capital Finance, LLC, and Jeffrey Spanier
Case Number: 12-cv-00646 (United States District Court for the Southern District of California)
Date Filed: March 15, 2012
Date of Qualifying Judgment/Order: April 26, 2018

SEC v. GC Resources, LLC and Brian J. Polito
Case Number: 15-cv-01048 (United States District Court for the Northern District of Texas)
Date Filed: April 6, 2015
Date of Qualifying Judgment/Order: May 7, 2018

In the Matter of Altaba Inc., f/d/b/a Yahoo! Inc.
Administrative Proceeding File No.: 3-18448
Date Filed: April 24, 2018
Date of Qualifying Judgment/Order: April 24, 2018

In the Matter of PNC Investments LLC
Administrative Proceeding File No.: 3-18426
Date Filed: April 6, 2018
Date of Qualifying Judgment/Order: April 6, 2018

SEC v. Merrill Robertson, Jr., Sherman C. Vaughn, Jr., and Cavalier Union Investments, LLC
Case Number: 16-cv-00667 (United States District Court for the Eastern District of Virginia)
Date Filed: August 10, 2016
Date of Qualifying Judgment/Order: April 3, 2018

SEC v. Capital Cover Bancorp LLC; Christopher M. Less aka Rashid K. Khalfani
Case Number: 15-cv-00980 (United States District Court for the Central District of California)
Date Filed: June 19, 2015
Date of Qualifying Judgment/Order: March 22, 2018

In the Matter of The Dun & Bradstreet Corporation
Administrative Proceeding File No.: 3-18446
Date Filed: April 23, 2018
Date of Qualifying Judgment/Order: April 23, 2018

In the Matter of Panasonic Corporation
Administrative Proceeding File No.: 3-18459
Date Filed: April 30, 2018
Date of Qualifying Judgment/Order: April 30, 2018

In the Matter of Geneos Wealth Management, Inc.
Administrative Proceeding File No.: 3-18425
Date Filed: April 6, 2018
Date of Qualifying Judgment/Order: April 6, 2018

In the Matter of Securities America Advisors, Inc.
Administrative Proceeding File No.: 3-18424
Date Filed: April 6, 2018
Date of Qualifying Judgment/Order: April 6, 2018
 

SEC v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan
Case Number: 15-cv-00053 (United States District Court for the District of North Dakota)
Date Filed: May 5, 2015
Date of Qualifying Judgment/Order: April 25, 2018

SEC v. Lucita A. Zamoras
Case Number: 17-cv-02528 (United States District Court for the Northern District of Illinois)
Date Filed: April 3, 2017
Date of Qualifying Judgment/Order: March 9, 2018

SEC v. McKinley Mortgage Co. LLC, McKinley Mortgage Company, LLC, Tobias J. Preston, Charles G. Preston, Caleb J. Preston, and Laura A. Sanford
Case Number: 18-cv-00616 (United States District Court for the Eastern District of California)
Date Filed: March 22, 2018
Date of Qualifying Judgment/Order: March 27, 2018
 

In the Matter of Voya Investments, LLC and Direct Services LLC
Administrative Proceeding File No.: 3-18393
Date Filed: March 8, 2018
Date of Qualifying Judgment/Order: March 8, 2018
 

In the Matter of Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. DeWitt, Jr., CPA
Administrative Proceeding File No.: 3-18408
Date Filed: March 27, 2018
Date of Qualifying Judgment/Order: March 27, 2018

In the Matter of Steven Zoernack and EquityStar Capital Management, LLC
Administrative Proceeding File No.: 3-17157
Date Filed: March 8, 2016
Date of Qualifying Judgment/Order: February 26, 2018

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18392
Date Filed: March 8, 2018
Date of Qualifying Judgment/Order: March 8, 2018
 

Matthew W. Fox and Wayne Energy, LLC
Case Number: 17-cv-00271 (United States District Court for the Eastern District of Texas)
Date Filed: April 19, 2017
Date of Qualifying Judgment/Order: March 8, 2018
 

SEC v. Howard B. Present
Case Number: 14-cv-14692 (United States District Court for the District of Massachusetts)
Date Filed: December 22, 2014
Date of Qualifying Judgment/Order: March 22, 2018
 

SEC v. James Hugh Brennan III; Douglas Albert Dyer; and Broad Street Ventures, LLC
Case Number:16-cv-00307 (United States District Court for the Eastern District of Tennessee)
Date Filed: July 20, 2016
Date of Qualifying Judgment/Order: February 20, 2018
 

SEC v. Revolutions Medical Corp. and Rondald L. Wheet
Case Number: 12-cv-03298 (United States District Court for the Northern District of Georgia)
Date Filed: September 21, 2012
Date of Qualifying Judgment/Order: March 16, 2018

SEC v. JSG Capital Investments, LLC, JSG Capital, LLC, JSG Capital, LLC, JSG Enterprises, LLC, Jaswants S. Gill, and Javier Rios
Case Number: 16-cv-02814 (United States District Court for the Northern District of California)
Date Filed: May 25, 2015
Date of Qualifying Judgment/Order: September 12, 2017

SEC v. Kevin J. Amell
Case Number: 17-cv-10707 (United States District Court for the District of Massachusetts)
Date Filed: April 24, 2017
Date of Qualifying Judgment/Order: February 2, 2018

In the Matter of New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.
Administrative Proceeding File No.: 3-18388
Date Filed: March 6, 2018
Date of Qualifying Judgment/Order: March 6, 2018

In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon
Administrative Proceeding File No.: 3-18367
Date Filed: February 12, 2018
Date of Qualifying Judgment/Order: February 12, 2018
 

SEC v. James P. Griffin, John Wolle, 54Freedom Inc., 54Freedom Securities Inc., 54Freedom Tele Inc., MoneyIns Inc., 54Freedom Foundation Inc., 5 Ledyard Avenue LLC, 5 Ledyard Corporation, and IICNet LLC
Case Number: 15-cv-00927 (United States District Court for the Northern District of New York)
Date Filed: July 30, 2015
Date of Qualifying Judgment/Order: February 23, 2018

SEC v. Steven Ventre, Dedicated Sound and Audio, Inc., Eric Lovy f/k/a Eric Beltran, and Choice Equity
Case Number: 18-cv-00323 (United States District Court for the Central District of California)
Date Filed: February 26, 2018
Date of Qualifying Judgment/Order: March 2, 2018

In the Matter of Wedbush Securities Inc.
Administrative Proceeding File No.: 3-18357
Date Filed: February 5, 2018
Date of Qualifying Judgment/Order: February 5, 2018

SEC v. Matthew D. Sample
Case Number: 14-cv-01218 (United States District Court for the Northern District of Texas)
Date Filed: April 4, 2014
Date of Qualifying Judgment/Order: February 2, 2018

SEC v. LottoNet Operating Corp., David Gray, Joseph Vitale a/k/a Donovan Kelly
Case Number: 17-cv-21033 (United States District Court for the Southern District of Florida)
Date Filed: March 20, 2017
Date of Qualifying Judgment/Order: February 26, 2018

SEC v. Daniel P. McKelvey, Alvin S. Mirman, Steven Sanders, Scott F. Hughes, Jeffrey L. Lamson, and Edward G. Sanders
Case Number: 15-cv-80496 (United States District Court for the Southern District of Florida)
Date Filed: April 16, 2015
Date of Qualifying Judgment/Order: February 23, 2018

SEC v. Ariel Quiros, William Stenger, Jay Peak, Inc., Q Resorts, Inc., Jay Peak Hotel Suites L.P., Jay Peak Hotel Suites Phase II L.P., Jay Peak Management, Inc., Jay Peak Penthouse Suites L.P., Jay Peak GP Services, Inc., Jay Peak Golf and Mountain Suites L.P., Jay Peak GP Services Golf, Inc., Jay Peak Lodge and Townhouses L.P., Jay Peak GP Services Lodge, Inc., Jay Peak Hotel Suites Stateside L.P., Jay Peak GP Services Stateside, Inc., Jay Peak Biomedical Research Park, L.P., AnC Bio Vermont GP Services, LLC
Case Number: 16-cv-21301 (United States District Court for the Southern District of Florida)
Date Filed: April 12, 2016
Date of Qualifying Judgment/Order: February 6, 2018
 

SEC v. James C. Howard III, Michael R. Casey, and Louis N. Gallo III
Case Number: 12-cv-61731 (United States District Court for the Southern District of Florida)
Date Filed: September 5, 2012
Date of Qualifying Judgment/Order: February 15, 2018
 

SEC v. U.S. EB-5 Investments LLC, Oakland Office Holdings LLC, B.X Wok Construction LLC, US Investment LLC d/b/a US Investment FL LLC, Top Sun Energy LLC, Ocean Blvd. Family Limited Partnership, Ltd., B.X Property Management LLC, US1 Real Estate Developments, LLC, and Investor Asset Protection, LLC
Case Number: 15-cv-62323 (United States District Court for the Southern District of Florida)
Date Filed: November 3, 2015
Date of Qualifying Judgment/Order: January 22, 2018
 

SEC v. Thomas Edward Andrews and Scott Walter Christensen
Case Number: 17-cv-00256 (United Stated District Court for the District of Utah)
Date Filed: April 5, 2017
Date of Qualifying Judgment/Order: January 29, 2018
 

SEC v. Marquis Properties, LLC, Chad Deucher, and Richard Clatfelter
Case Number: 16-cv-00040 (United States District Court for the District of Utah)
Date Filed: January 19, 2016
Date of Qualifying Judgment/Order: January 30, 2018
 

SEC v. Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc.
Case Number: 16-cv-05143 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: September 28, 2016
Date of Qualifying Judgment/Order: November 30, 2017

SEC v. Brian A. Bjork; Estate of Joel David Salinas; J. David Group of Companies, Inc.; J. David Financial Group, L.P.; Select Asset Management, LLC; Select Capital Management, LLC; Select Asset Fund I, LLC; and Select Asset Prime Index Fund, LLC
Case Number: 11-cv-02830 (United States District Court for the Southern District of Texas)
Date Filed: August 1, 2011
Date of Qualifying Judgment/Order: January 8, 2018
 

SEC v. Michael L. Hudson
Case Number: 17-cv-00520 (United Stated District Court for the Southern District of Ohio)
Date Filed: August 4, 2017
Date of Qualifying Judgment/Order: January 9, 2018

In the Matter of Industrial and Commercial Bank of China Financial Services LLC
Administrative Proceeding File No.: 3-18341
Date Filed: January 18, 2018
Date of Qualifying Judgment/Order: January 18, 2018

SEC v. David B. Kaplan, Esq., Synchronized Organizational Solutions, LLC, Synchronized Organizational Solutions International, Ltd., and Manna International Enterprises, Inc.
Case Number: 16-cv-00270 (United States District Court for the District of Nevada)
Date Filed: May 19, 2016
Date of Qualifying Judgment/Order: January 9, 2018
 

SEC v. Hadsell Chemical Processing, LLC and Robert Walton, Jr.
Case Number: 17-cv-00432 (United States District Court for the Southern District of Ohio)
Date Filed: May 17, 2017
Date of Qualifying Judgment/Order: February 1, 2018

SEC v. Geoffrey H. Lunn, Darlene A. Bishop, and Vincent G. Curry
Case Number: 12-cv-02767 (United States District Court for the District of Colorado)
Date Filed: October 18, 2012
Date of Qualifying Judgment/Order: January 31, 2018
 

SEC v. David S. Haddad, Trafalgar Square Risk Management, LLC, and New England RE, LLC
Case Number: 18-cv-00055 (United States District Court for the District of Connecticut)
Date Filed: January 11, 2018
Date of Qualifying Judgment/Order: January 18, 2018
 

SEC v. Eric J. McPhail, Douglas A. Parigian, John J. Gilmartin, Douglas Clapp, James A. Drohen, John C. Drohen, and Jamie A. Meadows
Case Number: 14-cv-12958 (United States District Court for the District of Massachusetts)
Date Filed: July 11, 2014
Date of Qualifying Judgment/Order: January 11, 2018

SEC v. John V. Bivona; Saddle River Advisors, LLC; SRA Management Associates, LLC; Frank Gregory Mazzola
Case Number: 16-cv-01386 (United States District Court for the Northern District of California)
Date Filed: March 22, 2016
Date of Qualifying Judgment/Order: December 22, 2017

In the Matter of Train, Babcock Advisors LLC
Administrative Proceeding File No.: 3-18324
Date Filed: December 22, 2017
Date of Qualifying Judgment/Order: December 22, 2017

SEC v. Enviro Board Corporation, Glenn B. Camp, William J. Peiffer, and Joshua D. Mosshart
Case Number: 16-cv-06427 (United States District Court for the Central District of California)
Date Filed: August 26, 2016
Date of Qualifying Judgment/Order: December 6, 2017
 

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18318
Date Filed: December 21, 2017
Date of Qualifying Judgment/Order: December 21, 2017

In the Matter of Ameriprise Financial Services, Inc.
Administrative Proceeding File No.: 3-18301
Date Filed: December 8, 2017
Date of Qualifying Judgment/Order: December 8, 2017

In the Matter of TPG Capital Advisors, LLC
Administrative Proceeding File No.: 3-18317
Date Filed: December 21, 2017
Date of Qualifying Judgment/Order: December 21, 2017
 

SEC v. Jason A. Halek, Joshua D. Spivey, Patrick J. Booths, and Steven J. Little
Case Number: 14-cv-01106 (United States District Court for the Northern District of Texas)
Date Filed: March 28, 2014
Date of Qualifying Judgment/Order: November 30, 2017

SEC v. Team Resources, Inc., Fossil Energy Corporation, Kevin A. Boyles, Philip A. Dressner, Michael Eppy, Andrew Stitt, and John Olivia
Case Number: 15-cv-01045 (United States District Court for the Northern District of Texas)
Date Filed: April 6, 2015
Date of Qualifying Judgment/Order: November 20, 2017
 

SEC v. Thomas J. Buck
Case Number: 17-cv-03984 (United States District Court for the Southern District of Indiana)
Date Filed: October 31, 2017
Date of Qualifying Judgment/Order: December 21, 2017
 

SEC v. Boston Trading and Research, LLC, Ahmet Devrim Akyil, and Craig Karlis
Case Number: 10-cv-11841 (United States District Court for the District of Massachusetts)
Date Filed: October 28, 2010
Date of Qualifying Judgment/Order: December 12, 2017
 

SEC v. Naris Chamroonrat, Yaniv Avnon, Ran Armon, G Six Trading Y.R. Ltd., and Adam L. Plumer, and NKO Holdings Co. Ltd.
Case Number: 16-cv-09403 (United States District Court for the District of New Jersey)
Date Filed: December 21, 2016 (amended May 11, 2017)
Date of Qualifying Judgment/Order: November 21, 2017

SEC v. Ming Zhao and Liping Zhu 
Case Number: 12-cv-01316 (United States District Court for the Southern District of New York)
Date Filed: February 22, 2012
Date of Qualifying Judgment/Order: July 24, 2015

SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab
Case Number: 17-cv-04866 (United States District Court for the Southern District of New York)
Date Filed: June 28, 2017
Date of Qualifying Judgment/Order: November 20, 2017

SEC v. Osiris Therapeutics, Inc., Philip R. Jacoby, Jr., Gregory I. Law, Lode B. Debrabandere, Bobby Dwayne Montgomery
Case Number: 17-cv-03230 (United States District Court for the District of Maryland)
Date Filed: November 2, 2017
Date of Qualifying Judgment/Order: November 7, 2017

In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-18279
Date Filed: November 13, 2017
Date of Qualifying Judgment/Order: November 13, 2017

SEC v. Imperial Petroleum, Inc., Jeffrey Wilson, Craig Ducey, Chad Ducey, Brian Carmichael, Joseph Furando, Evelyn Katirina Pattison (a/k/a Katirina Tracy), Caravan Trading, LLC, CIMA Green, LLC, and CIMA Energy Group
Case Number: 13-cv-01489 (United States District Court for the Southern District of Indiana)
Date Filed: September 18, 2013
Date of Qualifying Judgment/Order: November 28, 2017

SEC v. Capital Financial Partners, LLC, Capital Financial Holdings, LLC, Capital Financial Partners Enterprises, LLC, William D. Allen and Susan C. Daub
Case Number: 15-cv-11447 (United States District Court for the District of Massachusetts)
Date Filed: April 1, 2015
Date of Qualifying Judgment/Order: November 17, 2017

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

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

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

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
 

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
 

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

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

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
 

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

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

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

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

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
 

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

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

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

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
 

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
 

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
 

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
 

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
 

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
 

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

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

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

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

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

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
 

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

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

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

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

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

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

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

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

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

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
 

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
 

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

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

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

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

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

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

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

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

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

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

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
 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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  

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  

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  

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  

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  

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  

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

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  

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  

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  

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

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

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

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

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  

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

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

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  

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  

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 

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

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  

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

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 

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

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  

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  

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  

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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