Notice of Covered Actions
Notice No.
|
Action
|
Notice Date
|
Claim Due Date
|
---|---|---|---|
Notice No.:2021-030
New |
Action: SEC v. ConTXT, Inc., Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-029
New |
Action: SEC v. William J. Bowser, Christopher J. Ashby, Scott W. Beynon, and Jordan S. Nelson |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-028
New |
Action: SEC v. Traffic Monsoon, LLC, and Charles David Scoville |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-027
New |
Action: In the Matter of Deutsche Bank AG |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-026
New |
Action: SEC v. Paul Andrews Rinfret and Plandome Partners LLC |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-025
New |
Action: SEC v. Bruce J. Fixelle, Aurora Capital Management, LLC, and Genesis Advisory Services Corp. |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-024
New |
Action: In the Matter of Pruco Securities, LLC |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-023
New |
Action: SEC v. Barry F. Connell |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-022
New |
Action: SEC v. Joseph Taub and Elazar Shmalo |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-021
New |
Action: SEC v. Benjamin Taylor, Darina Windsor, and Joseph Abdul Noor El-Khouri |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-020
New |
Action: SEC v. Anthony J. Thompson Jr., Jay Fung, and Eric Van Nguyen |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-019
New |
Action: SEC v. OwnZones Media Network, Inc., Daniel Goman and Joseph Goman |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-018
New |
Action: In the Matter of Voya Financial Advisors, Inc. |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-017
New |
Action: In the Matter of Covia Holdings Corp, and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-016
New |
Action: SEC v. RPM International Inc. and Edward W. Moore |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-015
New |
Action: SEC v. Paul R. Montgomery Jr., Michael D. Fisher, and James H. Willingham, Jr. |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Notice No.:2021-014 |
Action: SEC v. Clinton Maurice Tucker II |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-013 |
Action: In the Matter of Robinhood Financial, LLC |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-012 |
Action: SEC v. Bernard M. Parker |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-011 |
Action: SEC v. Bryan Cohen and George Nikas |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-010 |
Action: SEC v. Craig Rumbaugh, Rumbaugh Financial, Inc, and Desert Strategic Equity, LLC |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-009 |
Action: In the Matter of ShipChain, Inc. |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-008 |
Action: In the Matter of BlueCrest Capital Management Limited |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-007 |
Action: In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-006 |
Action: SEC v. One or More Unknown Traders in the Securities of Bioverativ, Inc. |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-005 |
Action: In the Matter of ICE Data Pricing & Reference Data, LLC |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-004 |
Action: In the Matter of General Electric Company |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-003 |
Action: SEC v. Garrett M. O’Rourke and Michael J. Black |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-002 |
Action: SEC v. Nelson Gomes, Michael Luckhoo-Bouche, Shane Schmidt, Douglas Roe, Kelly Warawa, FFS Capital Limited, Paifang Trading Limited, Artefactor Limited, Atlantean Management Corporation, Meadow Asia Limited, and Thyme International Limited |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2021-001 |
Action: SEC v. Scana Corporation, Dominion Energy South Carolina, Inc (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Bryne |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Notice No.:2020-146 |
Action: SEC v. Revolution Lighting Technologies, Inc., Robert LaPenta, James DePalma, Daniel O’Neal, and Allen Garner |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Notice No.:2020-153 |
Action: SEC v. Laksha Bohra, Viky Bohra, and Gotham Bohra |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Notice No.:2020-152 |
Action: In the Matter of John G. Stumpf |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Notice No.:2020-151 |
Action: In the Matter of Alexandre S. Clug, Aurum Mining, LLC, Panam Terra, Inc., and The Corsair Group, Inc. |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Notice No.:2020-150 |
Action: SEC v. Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Notice No.:2020-149 |
Action: SEC v. Kik Interactive, Inc |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Notice No.:2020-148 |
Action: SEC v. Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, Steven G. Patton |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Notice No.:2020-147 |
Action: SEC v. Daniel Rudden, Financial Visions Inc., Financial Visions West, LLC, Financial Visions West 1, LLC, and FV-2, LLC |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Notice No.:2020-145 |
Action: Commission Deferred Prosecution Agreement with Tenaris, S.A. |
Notice Date:12/07/2020 | Claim Due Date:03/07/2021 |
Notice No.:2020-144 |
Action: Commission Deferred Prosecution Agreement with The PBSJ Corporation |
Notice Date:12/07/2020 | Claim Due Date:03/07/2021 |
Notice No.:2020-143 |
Action: Commission Deferred Prosecution with Regions Financial Corp. |
Notice Date:12/07/2020 | Claim Due Date:03/07/2021 |
Notice No.:2020-142 |
Action: In the Matter of EDG Management Company, LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-141 |
Action: In the Matter of J.P. Morgan Securities, LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-140 |
Action: In the Matter of Morgan Stanley & Co. LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-139 |
Action: In the Matter of BGC Partners, Inc |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-138 |
Action: SEC v. Brian Weber and Bebida Beverage Co. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-137 |
Action: SEC v. Steven Fishoff, Deshan Govender, Winson Tang, Featherwood Capital, Inc., and JSF Investment Capital Inc. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-126 |
Action: In the Matter of Transamerica Asset Management, Inc. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-125 |
Action: In the Matter of the Goldman Sachs Group, Inc. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-136 |
Action: SEC v. Motty Mirzahi and MBIG Company |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-135 |
Action: SEC v. Remington Chase a/k/a William Westwood a/k/a William Elliot |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-134 |
Action: SEC v. Daniel Pacheco |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-133 |
Action: SEC v. Jeffrey Stebbins and Corbin Jones |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-132 |
Action: In the Matter of Andeavor LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-131 |
Action: In the Matter of J&F Investimentos, S.A., JBS, S.A. Joesley Batista, Wesley Batista |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-130 |
Action: In the Matter of HP Inc |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-129 |
Action: In the Matter of Kroll Bond Rating Agency, LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-128 |
Action: SEC v. Verley Lee Sembritzky, Jr., Bounty of the Ocean Inc., and Ocean Harvest LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-127 |
Action: SEC v. Gary S. Wylke a/k/a Gary S. Wyckel and Alejandro Cortes |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Notice No.:2020-124 |
Action: In the Matter of Gilder Gagnon Howe & Co. LLC, and Bonnie M. Haupt |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-123 |
Action: SEC v. John Geraci |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-122 |
Action: SEC v. Mark P. Frissora |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-121 |
Action: SEC v. James M. Farinella, Integrated Capital Partners, Inc., Anthony Amado, Equities Awareness Group, LLC, and Carlo Palomino |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-120 |
Action: In the Matter of John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC, and George R. Jarkesy, Jr. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-119 |
Action: In the Matter of Bayerische Motoren Werke Aktiengesslschaft, BMW of North America, LLC, and BMW US Capital, LLC |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-118 |
Action: In the Matter of Unikrn, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-117 |
Action: In the Matter of Precigen, Inc. (f/k/a Intrexon Corporation) |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-116 |
Action: In the Matter of National Financial Services LLC |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-115 |
Action: In the Matter of Fulton Financial Corporation |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-114 |
Action: In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-113 |
Action: SEC v. Anton Senderov and Lior Babazara a/k/a Lior Bar |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-112 |
Action: SEC v. Francisco Abellan Vilena, Guillermo Ciupiak, James B, Panther, Jr., and Faiyaz Dean |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-111 |
Action: In the Matter of Platinum Wealth Partners, Inc. and David L. Potter |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-110 |
Action: SEC v. Richard M. Kirsch and Adam Terris |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-109 |
Action: In the Matter of Power Solutions International, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-108 |
Action: In the Matter of Fiat Chrysler Automobiles N.V. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-107 |
Action: In the Matter of Hancock Whitney Investment Services, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-106 |
Action: In the Matter of Roosevelt & Cross, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Notice No.:2020-105 |
Action: In the Matter of Charles Liang |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-104 |
Action: In the Matter of VALIC Financial Advisors, Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-103 |
Action: In the Matter of Kelvin Boon, LLC, and Rajesh Pavithran |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-102 |
Action: In the Matter of Interactive Brokers LLC |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-101 |
Action: In the Matter of Herbalife Nutrition, LTD. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-100 |
Action: SEC v. WG Trading Investors, L.P., WG Trading Company, Limited Partnership, Westridge Capital Management, Inc., Paul Greenwood and Stephen Walsh |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-099 |
Action: In the Matter of NPB Financial Group, LLC |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-098 |
Action: SEC v. Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-097 |
Action: In the Matter of World Acceptance Corporation |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-096 |
Action: SEC v. David Sims, Mario Procopio, Ralph C. Greaves, ALC Holdings, LLC, El Cether-Eloyown, and Sims Equities, Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-095 |
Action: In the Matter of Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-094 |
Action: In the Matter of Super Micro Computer, Inc |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-093 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-092 |
Action: SEC v. Matthew S. Hilliard, Hilliard Oil Ventures, Inc. a/k/a Delta Western Company, Hilliard Helium Company, LLC, and Hilliard Land and Energy Corp. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-091 |
Action: In the Matter of Scott M. Dittman, CPA |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-090 |
Action: SEC v. Zvi Feiner, FNR Healthcare, LLC, and Erez Baver |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Notice No.:2020-089 |
Action: SEC v. Telegram Group Inc. and TON Issuer Inc. |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Notice No.:2020-088 |
Action: SEC v. Commodore Financial Corporation, Christopher Schlegel, M&G Cap Services, and Andres Calvo |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Notice No.:2020-087 |
Action: In the Matter of Alexion Pharmaceuticals, Inc. |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Notice No.:2020-086 |
Action: In the Matter of VALIC Financial Advisors, Inc. |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Notice No.:2020-085 |
Action: SEC v. Kevin G. White, KGW Capital Management, LLC, Revelation Forex Fund, L.P., and RFF GP, LLC |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Notice No.:2020-084 |
Action: SEC v. Temenos Advisory, Inc., and George L. Taylor |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Notice No.:2020-083 |
Action: In the Matter of BitClave PTE Ltd. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-082 |
Action: In the Matter of SG Americas Securities, LLC |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-081 |
Action: SEC v. Lisa Bershan, Barry B. Schwartz, and Joel J. Margulies |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-080 |
Action: In the Matter of VEREIT, Inc. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-079 |
Action: SEC v. Robert Cortez Marshall |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-078 |
Action: In the Matter of Novartis AG |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-077 |
Action: SEC v. Giga Entertainment Media, Inc., Gary S. Nerlinger, Lawrence W. Silver, Alfred R. Colucci, Charles G. Noska, and Jarret M. Streiner |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-076 |
Action: SEC v. Todd Lahr and Thomas Megas |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-075 |
Action: SEC v. PowerTradersPress.com, Inc., et al. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-074 |
Action: SEC v. Amtrust Financial Services, Inc. and Ronald E. Pipoly, Jr. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-073 |
Action: SEC v. Stiefel Laboratories Inc. and Charles W. Stiefel |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-072 |
Action: In the Matter of US Bancorp Investments, Inc. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-071 |
Action: SEC v. Douglas Leighton, Bass Point Capital, LLC, Azure Capital Corp., Michael Sullivan, David Hall, Zachary Harvey, Paul Dutra, Jason Harman, and Jessica Geran |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-070 |
Action: SEC v. Steve M. Bajic, et al. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-069 |
Action: SEC v. Navellier & Associates, Inc., and Louis Navellier |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Notice No.:2020-067 |
Action: SEC v. Aequitas Management, LLC; Aequitas Holdings, LLC; Aequitas Commercial Finance, LLC; Aequitas Capital Management, Inc.; Aequitas Investment Management, LLC; Robert J. Jesenik; Brian A. Oliver; and N. Scott Gillis |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Notice No.:2020-066 |
Action: In the Matter of Bloomberg Tradebook LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Notice No.:2020-065 |
Action: In the Matter of Morgan Stanley Smith Barney LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Notice No.:2020-064 |
Action: SEC v. Brian Robert Sodi, Capital Financial Media, LLC, and List Data Solutions LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Notice No.:2020-063 |
Action: SEC v. Renew Spinal Care, Inc., Laserscopic Medical Clinic, LLC, Joe Samuel Bailey, Barry Edward Mitchell, Laurence Grossnickle, and Charles Clement Goubert, Jr. |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Notice No.:2020-062 |
Action: In the Matter of Everest Capital LLC and Marko Dimitrijevic |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Notice No.:2020-061 |
Action: In the Matter of Morningstar Credit Ratings, LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Notice No.:2020-068 |
Action: In the Matter of Tim Leissner |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Notice No.:2020-060 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-059 |
Action: SEC v. Marvin Mychal-Christopher Kendricks, a/k/a “Mychal Kendricks,” and Damilare Sonoiki |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-058 |
Action: SEC v. International Investment Group, LLC. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-057 |
Action: In the Matter of Monomoy Capital Management, L.P. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-056 |
Action: In the Matter of RBC Capital Markets LLC |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-055 |
Action: SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat At Joe’s, LTD. n/k/a SPYR, Inc. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-054 |
Action: In the Matter of Eni S.p.A. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-053 |
Action: SEC v. Ronald L. Blackburn, Andrew V. Reid, Bruce A. Gwyn, Michael A. Mulshine, Lee C. Schlesinger, Samuel E. Whitley, and Treaty Energy Corporation |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-052 |
Action: SEC v. Castleberry Financial Services Group, LLC, T. Jonathon Turner, f/k/a/ “Jon Barri Brothers,” and Norman M. Strell |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-051 |
Action: SEC v. Scott O. Hirsch and Kenneth L. Friedman |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-050 |
Action: SEC v. The End of the Rainbow Partners, LLC., the Estate of Michael F. Anderson |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-049 |
Action: SEC v. Jeffrey E. Wall and The Lighthouse Events, LLC |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Notice No.:2020-048 |
Action: SEC v. Philip E. Riehl |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-047 |
Action: SEC v. PTG Capital Partners LTD, PST Capital Group LTD, Nedko Nedev, Strategic Capital Partners Muster Limited, and Strategic Wealth Investments, Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-046 |
Action: SEC v. Evegenii Zavodchiko, Extra Trading Company, Andrey Bokarev, Radion Panko, Green Road Corporation, Natalia Andreevna Alepko, Solar Line Inc., Anton Maslov, Tarek Investors Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-045 |
Action: SEC v. Henry Ford f/k/a Cleothus Lefty Jackson and Fallcatcher, Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-044 |
Action: SEC v. Gregory T. Dean and Donald J. Fowler |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-043 |
Action: SEC v. ICOBox and Nikolay Evdokimov |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-042 |
Action: SEC v. Neil Burkholz, Frank Bianco, Palm Financial Management, LLC, and Shore Management Systems, LLC |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-041 |
Action: In the Matter of Cardinal Health, Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-040 |
Action: In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-039 |
Action: SEC v. Francis J. van Steenberge and Nicolas Zanen |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-038 |
Action: SEC v. Alexander Charles White and Paul Douglas Vandivier |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-037 |
Action: SEC v. Gregg D. Caplitz and Insight Onsite Strategic Management, LLC |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Notice No.:2020-036 |
Action: In the Matter of Wells Fargo & Company |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-035 |
Action: SEC v. James W. Self, Jr., and Stephen R. Goldfield |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-034 |
Action: SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-033 |
Action: SEC v. Nicholas Lattanzio, Black Diamond Investments, LP, Black Diamond GP, LLC, Black Diamond Investments LLC, and Black Diamond Capital Appreciation Fund, L.P. |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-032 |
Action: SEC v. Christopher Freeman Brogdon |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-031 |
Action: SEC v. Robert A. Ferrante and Marilyn R. Thomassen |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-030 |
Action: In the Matter of Diageo, plc. |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-029 |
Action: In the Matter of Catalyst Capital Advisors, LLC and Jerry Szilagyi |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-028 |
Action: SEC v. John Abio, also known as Tre Brandenberg, and Abio Financial Group, Inc. |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-027 |
Action: SEC v. Tennstar Energy, Inc. f/k/a Black Gold Resources, Inc. David R. Greenlee, David A. Stewart, Jr., and Richard “Ric” P. Underwood |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Notice No.:2020-025 |
Action: SEC v. Scott Charles Messier and Jay Zola Scoratow |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-026 |
Action: SEC v. Landon M. Smith |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-024 |
Action: SEC v. James B. Catledge, Derek F. C. Elliot, EMI Resorts (S.V.G) INC., EMI Sun Village, Inc., Sun Village Juan Dolio, Inc. |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-023 |
Action: SEC v. Michael B. Rothenberg, and Rothenberg Ventures LLC (f/k/a Frontier Technology Venture Capital LLC and Rothenberg Ventures Management Company, LLC) |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-022 |
Action: In the Matter of J.P. Morgan Securities LLC |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-021 |
Action: SEC v. Carlos Ghosn and Gregory L. Kelly |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-020 |
Action: SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-019 |
Action: SEC v. Jay Costa Kelter |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-018 |
Action: SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-017 |
Action: SEC v. Guardian Oil & Gas, Inc., Guardian Oil & Natural Gas, Inc., and Rick D. Mullins |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-016 |
Action: SEC v. Ariel Darvasi and Amir Waldman |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-015 |
Action: SEC v. Robert G. Pearson and Illinois Stock Transfer Company (d/b/a IST Shareholder Services) |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Notice No.:2020-014 |
Action: SEC v. Loren W. Holzhueter, and ISC, Inc. (d/b/a Insurance Service Center) |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-013 |
Action: SEC v. Richard Johnathan Eden and Christopher Michael Neumann |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-012 |
Action: SEC v. Richard T. Cunniffe |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-011 |
Action: In the Matter of MetLife, Inc. |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-010 |
Action: In the Matter of Jefferies LLC |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-009 |
Action: SEC v. Telefonaktiebolaget LM Ericsson |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-008 |
Action: SEC v. Iconix Brand Group, Inc. |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-007 |
Action: SEC v. John Special |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-006 |
Action: SEC v. Michael E. Cone and Greenview Investment Partners, L.P. |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-005 |
Action: SEC v. Natural Diamonds Investment Co., Eagle Financial Diamond Group Inc a/k/a Diamante Atelier, Argyle Coin, LLC, Jose Angel Aman, Harold Seigel, and Jonathan H. Seigel |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-004 |
Action: In the Matter of Kornitzer Capital Management, Inc. and John C. Kornitzer |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-003 |
Action: SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-002 |
Action: SEC v. Micheal A. Skerry |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2020-001 |
Action: SEC v. Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Notice No.:2019-204 |
Action: SEC v. Zhunrize, Inc., and Jeff Pan |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Notice No.:2019-210 |
Action: In the Matter of Morgan Stanley Smith Barney LLC |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Notice No.:2019-209 |
Action: SEC v. Toon Goggles, Inc., and Ira Warkol |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Notice No.:2019-211 |
Action: SEC v. Reginald (“Reggie”) Middleton, Veritaseum, Inc., and Veritaseum, LLC |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Notice No.:2019-208 |
Action: SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Notice No.:2019-207 |
Action: SEC v. David Sechovicz |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Notice No.:2019-206 |
Action: In the Matter of Bethany Liou and Golden California Regional Center, LLC |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Notice No.:2019-205 |
Action: SEC v. Palm House Hotel LLLP, South Atlantic Regional Center, LLC, Joseph J. Walsh, Sr., and Robert V. Matthews |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Notice No.:2019-203 |
Action: SEC v. The Nutmeg Group, LLC, Randall Goulding, and David Goulding |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Notice No.:2019-172 |
Action: SEC v. Earl D. Miller, 5 Star Commercial, LLC, and 5 Star Capital Fund, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-202 |
Action: In the Matter of Mid Atlantic Financial Management, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-201 |
Action: In the Matter of Founders Financial Securities, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-200 |
Action: In the Matter of IC Advisory Services, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-199 |
Action: In the Matter of Block.one |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-198 |
Action: SEC v. PlexCorps (a/k/a and d/b/a PlexCoin and Sidepay.ca), Dominic Lacroix and Sabrina Paradis-Royer |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-197 |
Action: In the Matter of Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC) |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-196 |
Action: SEC v. Sandy J. Masselli, J.R., Carlyle Gaming & Entertainment Ltd., Intercapital Partners Ltd. (a/k/a Intercapital Partners Ltd. Liability Companyand Intercapital Partners, LLC), Intercapital Management Ltd., and Appnostiq Interactive Ltd. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-195 |
Action: In the Matter of GFI Securities LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-194 |
Action: SEC v. American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Howard J. Allen III and Kerri L. Wasserman |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-193 |
Action: In the Matter of Herbalife Nutrition, Ltd. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-192 |
Action: In the Matter of Independent Financial Group LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-191 |
Action: In the Matter of Wedbush Securities |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-190 |
Action: In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-189 |
Action: In the Matter of Essex Financial Services, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-188 |
Action: In the Matter of Bill Few Associates, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-187 |
Action: SEC v. Mylan N.V. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-186 |
Action: In the Matter of FCA US LLC and Fiat Chrysler Automobiles N.V. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-185 |
Action: In the Matter of Serge Matta |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-184 |
Action: In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-183 |
Action: SEC v. Lek Securities Corporation, Samuel Lek, Vali Managemtn Partners dba Avalon FA Ltd, Nathan Fayyer, and Sergey Pustelnik a/k/a Serge Pustelnik |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-182 |
Action: SEC v. Victory Ho |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-181 |
Action: In the Matter of Barclays PLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-180 |
Action: In the Matter of Leonardo Cornide and Jorge Falcon |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-179 |
Action: In the Matter of Tyler T. Tysdal, Grant M. Carter, Impact Opportunities Fund Management, LLC, TitleCard Capital Group, LLC, and TitleCard Capital Management, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-178 |
Action: SEC v. Alpine Securities Corporation |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-177 |
Action: SEC v. Taj Jerry Mahabub, GenAudio, Inc., and Astound Holdings, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-176 |
Action: In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC) |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-175 |
Action: In the Matter of Gary F. Pryor and The Pinnacle Companies, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-174 |
Action: SEC v. Equitybuild, Inc., Equitybuild Finance, LLC, Jerome H. Cohen, and Shaun D. Cohen |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-173 |
Action: SEC v. Scott Stacy Phelps and James Michael Harper |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Notice No.:2019-152 |
Action: SEC v. Samuel DelPresto, MLF Group, LLC, Donald Toomer, Jr., and Darren Goodrich |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-153 |
Action: SEC v. Bio Defense Corporation, Michael Lu, May’s International Corporation, Jonathan Morrone d/b/a/ JM International, Inc., Z. Paul Jurberg d/b/a Brookline Capital Partners, Inc., Brett Hamburger, d/b/a JCBH Consulting, LLC, Anthony Orth d/b/a Grand Traverse Equities, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-154 |
Action: SEC v. Strategic Capital Management, LLC and Michael J. Breton |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-155 |
Action: In the Matter of Kenneth Wruk |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-156 |
Action: SEC v. John C. Maccoll |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-157 |
Action: In the Matter of Raymond James & Associates Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-158 |
Action: In the Matter of TechnipFMC, plc |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-159 |
Action: In the Matter of PricewaterhouseCoopers LLP |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-160 |
Action: In the Matter of The Bancorp, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-161 |
Action: In the Matter of Marvell Technology Group, Ltd. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-162 |
Action: In the Matter of Comscore, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-164 |
Action: In the Matter of Quad/Graphics, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-165 |
Action: In the Matter of Sigma Planning Corp. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-166 |
Action: SEC v. Longfin Corp., and Venkata S. Meenavalli |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-167 |
Action: In the Matter of Nissan Motor Co., LTD. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-168 |
Action: In the Matter of AST Investment Services, Inc. and PGIM Investments LLC |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-169 |
Action: In the Matter of BMO Capital Markets Corp. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-170 |
Action: In the Matter of Stifel, Nicolaus & Company, Incorporated |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-171 |
Action: SEC v. Daniel Rivas, James Moodhe, Roberto Rodriquez, Rodolfo Sablon, Jhonatan Zoquier, Michael Siva, and Jeffert Rogiers |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Notice No.:2019-163 |
Action: In the Matter of TMC Bonds LLC |
Notice Date:10/24/2019 | Claim Due Date:01/22/2020 |
Notice No.:2019-151 |
Action: In the Matter of Juniper Networks, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-150 |
Action: In the Matter of Deutsche Bank AG |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-149 |
Action: SEC v. Facebook, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-148 |
Action: In the Matter of Brixmor Property Group Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-147 |
Action: In the Matter of BMO Capital Markets Corporation |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-146 |
Action: SEC v. Equal Earth, Inc., Andrew J. Duggan, and Ghassan Hamade a/k/a Mark Hamade |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-145 |
Action: SEC v. Andrew I. Farmer, Eddie D. Austin, Jr., Scott R. Sieck, Carolyn P. Austin, and John D. Brotherton |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-144 |
Action: SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc. and Global Transition Solutions, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-143 |
Action: SEC v. BitQyck, Inc., Bruce E. Bise, and Samuel J. Mendez |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-142 |
Action: In the Matter of Alfred C. Teran |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-141 |
Action: SEC v. 1 Global Capital LLC, and Carl Ruderman |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-140 |
Action: SEC v. Henry J. Wieniewitz, and Wieniewitz Financial, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-139 |
Action: In the Matter of Lefavi Wealth Management, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-138 |
Action: In the Matter of The Options Clearing Corporation |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-137 |
Action: SEC v. Sean Kelly; Lion’s Share & Associates, Inc; Lionsshare Tax Services, LLC; and Lion’s Share Financial of East Cobb, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-136 |
Action: SEC v. Donald Watkins Sr., Esq., Watkins Pencor, LLC, Masada Resource Group, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-135 |
Action: SEC v. Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-134 |
Action: SEC v. Terminus Energy, Inc. Danny B. Pratte, Joseph L. Pittera, George Doumanis, Emanuel Pantelakis, and Joseph Alborano |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Notice No.:2019-133 |
Action: In the Matter of Microsoft Corporation |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-132 |
Action: In the Matter of Nomura Securities International, Inc. |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-131 |
Action: SEC v. AR Capital, LLC, Nicholas S. Schorsch, and Brian S. Block |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-130 |
Action: SEC v. Robert Donald Bruce Genovese, B.G. Capital Group, LTD., Abraham “Avi” Mirman |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-129 |
Action: SEC v. Conn’s, Inc. and Michael J. Poppe |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-128 |
Action: In the Matter of Robert L. Baker, Jacob B. Herrera, Michael D. Bowen, and Terrence A. Ballard |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-127 |
Action: SEC v. Thomas H. Laws |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-126 |
Action: SEC v. Ernest J. Romer, III |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-125 |
Action: SEC v. Ronald Van Den Heuvel, and Green Box NA Detroit, LLC |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-124 |
Action: In the Matter of Nomura Securities International, Inc. |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-123 |
Action: SEC v. Dwayne Edwards, Todd Barker, Senior Solutions of Social Circle, LLC, Oxton Place of Douglas, LLC d/b/a Oxton Real Estate of Douglass, LLC, Rome Alf, LLC, Savannah ALF, LLC, Gainesville ALF, LLC, Waterford Place ALF, LLC, Montgomery ALF, LLC, Columbus ALF, LLC, and Opelika ALF, LLC |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-122 |
Action: SEC v. Amit Kanodia and Iftikar Ahmed |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Notice No.:2019-115 |
Action: In the Matter of Industrial and Commercial Bank of China Financial Services LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-114 |
Action: In the Matter of Wedbush Securities, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-113 |
Action: SEC v. Carol Ann Pedersen |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-112 |
Action: SEC v. Ralph T. Iannelli and Essex Capital Corporation |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-111 |
Action: SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, and Dorababu Penumarthi |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-110 |
Action: SEC v. James E. Hocker |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-109 |
Action: SEC v. Edward Lee Moody, Jr. and CM Capital Management, LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-108 |
Action: In the Matter of KPMG LLP |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-107 |
Action: In the Matter of Walmart Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-106 |
Action: SEC v. Jose G. Ramirez, Jr. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-105 |
Action: SEC v. Daniel Dirk Coddington, Michael B. Columbia, Jesse W. Erwin Jr., Merlyn Curt Geisler, Marshall D. Gunn, Jr., CPA, Seth A. Leyton, Lewis P. Malouf, Extreme Capital Ltd., Fidelity Asset Services Corp., Geisco FNF, LLC, Golden Summit Investors Group Ltd., SouthCom Management LLC, Stonerock Capital Group LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-104 |
Action: SEC v. Celadon Group, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-103 |
Action: SEC v. Daniel H. Glick and Financial Management Strategies, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-102 |
Action: SEC v. Kimberly Pine Kitts |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-101 |
Action: SEC v. Zev Saltsman, Menachem Eitan, Martin E. Weisberg, Edward G. Newman, Steven A. Newman, and Andrew Brown |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-100 |
Action: SEC v. Timothy J. Atkinson, Jay Passerino, All In Publishing, LLC, William E. Berry, Berry MediaWorks, LLC, and Shmuel Pollen |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-99 |
Action: Wealth Strategy Partners, LLP, Harvey Altholtz, Stevens Resources Group, LLC, George Q. Stevens, and Wealth Strategy Partners, LC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-98 |
Action: In the Matter of State Street Bank and Trust Company |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-121 |
Action: In the Matter of Fieldstone Financial Management Group, LLC and Kristofor R. Behn |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-120 |
Action: SEC v. Amrit J. S. Chahal |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-119 |
Action: SEC v. Donald Milne III and Instaprin Pharmaceuticals, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-118 |
Action: SEC v. Matthew A. Krimm and Krimm Financial Services, LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-117 |
Action: In the Matter of Deer Park Road Management Company, LP, and Scott E. Burg |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-116 |
Action: SEC v. Devon D. Archer, Bevan T. Cooney, Hugh Dunkerley, Jason W. Galanis, John P. Galanis, Gary T. Hirst, Michelle A. Morton, and Francisco Martin |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Notice No.:2019-88 |
Action: SEC v. Robert S. “Lute” Davis, Jr., Donald Anthony Mackenzie, Aaron R. Andrew, Jeffrey L. Wendel, Randy T. Rondberg, Richard Fritts, Marcus Bradford Bray, Gregory W. Anderson, Claude Steve Mosley, Gregory A. Koch, Old Security Financial Group, Inc., Paramount Financial Services, Inc., d/b/a Live Abundant, Wendel Financial Network, LLC, a/k/a Wendel Retirement Planning, Trager LLC, Fritts Financial, LLC, Bradford Solutions, LLC, Balanced Financial, LLC, Security Financial, LLC, and Koch Insurance Brokers, LLC |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-87 |
Action: In the Matter of Telefônica Brasil S.A. |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-86 |
Action: SEC v. Jeffrey D. Martin, Thomas L. Tedrow, Christian T. Tedrow, Tyler T. Tedrow, Beaufort Capital Partners LLC, and Robert P. Marino |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-85 |
Action: SEC v. Sonya D. Camarco |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-84 |
Action: SEC v. Cash Capital, LLC, America’s Strategic Ore Properties, LLC, and Robert W. Wilson |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-83 |
Action: SEC v. Kristine L. Johnson, Tory A. Barnes, and Work with Troy Barnes, Inc. (d/b/a The Achieve Community) |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-82 |
Action: SEC v. DFRF Enterprises LLC, DFRF Enterprises, LLC; Daniel Fernandes Rojo Filho, Wanderley M. Dalman, Gaspar C. Jesus, Eduardo N. Da Silva, Heriberto C. Perez Valdes, Jeffrey A. Feldman and Romildo Da Cunha |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-97 |
Action: SEC v. Blackbird Capital Partners, LLC, Andrew D. Kelley, and Paul H. Shumway |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-96 |
Action: SEC v. Daniel Mattes |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-95 |
Action: SEC v. Howard M. Appel |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-94 |
Action: SEC v. James Thomas Bramlette; The Pelorus Group, LLC; Anthony Mark Hartman; Private Placement Capital Notes II, LLC; Stone Mountain Equities, LLC; Travis Kozlowski, Entelecus Fund, LLC; Aaron John Wernli |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-93 |
Action: SEC v. Carol J. Wayland, John C. Mueller, Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership, HP Operations, LLC, C.A.R. Leasing, LLC, Mitchell B. Dow, Barry Liss, and Steve G. Blasko |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-91 |
Action: SEC v. Walter C. Little and Andrew M. Berke |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-90 |
Action: SEC v. Harry Craig Dees |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-89 |
Action: SEC v. Home Solutions of America, Inc. Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O’Brien, Stephen C. Gingrich, Thomas L. Davis, and Jeffrey T. Craft |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-92 |
Action: SEC v. Nationwide Automated Systems, Inc., Joel Gillis, and Edward Wishner |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Notice No.:2019-75 |
Action: In the Matter of Fresenius Medical Care AG & Co. KGaA |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-74 |
Action: In the Matter of Next Financial Group, Inc. |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-73 |
Action: In the Matter of Prosper Funding LLC |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-72 |
Action: SEC v. Craig H. Carton, Joseph G. Meli, Advance Entertainment, LLC, Advancem LTD, Misoluki, Inc., Misoluki, LLC, Ticket Jones LLC, and Tier One Tickets, LLC |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-71 |
Action: SEC v. Timothy S. Batchelor |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-70 |
Action: SEC v. Michael T. Rand |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-81 |
Action: SEC v. Michael Allen Duke, Martin Delaine Lewis, Mark Christopher Parman, Kenneth Edward Shelton, and Billy Ray Statham, Jr. |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-80 |
Action: In the Matter of Dennis Gibbs and Sweetwater Investments, Inc. |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-79 |
Action: In the Matter of Stephens Inc. |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-78 |
Action: SEC v. Edward Durante, Abida Khan, Larry Werbel, Christopher Cervino, Walter Reissman, Kenneth Wise, and Evolution Partners Wealth Management LLC |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-77 |
Action: SEC v. North Star Finance LLC, Thomas G. Ellis, Yasuo Oda, Thomas H. Vetter, Michael K. Martin, Sharon L. Salinas, Capital Source Funding LLC, and Capital Source Lending LLC |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-76 |
Action: SEC v. Adam C. Derbyshire |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Notice No.:2019-52 |
Action: In the Matter of Summit Financial Group, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-51 |
Action: SEC v. Ronald C. Montano, Travis Stephenson, Antonio Giacca and Michael Wright |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-50 |
Action: In the Matter of Mobile TeleSystems PJSC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-49 |
Action: SEC v. Pedro Fort Berbel, Fort Marketing Group LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-48 |
Action: In the Matter of Ameritas Investment Corp. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-47 |
Action: SEC v. Chad C. McGinnis and Sergey Pugach |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-46 |
Action: In the Matter of Principal Securities, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-45 |
Action: In the Matter of Benjamin F. Edwards & Co., Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-44 |
Action: In the Matter of Transamerica Financial Advisors, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-43 |
Action: In the Matter of Robert W. Baird & Co. Incorporated |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-42 |
Action: In the Matter of Cambridge Investment Research Advisors, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-41 |
Action: SEC v. John Gregory Schmidt |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-40 |
Action: In the Matter of Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-39 |
Action: In the Matter of LPL Financial LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-38 |
Action: In the Matter of Commonwealth Equity Services, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-56 |
Action: In the Matter of AXA Advisors, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-69 |
Action: In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-55 |
Action: In the Matter of SSN Advisory, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-68 |
Action: In the Matter of M Holdings Securities, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-67 |
Action: In the Matter of First Republic Investment Management, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-66 |
Action: In the Matter of Stifel, Nicolaus & Company, Incorporated |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-65 |
Action: In the Matter of Kestra Advisory Services, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-63 |
Action: In the Matter of BB&T Securities, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-62 |
Action: In the Matter of RBC Capital Markets, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-61 |
Action: SEC v. Scott Newsholme |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-60 |
Action: In the Matter of Lumber Liquidators Holdings, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-59 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-37 |
Action: In the Matter of ProEquities, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-36 |
Action: In the Matter of Raymond James Financial Services Advisors, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-64 |
Action: In the Matter of Deutsche Bank Securities Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-58 |
Action: SEC v. Robert P. DePalo, Joshua B. Gladtke, Gregg A. Lerman, Pangaea Trading Partners LLC, Arjent LLC, Arjent Limited, and Excalibur Asset Management LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-57 |
Action: In the Matter of PlanMember Securities Corporation |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-54 |
Action: In the Matter of Woodbury Financial Services, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-53 |
Action: In the Matter of TIAA-CREF Individual & Institutional Services, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Notice No.:2019-35 |
Action: 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 |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-34 |
Action: SEC v. Michael Scronic |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-33 |
Action: 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. |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-32 |
Action: 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 |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-31 |
Action: SEC v. Troy Joseph Flowers, Sean Paul Nevett, and Fruition, Inc. (f/k/a Seacoast Advisors, Inc.) |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-30 |
Action: In the Matter of Cognizant Technology Solutions Corporation |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-29 |
Action: In the Matter of Andrew F. Nicoletta, Bella Industries LLC, Cranberry Rock Investments, Inc., and J.J. Newport Group, Inc. |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-28 |
Action: In the Matter of Deloitte Touche Tohmatsu LLC, Futomichi Amano, and Yuji Itagaki |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-27 |
Action: In the Matter of Crowe Horwath LLP, Joseph C. Macina, CPA, and Kevin V. Wydra, CPA |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-26 |
Action: SEC v. AriseBank, Jared Rice Sr., and Stanley Ford |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-25 |
Action: SEC v. Tycoon Energy, Inc. and Matthew Dee Nerbonne |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-24 |
Action: 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. |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-23 |
Action: 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 |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-22 |
Action: SEC v. Robert Yang, Claudia Kano, Suncor Fontana, LLC, Suncor Hesperia, LLC, and Suncor Care Lynwood, LLC |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Notice No.:2019-10 |
Action: In the Matter of Agria Corporation |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-11 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-12 |
Action: In the Matter of Yucaipa Master Manager, LLC |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-5 |
Action: In the Matter of Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randal “Randy” Hartley |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-6 |
Action: In the Matter of Santander Consumer USA Holdings, Inc. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-7 |
Action: SEC v. David H. Brooks |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-8 |
Action: In the Matter of Centrais Elétricas Brasileiras S.A. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-9 |
Action: SEC v. Jordan E. Goodman |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-21 |
Action: In the Matter of Polycom, Inc. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-20 |
Action: SEC v. John Afriyie and Lawrencia Afriyie |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-19 |
Action: SEC v. Sunwest Management, Inc. Canyon Creek Development, Inc., Canyon Creek Financial, LLC and Jon M. Harder |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-18 |
Action: SEC v. James V. Mazzo, David L. Parker, and Eddie C. Murray |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-17 |
Action: In the Matter of NB Alternatives Advisers LLC |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-16 |
Action: In the Matter of American Portfolios Advisors, Inc. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-15 |
Action: In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-14 |
Action: In the Matter of JP Morgan Chase Bank, N.A. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-13 |
Action: In the Matter of Bank of New York Mellon |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Notice No.:2019-1 |
Action: In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC |
Notice Date:01/31/2019 | Claim Due Date:05/01/2019 |
Notice No.:2019-2 |
Action: In the Matter of Citadel Securities LLC |
Notice Date:01/31/2019 | Claim Due Date:05/01/2019 |
Notice No.:2019-3 |
Action: In the Matter of Natixis Securities Americas LLC |
Notice Date:01/31/2019 | Claim Due Date:05/01/2019 |
Notice No.:2019-4 |
Action: In the Matter of MUFG Securities Americas Inc. |
Notice Date:01/31/2019 | Claim Due Date:05/01/2019 |
Notice No.:2018-162 |
Action: SEC v. Douglas P. Simanski |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Notice No.:2018-161 |
Action: SEC v. Keenan Gracey |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Notice No.:2018-160 |
Action: 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 |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Notice No.:2018-159 |
Action: SEC v. Eric Lesak, Global Research, LLC (PA), and Global Research, LLC (NY) |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Notice No.:2018-154 |
Action: SEC v. Charles A. Banks, IV |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Notice No.:2018-155 |
Action: SEC v. John Sherman Jumper, Alluvion Securities, LLC, American Investments Fund, II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Notice No.:2018-156 |
Action: In the Matter of Vantage Drilling International |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Notice No.:2018-157 |
Action: SEC v. Steve Qi and Law Offices of Steve Qi & Associates, A Professional Corporation |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Notice No.:2018-158 |
Action: In the Matter of Fifth Street Management, LLC |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Notice No.:2018-153 |
Action: SEC v. Tesla, Inc. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-152 |
Action: SEC v. Elon Musk |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-151 |
Action: In the Matter of ITG Inc. and AlterNet Securities, Inc. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-150 |
Action: 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 |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-149 |
Action: In the Matter of Citibank, N.A. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-148 |
Action: SEC v. Lawrence E. Penn, III, Michael St. Altura Ewers, Camelot Acquisitions Secondary Opportunities Management, LLC, The Camelot Group International, LLC, and Ssecurion, LLC |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-147 |
Action: 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 |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-138 |
Action: SEC v. Tangoe, Inc., Albert R. Subbloie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-139 |
Action: SEC v. William M. Apostelos, WMA Enterprises, LLC, Midwest Green Resources, LLC, and Ovo Wealth Management, LLC |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-140 |
Action: SEC v. Iftikar Ahmed |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-141 |
Action: SEC v. SeaWorld Entertainment, Inc., and James Atchison |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-142 |
Action: SEC v. Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-143 |
Action: SEC v. Matthew Carl Griffin and William Daniel Griffin
|
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-144 |
Action: SEC v. Thurman P. Bryant, III, and Bryant United Capital Funding, Inc. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-145 |
Action:
|
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-146 |
Action: SEC v. Jason McDiarmid, Kenneth George Cedric Telford and Stop Sleep Go. Inc., fka Interactive Multi-Media Auction Corp. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Notice No.:2018-137 |
Action: SEC v. Peter C. Chang |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-136 |
Action: 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 |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-135 |
Action: In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-134 |
Action: In the Matter of Capital Analysts, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-133 |
Action: SEC v. Dennis Wayne Hamilton |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-132 |
Action: In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-131 |
Action: In the Matter of Credit Suisse Securities (USA) LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-130 |
Action: In the Matter of Stryker Corporation |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-129 |
Action: SEC v. Sharone Perlstein, Aric Yerusalem Swartz a/k/a Eric Yerusalem Swartz and Hadas Miriam Yaron |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-128 |
Action: 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. |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-127 |
Action: SEC v. NL Technology, LLC, Jonny Ngo, and Donato Baca, Jr. |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-126 |
Action: In the Matter of Convergex Execution Solutions, LLC, now known as Cowen Execution Services LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-125 |
Action: In the Matter of Petróleo Brasileiro S.A. – Petrobras |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-124 |
Action: In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-123 |
Action: SEC v. Steve H. Karroum a/k/a Mustapha Karroum, and FX & Beyond Corporation |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-122 |
Action: In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-121 |
Action: In the Matter of United Technologies Corporation |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-120 |
Action: In the Matter of Sanofi |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-119 |
Action: SEC v. Commodities Online, LLC and Commodities Online Management, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-118 |
Action: In the Matter of Mark R. Graham, Blue Capital Management, Inc., and Blue Alternative Asset Management, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-117 |
Action: In the Matter of LendingClub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud LaPlanche |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-116 |
Action: SEC v. Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-115 |
Action: In the Matter of Putnam Investment Management, LLC and Zachary Harrison |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-114 |
Action: SEC v. Hope Advisors, LLC, and Karen Bruton |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-113 |
Action: SEC v. CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Notice No.:2018-112 |
Action: SEC v. Intertech Solutions, Inc., William Scott Marshall, and David Michael Naylor |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-111 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-110 |
Action: In the Matter of Citigroup Global Markets Inc. and Citigroup Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-109 |
Action: In the Matter of Citigroup, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-108 |
Action: SEC v. Jason W. Galanis, John P. Galanis, Jared M. Galanis, Derek M. Galanis, Gary T. Hirst, and Gavin L. Hamels |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-107 |
Action: SEC v. David A. Harbour |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-106 |
Action: SEC v. William Z. (“Billy”) McFarland, Frye Media, Inc., Magnises, Inc., Grant Margolin, and Daniel Simon |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-105 |
Action: In the Matter of Moody’s Investors Service, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-104 |
Action: In the Matter of Ribbon Communications Inc., Mark Greenquist, and Michael Swade |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-103 |
Action: In the Matter of Moody’s Investors Service, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-102 |
Action: 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 |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-101 |
Action: SEC v. Core Performance Management, LLC, James P. Scherr, Deborah B. Dora, Sharlene F. Mesite, James O’Neil, and Anadel R. Pinzon |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-100 |
Action: In the Matter of Ameriprise Financial Services, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-99 |
Action: In the Matter of Jinesh P. Brahmbhatt |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-98 |
Action: SEC v. Mieka Energy Corporation, Vadda Energy Corporation, Daro Ray Blankenship, Robert William Myers, Jr., and Stephen Romo |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-97 |
Action: SEC v. Lynette M. Robbins and Knowles Systems, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-96 |
Action: In the Matter of AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc. In the Matter of Bradley J. Beman In the Matter of Kevin A. Giles |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-95 |
Action: SEC v. Gary S. Williky |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-94 |
Action: In the Matter of Massachusetts Financial Services Company |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-93 |
Action: In the Matter of Hari K. Ravichandran In the Matter of Waruna Tivanka Ellawala |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-92 |
Action: In the Matter of Legg Mason, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-91 |
Action: SEC v. Medient Studios, Inc., FONU2, Inc., Manu Kumaran, Joel A. “Jake” Shapiro, and Roger Miguel |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Notice No.:2018-90 |
Action: SEC v. T.J. Jesky, Esq. and Mark DeStefano |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-89 |
Action: SEC v. Paul Z. Singer and Singer Financial Corp. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-87 |
Action: In the Matter of Deutsche Bank Trust Company Americas |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-86 |
Action: In the Matter of BGC Financial, L.P. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-85 |
Action: SEC v. Charles Schwab & Co. Inc. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-84 |
Action: In the Matter of Advanced Drainage Systems, Inc. and Mark B Sturgeon, CPA |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-83 |
Action: In the Matter of Mizuho Securities USA LLC |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-82 |
Action: SEC v. Robert Gadimian (a/k/a Robert Ghadimian) |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-81 |
Action: SEC v. James VanBlaricum, Rodney L. Pope, Chet Inglis, Matthew Leaverton, William Hill, Erik Rhodes, and Robert Gilliam |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-80 |
Action: SEC v. Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-79 |
Action: 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 |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-78 |
Action: SEC v. Erick Laszlo Mathe and Ashif Jiwa |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-77 |
Action: In the Matter of The Dow Chemical Company |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-76 |
Action: SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-75 |
Action: SEC v. Yasuna Murakami; Avi Chiat; MC2 Capital Management, LLC; MC2 Canada Capital Management, LLC |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-74 |
Action: SEC v. Joseph Meli, Matthew Harriton, 875 Holdings, LLC, 127 Holdings LLC, Advance Entertainment, LLC, and Advance Entertainment II, LLC |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-73 |
Action: In the Matter of THL Managers V, LLC and THL Managers VI, LLC |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-72 |
Action: 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. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-88 |
Action: In the Matter of Deutsche Bank Securities Inc. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Notice No.:2018-71 |
Action: In the Matter of Stanley Smith Barney LLC |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-70 |
Action: In the Matter of deVere USA, Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-69 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-68 |
Action: 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) |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-67 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-66 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-65 |
Action: In the Matter of Beam Inc., n/k/a Beam Suntory Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-64 |
Action: SEC v. Texas Coastal Energy Company, LLC and Jefferey A. Gordon |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-63 |
Action: In the Matter of KBR, Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-62 |
Action: SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-61 |
Action: 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. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-60 |
Action: SEC v. Quadrant 4 System Corp., Nandu Thondavadi, and Dhru Desai |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-59 |
Action: In the Matter of Wells Fargo Advisors, LLC |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-58 |
Action: In the Matter of Constant Contact, Inc. and Endurance International Group Holdings, Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-57 |
Action: In the Matter of Credit Suisse Group AG |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Notice No.:2018-56 |
Action: In the Matter of Visium Asset Management, LP |
Notice Date:06/29/2018 | Claim Due Date:09/27/2018 |
Notice No.:2018-55 |
Action: 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 |
Notice Date:06/29/2018 | Claim Due Date:09/27/2018 |
Notice No.:2018-54 |
Action: SEC v. GC Resources, LLC and Brian J. Polito |
Notice Date:06/29/2018 | Claim Due Date:09/27/2018 |
Notice No.:2018-53 |
Action: In the Matter of Altaba Inc., f/d/b/a Yahoo! Inc. |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Notice No.:2018-52 |
Action: In the Matter of PNC Investments LLC |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Notice No.:2018-51 |
Action: SEC v. Merrill Robertson, Jr., Sherman C. Vaughn, Jr., and Cavalier Union Investments, LLC |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Notice No.:2018-50 |
Action: SEC v. Capital Cover Bancorp LLC; Christopher M. Less aka Rashid K. Khalfani |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Notice No.:2018-49 |
Action: In the Matter of The Dun & Bradstreet Corporation |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Notice No.:2018-48 |
Action: In the Matter of Panasonic Corporation |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Notice No.:2018-47 |
Action: In the Matter of Geneos Wealth Management, Inc. |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Notice No.:2018-46 |
Action: In the Matter of Securities America Advisors, Inc. |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Notice No.:2018-45 |
Action: SEC v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Notice No.:2018-44 |
Action: SEC v. Lucita A. Zamoras |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-43 |
Action: SEC v. McKinley Mortgage Co. LLC, McKinley Mortgage Company, LLC, Tobias J. Preston, Charles G. Preston, Caleb J. Preston, and Laura A. Sanford |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-42 |
Action: In the Matter of Voya Investments, LLC and Direct Services LLC |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-41 |
Action: In the Matter of Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. DeWitt, Jr., CPA |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-40 |
Action: In the Matter of Steven Zoernack and EquityStar Capital Management, LLC |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-39 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-38 |
Action: Matthew W. Fox and Wayne Energy, LLC |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-37 |
Action: SEC v. Howard B. Present |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-36 |
Action: SEC v. James Hugh Brennan III; Douglas Albert Dyer; and Broad Street Ventures, LLC |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-35 |
Action: SEC v. Revolutions Medical Corp. and Rondald L. Wheet |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Notice No.:2018-34 |
Action: SEC v. JSG Capital Investments, LLC, JSG Capital, LLC, JSG Capital, LLC, JSG Enterprises, LLC, Jaswants S. Gill, and Javier Rios |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-33 |
Action: SEC v. Kevin J. Amell |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-32 |
Action: In the Matter of New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-31 |
Action: In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-30 |
Action: 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 |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-29 |
Action: SEC v. Steven Ventre, Dedicated Sound and Audio, Inc., Eric Lovy f/k/a Eric Beltran, and Choice Equity |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-28 |
Action: In the Matter of Wedbush Securities Inc. |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-27 |
Action: SEC v. Matthew D. Sample |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-26 |
Action: SEC v. LottoNet Operating Corp., David Gray, Joseph Vitale a/k/a Donovan Kelly |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-25 |
Action: SEC v. Daniel P. McKelvey, Alvin S. Mirman, Steven Sanders, Scott F. Hughes, Jeffrey L. Lamson, and Edward G. Sanders |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-24 |
Action: 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 |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-23 |
Action: SEC v. James C. Howard III, Michael R. Casey, and Louis N. Gallo III |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Notice No.:2018-17 |
Action: 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 |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-21 |
Action: SEC v. Thomas Edward Andrews and Scott Walter Christensen |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-20 |
Action: SEC v. Marquis Properties, LLC, Chad Deucher, and Richard Clatfelter |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-19 |
Action: SEC v. Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc. |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-18 |
Action: 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 |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-22 |
Action: SEC v. Michael L. Hudson |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-16 |
Action: In the Matter of Industrial and Commercial Bank of China Financial Services LLC |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-15 |
Action: SEC v. David B. Kaplan, Esq., Synchronized Organizational Solutions, LLC, Synchronized Organizational Solutions International, Ltd., and Manna International Enterprises, Inc. |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-14 |
Action: SEC v. Hadsell Chemical Processing, LLC and Robert Walton, Jr. |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-13 |
Action: SEC v. Geoffrey H. Lunn, Darlene A. Bishop, and Vincent G. Curry |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-12 |
Action:
|
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-11 |
Action: SEC v. Eric J. McPhail, Douglas A. Parigian, John J. Gilmartin, Douglas Clapp, James A. Drohen, John C. Drohen, and Jamie A. Meadows |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Notice No.:2018-10 |
Action: SEC v. John V. Bivona; Saddle River Advisors, LLC; SRA Management Associates, LLC; Frank Gregory Mazzola |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2018-9 |
Action: In the Matter of Train, Babcock Advisors LLC |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2018-8 |
Action: SEC v. Enviro Board Corporation, Glenn B. Camp, William J. Peiffer, and Joshua D. Mosshart |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2018-7 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2018-6 |
Action: In the Matter of Ameriprise Financial Services, Inc. |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2018-5 |
Action: In the Matter of TPG Capital Advisors, LLC |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2018-4 |
Action: SEC v. Jason A. Halek, Joshua D. Spivey, Patrick J. Booths, and Steven J. Little |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2018-3 |
Action: SEC v. Team Resources, Inc., Fossil Energy Corporation, Kevin A. Boyles, Philip A. Dressner, Michael Eppy, Andrew Stitt, and John Olivia |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2018-2 |
Action: SEC v. Thomas J. Buck |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2018-1 |
Action: SEC v. Boston Trading and Research, LLC, Ahmet Devrim Akyil, and Craig Karlis |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Notice No.:2017-175 |
Action: SEC v. Naris Chamroonrat, Yaniv Avnon, Ran Armon, G Six Trading Y.R. Ltd., and Adam L. Plumer, and NKO Holdings Co. Ltd. |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Notice No.:2017-174 |
Action: SEC v. Ming Zhao and Liping Zhu |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Notice No.:2017-173 |
Action: SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Notice No.:2017-172 |
Action: SEC v. Osiris Therapeutics, Inc., Philip R. Jacoby, Jr., Gregory I. Law, Lode B. Debrabandere, Bobby Dwayne Montgomery |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Notice No.:2017-171 |
Action: In the Matter of Wells Fargo Advisors, LLC |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Notice No.:2017-170 |
Action: 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 |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Notice No.:2017-169 |
Action: SEC v. Capital Financial Partners, LLC, Capital Financial Holdings, LLC, Capital Financial Partners Enterprises, LLC, William D. Allen and Susan C. Daub |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Notice No.:2017-168 |
Action: SEC v. Dwight Shane Baldwin and Silverleaf Financial, LLC |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-167 |
Action: In the Matter of Henry Lin-Han Jan In the Matter of Artemus Mayor |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-166 |
Action: SEC v. Renwick Haddow, Bar Works, Inc., Bar Works 7th Avenue, Inc., and Bitcoin Store, Inc. |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-165 |
Action: SEC v. Haena Park |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-164 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-163 |
Action: SEC v. The Leonard Vincent Group, Leonard Vincent Lombardo, and Brian A. Hudlin |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-162 |
Action: SEC v. International Stock Transfer, Inc., and Cecil Franklin Speight |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-161 |
Action: SEC v. JustInfo LLC, David Weddle, and Scott Allensworth |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-160 |
Action: In the Matter of Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.), John T. Porter, and Thomas F. Duszynski, CPA |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-159 |
Action: SEC v. The Estate of Vincent James Saviano and Palmetto Investments, LLC |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Notice No.:2017-158 |
Action: SEC v. Louis Martin Blazer, III |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-157 |
Action: SEC v. Edward Bronson and E-Lionheart Associates, LLC d/b/a Fairhills Capital |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-156 |
Action: SEC v. Charles C. Liu; Xin Wang a/k/a Lisa Want; Pacific Proton Therapy Regional Center, LLC; Pacific Proton EB-5 Fund, LLC; and Beverly Proton Center, LLC f/k/a Los Angeles Country Proton Therapy, LLC |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-155 |
Action: In the Matter of Platinum Equity Advisors, LLC |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-154 |
Action: SEC v. Peter L. Jensen and Thomas C. Tekulve, Jr. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-153 |
Action: In the Matter of Telia Company AB |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-152 |
Action: SEC v. Ahmad Fnaikher Alyasin and Optima Global Financial, Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-151 |
Action: SEC v. James G. Temme, and Stewardship Funds, LP |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-150 |
Action: SEC v. Thomas Abdallah (a.k.a. Tom Abraham), Kenneth Grant, KGTA Petroleum, Ltd., Mark M. George, Jeffrey L. Gainer, and Jerry A. Cicolani, Jr. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-149 |
Action: In the Matter of Alere Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-148 |
Action: SEC v. Aegerion Pharmaceuticals, Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-147 |
Action: In the Matter of SunTrust Investment Services, Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-146 |
Action: SEC v. Optimum Income Property, LLC, Optimum Property Investments, LLC and Frank E. Lleras |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Notice No.:2017-145 |
Action: SEC v. Wensheng Lin and Sheng Li Chen |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-144 |
Action: In the Matter of Banca IMI Securities Corp. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-143 |
Action: SEC v. Jay Belson, Smarte Real Estate Investments, Inc., Jack Rockman, LLC, John Blackstone LLC, Residence at St. Ives, LLC, and Bellagio Place Residence, LLC |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-142 |
Action: SEC v. Hui Feng and Law Offices of Feng & Associates P.C. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-141 |
Action: In the Matter of Vertical Capital Asset Management, LLC, Vertical Fund Group, Inc., Vertical Recovery Management, LLC, Gustavo A. Altuzarra, and Christopher R. Chase |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-140 |
Action: In the Matter of Deerfield Management Company, L.P. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-139 |
Action: SEC v. Inteligentry, Ltd., PlasmERG, Inc., and John P. Rohner |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-138 |
Action: SEC v. Darrell Glenn Hardaway and Hardaway Net-Works, Inc. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-137 |
Action: SEC v. Hidalgo Mining Corp., John W. Boyer, and Joshua F. McAlees |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-136 |
Action: In the Matter of Allen Chi |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-128 |
Action: In the Matter of KPMG LLP and John Riordan, CPA |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-129 |
Action: In the Matter of Ironridge Global Partners, LLC, and Ironridge Global IV, Ltd. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-130 |
Action: SEC v. Southridge Capital Management LLC, Southridge Advisors LLC, and Stephen M. Hicks |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-131 |
Action: In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC, and State Street Bank and Trust Company |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-132 |
Action: In the Matter of State Street Bank and Trust Company |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-133 |
Action: SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino “Dino” Paolucci, Jr., and Don L. Rose |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-134 |
Action: SEC v. Donald J. Lester, Rubicon Alliance, LLC, CFI Fund, LLC, and NuPower, LLC |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-135 |
Action: In the Matter of Coachman Energy Partners LLC and Randall D. Kenworthy |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Notice No.:2017-123 |
Action: SEC v. Trudy R. Gilmond |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Notice No.:2017-122 |
Action: SEC v. Andrew I. Farmer, Charles E. Grob, Jr., Carolyn Austin, Baldemar P. Rios, and Chimera Energy Corp. |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Notice No.:2017-121 |
Action: SEC v. Joey Stanton Dodson |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Notice No.:2017-120 |
Action: SEC v. Thomas J. Lawler and Freedom Foundation USA LLC dba Freedom Club USA |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Notice No.:2017-124 |
Action: SEC v. Christopher J. Hall |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Notice No.:2017-125 |
Action: In the Matter of Halliburton Company and Jeannot Lorenz |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Notice No.:2017-126 |
Action: SEC v. Marcus A Luna, Norrell L. Walker, Paul L. Gomez, and Dustin S. Smith |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Notice No.:2017-127 |
Action: In the Matter of Cadaret, Grant & Co., Inc. |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Notice No.:2017-118 |
Action: SEC v. Marc D. Broidy and Broidy Wealth Advisors, LLC |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Notice No.:2017-117 |
Action: SEC v. Sigma Capital Management, LLC |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Notice No.:2017-116 |
Action: SEC v. Renato Rodriguez and Gutemberg Dos Santos |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Notice No.:2017-115 |
Action: SEC v. Yu-Cheng Lin, a/k/a Believe Lin |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Notice No.:2017-114 |
Action: SEC v. Ascenergy LLC and Joseph (a/k/a Joey) Gabaldon |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Notice No.:2017-113 |
Action: SEC v. Kingdom Legacy General Partner, LLC and Mark C. Northrop |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Notice No.:2017-112 |
Action: SEC v. Thomas D. Melvin, Michael S. Cain, Joel C. Jinks and Peter C. Doffing |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Notice No.:2017-119 |
Action: In the Matter of Joel Corenman In the Matter of Galena Biopharma, Inc. and Mark J. Ahn In the Matter of Craig Keolanui In the Matter of Lion Biotechnologies, Inc. In the Matter of Edward Borrelli and Dunedin, Inc. In the Matter of Stephen Ramey In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC In the Matter of Ciaran Thornton In the Matter of Manish Singh and Lavos, LLC In the Matter of Christopher French |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Notice No.:2017-111 |
Action: SEC v. Charles C. Slowey, Jr. Endeavor Partners, LLC; Endeavor Capital Management Group, LLC; Edward D. Puttick, Sr.; Advanced Planning Securities, Inc. Gregory L. Oldham; Glenn R. Harris; and Oldham Harris, Inc. |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-110 |
Action: SEC v. Diversified Lending Group, Inc.; Applied Equities, Inc. and Bruce Friedman |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-109 |
Action: SEC v. Serofim Muroff, Blackhawk Manager, LLC, ISR Capital, LLC, Equity Recap Account, LLC and Debra L. Riddle |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-108 |
Action: In the Matter of Miles S. Nadal |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-107 |
Action: SEC v. Leon G. Cooperman and Omega Advisors, Inc. |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-106 |
Action: SEC v. William R. Schantz III and Verto Capital Management LLC |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-105 |
Action: In the Matter of Barclays Capital, Inc. |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-104 |
Action: SEC v. BIC Real Estate Development Corporation and Daniel R. Nase, indivudally and d/b/a Bakersfield Investment Club |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-103 |
Action: SEC v. Iat Hong, Bo Zheng, and Hung Chin |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-102 |
Action: In the Matter of Barclays Capital Inc. In the Matter of Yoon Seok Lee In the Matter of David F. Wong |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-101 |
Action: SEC v. Carl Keith Battie |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-100 |
Action: SEC v. Seth Eber, Howard Ettelman, Ronny J. Halperin, Charles Hansen, III, Melissa K. Rice, Luz Rodriguez, and Kevin D. Sepe |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-99 |
Action: SEC v. Homero Joshua Garza, GAW Miners, LLC and ZenMiner (d/b/a Zen Cloud) |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-98 |
Action: SEC v. TelexFree, Inc., TelexFree, LLC, James M. Merrill, Carlos N. Wanzeler, Steven M. Labriola, Joseph H. Craft, Sanderley Rodrigues de Vasconcelos, Santiago de al Rosa, Randy N. Crosby and Faith R. Sloan |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-97 |
Action: SEC v. Francisco Illarramendi and Michael Kenwood Capital Management, LLC |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Notice No.:2017-96 |
Action: In the Matter of MagnaChip Semiconductor Corporation and Maragret Hye-Ryoung Sakai, CPA |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-95 |
Action: In the Matter of BlackRock Fund Advisors |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-94 |
Action: In the Matter of Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-93 |
Action: SEC v. McGinn Smith & Co., Inc., McGinn Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes LLC, Third Albany Income Notes, LLC, Timothy M. McGinn, David L. Smith, Lynn A. Smith, Geoffrey R. Smith, Lauren T. Smith, and Nancy McGinn |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-92 |
Action: SEC v. Scott Allen and John Michael Bennett |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-91 |
Action: SEC v. Janus Spectrum LLC; David Alcorn; Kent Maerki; Dominion Private Client Group, LLC; Janus Spectrum Group, LLC; Spectrum Management, LLC; Spectrum 100, LLC; Spectrum 100 Management, LLC; Prime Spectrum, LLC; Prime Spectrum Management, LLC; Daryl G. Bank; Premier Spectrum Group, PMA; Bobby D. Jones; Innovative Group, PMA; Premier Group, PMA; Prosperity Group, PMA; Terry W. Johnson; and Raymon G. Chadwick, Jr. |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-90 |
Action: SEC v. Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-89 |
Action: SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-87 |
Action: SEC v. Michael Andre Jones |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-86 |
Action: SEC v. Provident Capital Indemnity, LTD., Minor Vargas Calvo, and Jorge L. Castillo |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-85 |
Action: SEC v. Todd Farha, Paul Behrens, and Thaddeus Bereday |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-88 |
Action: In the Matter of Credit Suisse Securities (USA) LLC In the Matter of Sanford Michael Katz |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-84 |
Action: SEC v. Mercury Interactive, LLC (F/K/A Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-83 |
Action: SEC v. Jeffrey A. McCollum and JNL Oilfield Instruments, LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-82 |
Action: SEC v. Marco A. Ramirez; Bebe Ramirez; USA Now, LLC, USA Now Energy Capital Group, LP; and Now Co. Loan Services LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-81 |
Action: In the Matter of William Blair & Company, LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-80 |
Action: SEC v. Thomas J. Connerton and Safety Technologies, LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Notice No.:2017-79 |
Action: In the Matter of Voya Financial Advisors, Inc. |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-78 |
Action: SEC v. Path America, LLC; Path America SnoCo LLC; Path America Farmer's Market, LP; Path America KingCo LLC; Path America Tower, LP; Path Tower Seattle, LP; Potala Tower Seattle, LLC; and Lobsang Dargey |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-77 |
Action: In the Matter of Bennett Group Financial Services, LLC, and Dawn J. Bennett |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-76 |
Action: In the Matter of Louis Capital Markets, LP |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-75 |
Action: SEC vs. Gregory W. Gray, Jr., Archipel Capital LLC, BIM Management LP |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-74 |
Action: SEC vs. Harold Bailey "B.J." Gallison, II (A.K.A. Bart Williams, Moneyline Brokers, Bastille Advisors, Inc., Club Consultants Inc., Jurojin, Inc., Sandias Azucaradas CR, S.A., Vanilla Sky, S.A., Roger G. Coleman, Sr., Ann "Anna" M. Hiskey, Robin M. Rushing, David K. Rushing, Michael J. Randles, Warrior Girl Corp., Carl H. Kruse, Sr., Carl H. Kruse Jr., (A.K.A. Carl Kruse-Velasquez), Allan M. Migdall, Nature's Peak F.K.A. Everock, Inc., Frank J. Zangara, Mark S. Dresner, Charles "Chuck" S. Moeller, Robert S. Oppenheimer, Antonio ("Tony" or "Anthony") J. Katz, Richard S. Roon, Fryn Canyon Corporation, L.F. Technology Group LLC, Starburst Innovations LLC, Tachion Projects, Inc., B.H.I. Group, Inc., U D F Consulting Inc., Digital Edge Marketing LLC, Core Business One, Inc., Spectrum Research Group Inc., Oceanic Consulting LLC, and Akat Global LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-73 |
Action: SEC v. Warren D. Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-72 |
Action: SEC v. Steve Chen, USFIA, Inc., Alliance Financial Group, Inc., Amauction, Inc., Aborell MGMT I, LLC, Aborell Advisors I, LLC, Aborell REIT II, LLC, Ahome Real Estate, LLC, Alliance NGN, Inc., Apollo REIT I, Inc., Apollo REIT II, LLC, Amkey Inc., US China Consultation Association, and Quail Ranch Golf Course, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-71 |
Action: SEC v. Notis Global, Inc. (f/k/a MedBox, Inc.), Vincent Mehdizadeh, Bruce Bedrick, Yocelin Legaspi, and New-Age Investment Consulting, Inc. |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-70 |
Action: SEC v. Nathan Halsey and TexStar Oil Co., Ltd. |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-69 |
Action: SEC v. Arcturus Corporation, Aschere Energy, LLC, Leon Ali Parvizian a/k/a Alex Parvizian, Alfredo Gonzalez, AMG Energy, LLC, Robert J. Balunas, and R. Thomas & Co., LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-68 |
Action: In the Matter of Sheldon Rose and MKJJ Consulting LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-65 |
Action: SEC v. Mark A. Jones |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-66 |
Action: SEC v. Oscar F. Villarreal |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-67 |
Action: SEC v. Clayton A. Cohn and Marketaction Advisors, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-64 |
Action: SEC v. Matthew E. White, Rodney A. Zehner, Daniel J. Merandi, White Investment Groups and Equities, LLC, the Grand Empire Palace and Resort, LLC, GEPR Investments Trust No. 1, GEPR Investments, LLC, M&M Financial, LLC, and Mountaineer Development & Construction Group, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-63 |
Action: SEC v. Lonny S. Bernath |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Notice No.:2017-58 |
Action: SEC v. Bruce A. Cole |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Notice No.:2017-59 |
Action: SEC v. Robert Seibert, a.k.a. John Grey |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Notice No.:2017-60 |
Action: SEC v. Jason Cope, Izak Zirk de Maison (F/K/A Izak Zirk Engelbrecht), Gregory Goldstein, Stephen Wilshinsky, Talman Harris, William Scholander, Jack Tagliaferro, Victor Alfaya, Justin Esposito, Kona Jones Barbera, Louis Mastromatteo, Angelique de Maison, Trish Malone, Kieran T. Kuhn, Peter Voutsas, Ronald Loshin, Gepco, Ltd., Sunatco Ltd., Suprafin Ltd., Worldbridge Partners, Traverse International, and Small Cap Resource Corp. |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Notice No.:2017-61 |
Action: SEC v. Raymond H. Barton, William G. Goode, Mathew Charles Briggs, Kenneth Manzo, and Justin Sindelman |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Notice No.:2017-62 |
Action: SEC v. Paul A. Garcia, Caliber Capital Management, LLC, Partner Medical Solutions, LLC, Richard T. Woods, and Caliber Partnership I, LLC |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Notice No.:2017-57 |
Action: In the Matter of SLRA Inc. as successor entity to Liquid Realty Advisors III, LLC and Scott M. Landress |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Notice No.:2017-49 |
Action: In the Matter of Thomas R. Stanley, II |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |