|
Published date grouping
|
Notice No.
|
Action
|
Notice Date
|
Claim Due Date
|
|---|---|---|---|---|
| Published date grouping:September 2019 |
Notice No.:2019-151
New |
Action: In the Matter of Juniper Networks, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-150
New |
Action: In the Matter of Deutsche Bank AG |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-149
New |
Action: SEC v. Facebook, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-148
New |
Action: In the Matter of Brixmor Property Group Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-147
New |
Action: In the Matter of BMO Capital Markets Corporation |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-146
New |
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 |
| Published date grouping:September 2019 |
Notice No.:2019-145
New |
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 |
| Published date grouping:September 2019 |
Notice No.:2019-144
New |
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 |
| Published date grouping:September 2019 |
Notice No.:2019-143
New |
Action: SEC v. BitQyck, Inc., Bruce E. Bise, and Samuel J. Mendez |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-142
New |
Action: In the Matter of Alfred C. Teran |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-141
New |
Action: SEC v. 1 Global Capital LLC, and Carl Ruderman |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-140
New |
Action: SEC v. Henry J. Wieniewitz, and Wieniewitz Financial, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-139
New |
Action: In the Matter of Lefavi Wealth Management, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-138
New |
Action: In the Matter of The Options Clearing Corporation |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Published date grouping:September 2019 |
Notice No.:2019-137
New |
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 |
| Published date grouping:September 2019 |
Notice No.:2019-136
New |
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 |
| Published date grouping:September 2019 |
Notice No.:2019-135
New |
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 |
| Published date grouping:September 2019 |
Notice No.:2019-134
New |
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 |
| Published date grouping:August 2019 | Notice No.:2019-133 |
Action: In the Matter of Microsoft Corporation |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 2019 | Notice No.:2019-127 |
Action: SEC v. Thomas H. Laws |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Published date grouping:August 2019 | Notice No.:2019-126 |
Action: SEC v. Ernest J. Romer, III |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 2019 | Notice No.:2019-122 |
Action: SEC v. Amit Kanodia and Iftikar Ahmed |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Published date grouping:July 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 |
| Published date grouping:July 2019 | Notice No.:2019-114 |
Action: In the Matter of Wedbush Securities, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Published date grouping:July 2019 | Notice No.:2019-113 |
Action: SEC v. Carol Ann Pedersen |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 2019 | Notice No.:2019-110 |
Action: SEC v. James E. Hocker |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Published date grouping:July 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 |
| Published date grouping:July 2019 | Notice No.:2019-108 |
Action: In the Matter of KPMG LLP |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Published date grouping:July 2019 | Notice No.:2019-107 |
Action: In the Matter of Walmart Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Published date grouping:July 2019 | Notice No.:2019-106 |
Action: SEC v. Jose G. Ramirez, Jr. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Published date grouping:July 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 |
| Published date grouping:July 2019 | Notice No.:2019-104 |
Action: SEC v. Celadon Group, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Published date grouping:July 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 |
| Published date grouping:July 2019 | Notice No.:2019-102 |
Action: SEC v. Kimberly Pine Kitts |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 2019 | Notice No.:2019-120 |
Action: SEC v. Amrit J. S. Chahal |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:June 2019 | Notice No.:2019-85 |
Action: SEC v. Sonya D. Camarco |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:June 2019 | Notice No.:2019-96 |
Action: SEC v. Daniel Mattes |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
| Published date grouping:June 2019 | Notice No.:2019-95 |
Action: SEC v. Howard M. Appel |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:June 2019 | Notice No.:2019-90 |
Action: SEC v. Harry Craig Dees |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:May 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 |
| Published date grouping:May 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 |
| Published date grouping:May 2019 | Notice No.:2019-73 |
Action: In the Matter of Prosper Funding LLC |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
| Published date grouping:May 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 |
| Published date grouping:May 2019 | Notice No.:2019-71 |
Action: SEC v. Timothy S. Batchelor |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
| Published date grouping:May 2019 | Notice No.:2019-70 |
Action: SEC v. Michael T. Rand |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
| Published date grouping:May 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 |
| Published date grouping:May 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 |
| Published date grouping:May 2019 | Notice No.:2019-79 |
Action: In the Matter of Stephens Inc. |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
| Published date grouping:May 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 |
| Published date grouping:May 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 |
| Published date grouping:May 2019 | Notice No.:2019-76 |
Action: SEC v. Adam C. Derbyshire |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-50 |
Action: In the Matter of Mobile TeleSystems PJSC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-48 |
Action: In the Matter of Ameritas Investment Corp. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-46 |
Action: In the Matter of Principal Securities, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-41 |
Action: SEC v. John Gregory Schmidt |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-39 |
Action: In the Matter of LPL Financial LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-56 |
Action: In the Matter of AXA Advisors, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-55 |
Action: In the Matter of SSN Advisory, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-61 |
Action: SEC v. Scott Newsholme |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-37 |
Action: In the Matter of ProEquities, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 2019 | Notice No.:2019-57 |
Action: In the Matter of PlanMember Securities Corporation |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:March 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 |
| Published date grouping:March 2019 | Notice No.:2019-34 |
Action: SEC v. Michael Scronic |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:February 2019 | Notice No.:2019-10 |
Action: In the Matter of Agria Corporation |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 2019 | Notice No.:2019-7 |
Action: SEC v. David H. Brooks |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
| Published date grouping:February 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 |
| Published date grouping:February 2019 | Notice No.:2019-9 |
Action: SEC v. Jordan E. Goodman |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
| Published date grouping:February 2019 | Notice No.:2019-21 |
Action: In the Matter of Polycom, Inc. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
| Published date grouping:February 2019 | Notice No.:2019-20 |
Action: SEC v. John Afriyie and Lawrencia Afriyie |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:January 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 |
| Published date grouping:January 2019 | Notice No.:2019-2 |
Action: In the Matter of Citadel Securities LLC |
Notice Date:01/31/2019 | Claim Due Date:05/01/2019 |
| Published date grouping:January 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 |
| Published date grouping:January 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 |
| Published date grouping:December 2018 | Notice No.:2018-162 |
Action: SEC v. Douglas P. Simanski |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
| Published date grouping:December 2018 | Notice No.:2018-161 |
Action: SEC v. Keenan Gracey |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
| Published date grouping:December 2018 | 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 |
| Published date grouping:December 2018 | 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 |
| Published date grouping:December 2018 | Notice No.:2018-154 |
Action: SEC v. Charles A. Banks, IV |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
| Published date grouping:December 2018 | 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 |
| Published date grouping:December 2018 | Notice No.:2018-156 |
Action: In the Matter of Vantage Drilling International |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
| Published date grouping:December 2018 | 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 |
| Published date grouping:December 2018 | Notice No.:2018-158 |
Action: In the Matter of Fifth Street Management, LLC |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
| Published date grouping:November 2018 | Notice No.:2018-153 |
Action: SEC v. Tesla, Inc. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
| Published date grouping:November 2018 | Notice No.:2018-152 |
Action: SEC v. Elon Musk |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:November 2018 | Notice No.:2018-149 |
Action: In the Matter of Citibank, N.A. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:November 2018 | Notice No.:2018-140 |
Action: SEC v. Iftikar Ahmed |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
| Published date grouping:November 2018 | Notice No.:2018-141 |
Action: SEC v. SeaWorld Entertainment, Inc., and James Atchison |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:November 2018 | Notice No.:2018-145 |
Action:
|
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
| Published date grouping:November 2018 | 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 |
| Published date grouping:October 2018 | Notice No.:2018-137 |
Action: SEC v. Peter C. Chang |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | Notice No.:2018-134 |
Action: In the Matter of Capital Analysts, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
| Published date grouping:October 2018 | Notice No.:2018-133 |
Action: SEC v. Dennis Wayne Hamilton |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | Notice No.:2018-130 |
Action: In the Matter of Stryker Corporation |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | Notice No.:2018-121 |
Action: In the Matter of United Technologies Corporation |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
| Published date grouping:October 2018 | Notice No.:2018-120 |
Action: In the Matter of Sanofi |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:October 2018 | Notice No.:2018-114 |
Action: SEC v. Hope Advisors, LLC, and Karen Bruton |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
| Published date grouping:October 2018 | 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 |
| Published date grouping:September 2018 | 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 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 2018 | Notice No.:2018-109 |
Action: In the Matter of Citigroup, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
| Published date grouping:September 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 |
| Published date grouping:September 2018 | Notice No.:2018-107 |
Action: SEC v. David A. Harbour |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 2018 | Notice No.:2018-99 |
Action: In the Matter of Jinesh P. Brahmbhatt |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 2018 | Notice No.:2018-95 |
Action: SEC v. Gary S. Williky |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
| Published date grouping:September 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 |
| Published date grouping:September 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 |
| Published date grouping:September 2018 | Notice No.:2018-92 |
Action: In the Matter of Legg Mason, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
| Published date grouping:September 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 2018 | Notice No.:2018-85 |
Action: SEC v. Charles Schwab & Co. Inc. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:August 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 |
| Published date grouping:July 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 |
| Published date grouping:July 2018 | Notice No.:2018-70 |
Action: In the Matter of deVere USA, Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
| Published date grouping:July 2018 | Notice No.:2018-69 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 2018 | Notice No.:2018-63 |
Action: In the Matter of KBR, Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:July 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 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:June 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 |
| Published date grouping:May 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 |
| Published date grouping:May 2018 | Notice No.:2018-52 |
Action: In the Matter of PNC Investments LLC |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
| Published date grouping:May 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 |
| Published date grouping:May 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 |
| Published date grouping:May 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 |
| Published date grouping:May 2018 | Notice No.:2018-48 |
Action: In the Matter of Panasonic Corporation |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
| Published date grouping:May 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 |
| Published date grouping:May 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 |
| Published date grouping:May 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 |
| Published date grouping:April 2018 | Notice No.:2018-44 |
Action: SEC v. Lucita A. Zamoras |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:April 2018 | Notice No.:2018-38 |
Action: Matthew W. Fox and Wayne Energy, LLC |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
| Published date grouping:April 2018 | Notice No.:2018-37 |
Action: SEC v. Howard B. Present |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
| Published date grouping:April 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 |
| Published date grouping:April 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 |
| Published date grouping:March 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 |
| Published date grouping:March 2018 | Notice No.:2018-33 |
Action: SEC v. Kevin J. Amell |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 2018 | Notice No.:2018-28 |
Action: In the Matter of Wedbush Securities Inc. |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
| Published date grouping:March 2018 | Notice No.:2018-27 |
Action: SEC v. Matthew D. Sample |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:March 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 2018 | Notice No.:2018-22 |
Action: SEC v. Michael L. Hudson |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 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 |
| Published date grouping:February 2018 | Notice No.:2018-12 |
Action:
|
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
| Published date grouping:February 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 |
| Published date grouping:January 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 |
| Published date grouping:January 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 |
| Published date grouping:January 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 |
| Published date grouping:January 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 |
| Published date grouping:January 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 |
| Published date grouping:January 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 |
| Published date grouping:January 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 |
| Published date grouping:January 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 |
| Published date grouping:January 2018 | Notice No.:2018-2 |
Action: SEC v. Thomas J. Buck |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
| Published date grouping:January 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 |
| Published date grouping:December 2017 | 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 |
| Published date grouping:December 2017 | Notice No.:2017-174 |
Action: SEC v. Ming Zhao and Liping Zhu |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
| Published date grouping:December 2017 | 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 |
| Published date grouping:December 2017 | 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 |
| Published date grouping:December 2017 | Notice No.:2017-171 |
Action: In the Matter of Wells Fargo Advisors, LLC |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
| Published date grouping:December 2017 | 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 |
| Published date grouping:December 2017 | 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 |
| Published date grouping:November 2017 | 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 |
| Published date grouping:November 2017 | 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 |
| Published date grouping:November 2017 | 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 |
| Published date grouping:November 2017 | Notice No.:2017-165 |
Action: SEC v. Haena Park |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
| Published date grouping:November 2017 | Notice No.:2017-164 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
| Published date grouping:November 2017 | 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 |
| Published date grouping:November 2017 | 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 |
| Published date grouping:November 2017 | 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 |
| Published date grouping:November 2017 | 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 |
| Published date grouping:November 2017 | 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 |
| Published date grouping:October 2017 | Notice No.:2017-158 |
Action: SEC v. Louis Martin Blazer, III |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-157 |
Action: SEC v. Edward Bronson and E-Lionheart Associates, LLC d/b/a Fairhills Capital |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-156 |
Action: SEC v. Charles C. Liu; Xin Wang a/k/a Lisa Want; Pacific Proton Therapy Regional Center, LLC; Pacific Proton EB-5 Fund, LLC; and Beverly Proton Center, LLC f/k/a Los Angeles Country Proton Therapy, LLC |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-155 |
Action: In the Matter of Platinum Equity Advisors, LLC |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-154 |
Action: SEC v. Peter L. Jensen and Thomas C. Tekulve, Jr. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-153 |
Action: In the Matter of Telia Company AB |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-152 |
Action: SEC v. Ahmad Fnaikher Alyasin and Optima Global Financial, Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-151 |
Action: SEC v. James G. Temme, and Stewardship Funds, LP |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-150 |
Action: SEC v. Thomas Abdallah (a.k.a. Tom Abraham), Kenneth Grant, KGTA Petroleum, Ltd., Mark M. George, Jeffrey L. Gainer, and Jerry A. Cicolani, Jr. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-149 |
Action: In the Matter of Alere Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-148 |
Action: SEC v. Aegerion Pharmaceuticals, Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-147 |
Action: In the Matter of SunTrust Investment Services, Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:October 2017 | Notice No.:2017-146 |
Action: SEC v. Optimum Income Property, LLC, Optimum Property Investments, LLC and Frank E. Lleras |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
| Published date grouping:September 2017 | Notice No.:2017-145 |
Action: SEC v. Wensheng Lin and Sheng Li Chen |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-144 |
Action: In the Matter of Banca IMI Securities Corp. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-143 |
Action: SEC v. Jay Belson, Smarte Real Estate Investments, Inc., Jack Rockman, LLC, John Blackstone LLC, Residence at St. Ives, LLC, and Bellagio Place Residence, LLC |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-142 |
Action: SEC v. Hui Feng and Law Offices of Feng & Associates P.C. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-141 |
Action: In the Matter of Vertical Capital Asset Management, LLC, Vertical Fund Group, Inc., Vertical Recovery Management, LLC, Gustavo A. Altuzarra, and Christopher R. Chase |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-140 |
Action: In the Matter of Deerfield Management Company, L.P. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-139 |
Action: SEC v. Inteligentry, Ltd., PlasmERG, Inc., and John P. Rohner |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-138 |
Action: SEC v. Darrell Glenn Hardaway and Hardaway Net-Works, Inc. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-137 |
Action: SEC v. Hidalgo Mining Corp., John W. Boyer, and Joshua F. McAlees |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-136 |
Action: In the Matter of Allen Chi |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-128 |
Action: In the Matter of KPMG LLP and John Riordan, CPA |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-129 |
Action: In the Matter of Ironridge Global Partners, LLC, and Ironridge Global IV, Ltd. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-130 |
Action: SEC v. Southridge Capital Management LLC, Southridge Advisors LLC, and Stephen M. Hicks |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-131 |
Action: In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC, and State Street Bank and Trust Company |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-132 |
Action: In the Matter of State Street Bank and Trust Company |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-133 |
Action: SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino “Dino” Paolucci, Jr., and Don L. Rose |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-134 |
Action: SEC v. Donald J. Lester, Rubicon Alliance, LLC, CFI Fund, LLC, and NuPower, LLC |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:September 2017 | Notice No.:2017-135 |
Action: In the Matter of Coachman Energy Partners LLC and Randall D. Kenworthy |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
| Published date grouping:August 2017 | Notice No.:2017-123 |
Action: SEC v. Trudy R. Gilmond |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
| Published date grouping:August 2017 | Notice No.:2017-122 |
Action: SEC v. Andrew I. Farmer, Charles E. Grob, Jr., Carolyn Austin, Baldemar P. Rios, and Chimera Energy Corp. |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
| Published date grouping:August 2017 | Notice No.:2017-121 |
Action: SEC v. Joey Stanton Dodson |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
| Published date grouping:August 2017 | Notice No.:2017-120 |
Action: SEC v. Thomas J. Lawler and Freedom Foundation USA LLC dba Freedom Club USA |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
| Published date grouping:August 2017 | Notice No.:2017-124 |
Action: SEC v. Christopher J. Hall |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
| Published date grouping:August 2017 | Notice No.:2017-125 |
Action: In the Matter of Halliburton Company and Jeannot Lorenz |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
| Published date grouping:August 2017 | Notice No.:2017-126 |
Action: SEC v. Marcus A Luna, Norrell L. Walker, Paul L. Gomez, and Dustin S. Smith |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
| Published date grouping:August 2017 | Notice No.:2017-127 |
Action: In the Matter of Cadaret, Grant & Co., Inc. |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
| Published date grouping:July 2017 | Notice No.:2017-118 |
Action: SEC v. Marc D. Broidy and Broidy Wealth Advisors, LLC |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
| Published date grouping:July 2017 | Notice No.:2017-117 |
Action: SEC v. Sigma Capital Management, LLC |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
| Published date grouping:July 2017 | Notice No.:2017-116 |
Action: SEC v. Renato Rodriguez and Gutemberg Dos Santos |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
| Published date grouping:July 2017 | Notice No.:2017-115 |
Action: SEC v. Yu-Cheng Lin, a/k/a Believe Lin |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
| Published date grouping:July 2017 | Notice No.:2017-114 |
Action: SEC v. Ascenergy LLC and Joseph (a/k/a Joey) Gabaldon |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
| Published date grouping:July 2017 | Notice No.:2017-113 |
Action: SEC v. Kingdom Legacy General Partner, LLC and Mark C. Northrop |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
| Published date grouping:July 2017 | Notice No.:2017-112 |
Action: SEC v. Thomas D. Melvin, Michael S. Cain, Joel C. Jinks and Peter C. Doffing |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
| Published date grouping:July 2017 | Notice No.:2017-119 |
Action: In the Matter of Joel Corenman 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 |
| Published date grouping:June 2017 | Notice No.:2017-111 |
Action: SEC v. Charles C. Slowey, Jr. Endeavor Partners, LLC; Endeavor Capital Management Group, LLC; Edward D. Puttick, Sr.; Advanced Planning Securities, Inc. Gregory L. Oldham; Glenn R. Harris; and Oldham Harris, Inc. |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-110 |
Action: SEC v. Diversified Lending Group, Inc.; Applied Equities, Inc. and Bruce Friedman |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-109 |
Action: SEC v. Serofim Muroff, Blackhawk Manager, LLC, ISR Capital, LLC, Equity Recap Account, LLC and Debra L. Riddle |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-108 |
Action: In the Matter of Miles S. Nadal |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-107 |
Action: SEC v. Leon G. Cooperman and Omega Advisors, Inc. |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-106 |
Action: SEC v. William R. Schantz III and Verto Capital Management LLC |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-105 |
Action: In the Matter of Barclays Capital, Inc. |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-104 |
Action: SEC v. BIC Real Estate Development Corporation and Daniel R. Nase, indivudally and d/b/a Bakersfield Investment Club |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-103 |
Action: SEC v. Iat Hong, Bo Zheng, and Hung Chin |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-102 |
Action: In the Matter of Barclays Capital Inc. 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 |
| Published date grouping:June 2017 | Notice No.:2017-101 |
Action: SEC v. Carl Keith Battie |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-100 |
Action: SEC v. Seth Eber, Howard Ettelman, Ronny J. Halperin, Charles Hansen, III, Melissa K. Rice, Luz Rodriguez, and Kevin D. Sepe |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-99 |
Action: SEC v. Homero Joshua Garza, GAW Miners, LLC and ZenMiner (d/b/a Zen Cloud) |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-98 |
Action: SEC v. TelexFree, Inc., TelexFree, LLC, James M. Merrill, Carlos N. Wanzeler, Steven M. Labriola, Joseph H. Craft, Sanderley Rodrigues de Vasconcelos, Santiago de al Rosa, Randy N. Crosby and Faith R. Sloan |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:June 2017 | Notice No.:2017-97 |
Action: SEC v. Francisco Illarramendi and Michael Kenwood Capital Management, LLC |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
| Published date grouping:May 2017 | Notice No.:2017-96 |
Action: In the Matter of MagnaChip Semiconductor Corporation and Maragret Hye-Ryoung Sakai, CPA |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-95 |
Action: In the Matter of BlackRock Fund Advisors |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-94 |
Action: In the Matter of Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-93 |
Action: SEC v. McGinn Smith & Co., Inc., McGinn Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes LLC, Third Albany Income Notes, LLC, Timothy M. McGinn, David L. Smith, Lynn A. Smith, Geoffrey R. Smith, Lauren T. Smith, and Nancy McGinn |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-92 |
Action: SEC v. Scott Allen and John Michael Bennett |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-91 |
Action: SEC v. Janus Spectrum LLC; David Alcorn; Kent Maerki; Dominion Private Client Group, LLC; Janus Spectrum Group, LLC; Spectrum Management, LLC; Spectrum 100, LLC; Spectrum 100 Management, LLC; Prime Spectrum, LLC; Prime Spectrum Management, LLC; Daryl G. Bank; Premier Spectrum Group, PMA; Bobby D. Jones; Innovative Group, PMA; Premier Group, PMA; Prosperity Group, PMA; Terry W. Johnson; and Raymon G. Chadwick, Jr. |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-90 |
Action: SEC v. Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-89 |
Action: SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-87 |
Action: SEC v. Michael Andre Jones |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-86 |
Action: SEC v. Provident Capital Indemnity, LTD., Minor Vargas Calvo, and Jorge L. Castillo |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-85 |
Action: SEC v. Todd Farha, Paul Behrens, and Thaddeus Bereday |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-88 |
Action: In the Matter of Credit Suisse Securities (USA) LLC In the Matter of Sanford Michael Katz |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-84 |
Action: SEC v. Mercury Interactive, LLC (F/K/A Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-83 |
Action: SEC v. Jeffrey A. McCollum and JNL Oilfield Instruments, LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-82 |
Action: SEC v. Marco A. Ramirez; Bebe Ramirez; USA Now, LLC, USA Now Energy Capital Group, LP; and Now Co. Loan Services LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-81 |
Action: In the Matter of William Blair & Company, LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:May 2017 | Notice No.:2017-80 |
Action: SEC v. Thomas J. Connerton and Safety Technologies, LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
| Published date grouping:April 2017 | Notice No.:2017-79 |
Action: In the Matter of Voya Financial Advisors, Inc. |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-78 |
Action: SEC v. Path America, LLC; Path America SnoCo LLC; Path America Farmer's Market, LP; Path America KingCo LLC; Path America Tower, LP; Path Tower Seattle, LP; Potala Tower Seattle, LLC; and Lobsang Dargey |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-77 |
Action: In the Matter of Bennett Group Financial Services, LLC, and Dawn J. Bennett |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-76 |
Action: In the Matter of Louis Capital Markets, LP |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-75 |
Action: SEC vs. Gregory W. Gray, Jr., Archipel Capital LLC, BIM Management LP |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-74 |
Action: SEC vs. Harold Bailey "B.J." Gallison, II (A.K.A. Bart Williams, Moneyline Brokers, Bastille Advisors, Inc., Club Consultants Inc., Jurojin, Inc., Sandias Azucaradas CR, S.A., Vanilla Sky, S.A., Roger G. Coleman, Sr., Ann "Anna" M. Hiskey, Robin M. Rushing, David K. Rushing, Michael J. Randles, Warrior Girl Corp., Carl H. Kruse, Sr., Carl H. Kruse Jr., (A.K.A. Carl Kruse-Velasquez), Allan M. Migdall, Nature's Peak F.K.A. Everock, Inc., Frank J. Zangara, Mark S. Dresner, Charles "Chuck" S. Moeller, Robert S. Oppenheimer, Antonio ("Tony" or "Anthony") J. Katz, Richard S. Roon, Fryn Canyon Corporation, L.F. Technology Group LLC, Starburst Innovations LLC, Tachion Projects, Inc., B.H.I. Group, Inc., U D F Consulting Inc., Digital Edge Marketing LLC, Core Business One, Inc., Spectrum Research Group Inc., Oceanic Consulting LLC, and Akat Global LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-73 |
Action: SEC v. Warren D. Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-72 |
Action: SEC v. Steve Chen, USFIA, Inc., Alliance Financial Group, Inc., Amauction, Inc., Aborell MGMT I, LLC, Aborell Advisors I, LLC, Aborell REIT II, LLC, Ahome Real Estate, LLC, Alliance NGN, Inc., Apollo REIT I, Inc., Apollo REIT II, LLC, Amkey Inc., US China Consultation Association, and Quail Ranch Golf Course, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-71 |
Action: SEC v. Notis Global, Inc. (f/k/a MedBox, Inc.), Vincent Mehdizadeh, Bruce Bedrick, Yocelin Legaspi, and New-Age Investment Consulting, Inc. |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-70 |
Action: SEC v. Nathan Halsey and TexStar Oil Co., Ltd. |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-69 |
Action: SEC v. Arcturus Corporation, Aschere Energy, LLC, Leon Ali Parvizian a/k/a Alex Parvizian, Alfredo Gonzalez, AMG Energy, LLC, Robert J. Balunas, and R. Thomas & Co., LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-68 |
Action: In the Matter of Sheldon Rose and MKJJ Consulting LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-65 |
Action: SEC v. Mark A. Jones |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-66 |
Action: SEC v. Oscar F. Villarreal |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-67 |
Action: SEC v. Clayton A. Cohn and Marketaction Advisors, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-64 |
Action: SEC v. Matthew E. White, Rodney A. Zehner, Daniel J. Merandi, White Investment Groups and Equities, LLC, the Grand Empire Palace and Resort, LLC, GEPR Investments Trust No. 1, GEPR Investments, LLC, M&M Financial, LLC, and Mountaineer Development & Construction Group, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:April 2017 | Notice No.:2017-63 |
Action: SEC v. Lonny S. Bernath |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
| Published date grouping:March 2017 | Notice No.:2017-58 |
Action: SEC v. Bruce A. Cole |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-59 |
Action: SEC v. Robert Seibert, a.k.a. John Grey |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-60 |
Action: SEC v. Jason Cope, Izak Zirk de Maison (F/K/A Izak Zirk Engelbrecht), Gregory Goldstein, Stephen Wilshinsky, Talman Harris, William Scholander, Jack Tagliaferro, Victor Alfaya, Justin Esposito, Kona Jones Barbera, Louis Mastromatteo, Angelique de Maison, Trish Malone, Kieran T. Kuhn, Peter Voutsas, Ronald Loshin, Gepco, Ltd., Sunatco Ltd., Suprafin Ltd., Worldbridge Partners, Traverse International, and Small Cap Resource Corp. |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-61 |
Action: SEC v. Raymond H. Barton, William G. Goode, Mathew Charles Briggs, Kenneth Manzo, and Justin Sindelman |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-62 |
Action: SEC v. Paul A. Garcia, Caliber Capital Management, LLC, Partner Medical Solutions, LLC, Richard T. Woods, and Caliber Partnership I, LLC |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-57 |
Action: In the Matter of SLRA Inc. as successor entity to Liquid Realty Advisors III, LLC and Scott M. Landress |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-49 |
Action: In the Matter of Thomas R. Stanley, II |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-50 |
Action: SEC v. Brian S. Hudnall and JBH Consulting Group LLC |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-51 |
Action: SEC v. Braskem S.A. |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-52 |
Action: In the Matter of Jay T. Comeaux |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-53 |
Action: SEC v. Harrison Schumacher; Paul Mysyk; Quaneco, LLC; and Quantum Energy, LLC |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-54 |
Action: In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-55 |
Action: In the Matter of Angel Oak Capital Partners, LLC, Peraza Capital & Investment, LLC, Sreeniwas Prabhu, and David W. Wells |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:March 2017 | Notice No.:2017-56 |
Action: In the Matter of Morgan Stanley Smith Barney, LLC |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-26 |
Action: SEC v. Vu H. Le a/k/a Vinh H. Le, and TeamVinh.com LLC |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-25 |
Action: In the Matter of the Bank of New York Mellon Corporation |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-24 |
Action: SEC v. Christopher R. Esposito, Anthony Jay Pignatello, James Gondolfe, Renee Galizio, Lionshare Ventures LLC, and Cannabiz Mobile, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-27 |
Action: SEC v. James M. Louks and FiberPoP Solutions, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-28 |
Action: SEC v. Robert DeWayne Milligan |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-29 |
Action: In the Matter of Citigroup Global Markets, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-30 |
Action: SEC v. AJN Investments, LLC and Jason Adam Ogden |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-31 |
Action: In the Matter of Cadbury Limited and Mondelēz International, Inc |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-32 |
Action: In the Matter of Orthofix International N.V. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-33 |
Action: SEC v. Oxford City Football Club, Inc., and Thomas Anthony Guerriero |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-34 |
Action: In the Matter of Citadel Securities LLC |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-35 |
Action: In the Matter of Biomet, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-36 |
Action: SEC v. Gregg R. Mulholland |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-37 |
Action: In the Matter of Orthofix International N.V. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-38 |
Action: In the Matter of Harding Advisory LLC and Wing F. Chau |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-39 |
Action: In the Matter of Citigroup Global Markets, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-40 |
Action: In the Matter of ITG Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-41 |
Action: In the Matter of Allergan, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-42 |
Action: In the Matter of L3 Technologies, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-43 |
Action: In the Matter of Morgan Stanley Smith Barney, LLC |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-44 |
Action: SEC v. Charles A. Bennett |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-45 |
Action: SEC v. Andrew W.W. Caspersen and Irving Place III SPV, LLC |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-46 |
Action: SEC v. Timothy S. Durham, James F. Cochran, and Rick D. Snow |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-47 |
Action: In the Matter of MDC Partners Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:February 2017 | Notice No.:2017-48 |
Action: In the Matter of Sociedad Quimica y Minera de Chile, S.A. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
| Published date grouping:January 2017 | Notice No.:2017-23 |
Action: SEC v. Randal Kent Hansen, RAHFCO Management Group, LLC, Vincent Puma, and Hudson Capital Partners Corporation |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-22 |
Action: In the Matter of Morgan Stanley & Co. LLC |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-21 |
Action: In the Matter of United Continental Holdings, Inc. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-20 |
Action: SEC v. David L. Fleet |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-19 |
Action: In the Matter of Harold D. Garrison |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-18 |
Action: SEC v. Patrick S. Carter, 808 Renewable Energy Corporation, 808 Investments, LLC, Martin J. Kinchloe, Peter Kirkbride, West Coast Commodities, LLC, Thomas A. Flowers, and T.A. Flowers LLC |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-17 |
Action: SEC v. Diverse Financial Corporation, Roy Dekel, and David Kandell |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-16 |
Action: In the Matter of Pacific Investment Management Company, LLC |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-15 |
Action: SEC v. Yin Nan "Michael" Wang, Wendy Ko, Velocity Investment Group, Inc., Bio Profit Series I, LLC, Bio Profit Series II, LLC, Bio Profit Series III, LLC, Bio Profit Series V, LLC, and Rockwell Realty Management, Inc. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-14 |
Action: In the Matter of Deutsche Bank Securities Inc. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-13 |
Action: SEC v. Edward F. Panos |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-12 |
Action: SEC v. Caledonian Bank, LTD., Caledonian Securities LTD., Clear Water Securities, Inc., Legacy Global Markets S.A., and Verdmont Capital, S.A. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-11 |
Action: In the Matter of General Cable Corporation |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-10 |
Action: In the Matter of General Cable Corporation |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-9 |
Action: In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited In the Matter of Alok Saraf, CA |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-8 |
Action: In the Matter of Dennis Ira Ringer |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-7 |
Action: SEC v. Ash Narayan, The Ticket Reserve Inc. a/k/a/ Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-6 |
Action: In the Matter of SandRidge Energy, Inc. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-1 |
Action: SEC v. John W. Femenia, Shawn C. Hegedus, Danielle C. Laurenti, Coram Real Estate Holding, Inc., Goldstar P.S. Inc., Roger A. Williams, Kenneth M. Raby, Frank M. Burgess, James A. Hayes, Matthew J. Musante, Anthony C. Musante, and Aaron M. Wens |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-5 |
Action: SEC v. Teva Pharmaceuticals, LTD. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-2 |
Action: In the Matter of State Street Bank and Trust Company |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-4 |
Action: SEC v. City of Miami, Florida and Michael Boudreaux |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:January 2017 | Notice No.:2017-3 |
Action: SEC v. Interinvest Corporation, Inc., and Hans Peter Black |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
| Published date grouping:December 2016 | Notice No.:2016-164 |
Action: In the Matter of Credit Suisse AG, Inc. |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
| Published date grouping:December 2016 | Notice No.:2016-165 |
Action: SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
| Published date grouping:December 2016 | Notice No.:2016-166 |
Action: In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
| Published date grouping:December 2016 | Notice No.:2016-167 |
Action: In the Matter of JP Morgan Chase & Co., |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
| Published date grouping:December 2016 | Notice No.:2016-168 |
Action: In the Matter of Michael L. Reger |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
| Published date grouping:December 2016 | Notice No.:2016-169 |
Action: In the Matter of Ronald D. Morley and The New Wealth, LLC |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
| Published date grouping:December 2016 | Notice No.:2016-170 |
Action: SEC v. Embraer, S.A. |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
| Published date grouping:December 2016 | Notice No.:2016-171 |
Action: SEC v. Southlake Resources Group, LLC, Cody M. Winters, and Nicholas R. Hamilton |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
| Published date grouping:December 2016 | Notice No.:2016-172 |
Action: In the Matter of EZTD Inc. |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
| Published date grouping:November 2016 | Notice No.:2016-149 |
Action: SEC v. Richard Weed, Thomas Brazil and Coleman Flaherty III |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-150 |
Action: SEC v. Yossef Kahlon, a/k/a Jossef Kahlon, and TJ Management Group, LLC |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-151 |
Action: SEC v. Zenergy International, Inc., Bosko R. Gasich, Robert J. Luiten, Scott H. Wilding, Skyline Capital, Inc., Ronald Martino, and Diane D. Dalmy |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-152 |
Action: SEC v. JCS Enterprises, Inc. d/b/a JCS Enterprises Services, Inc., T.B.T.I. Inc., Joseph Signore, and Paul L. Schumack, II |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-153 |
Action: SEC v. Aegis Oil, LLC, and Patrick Reagan Beason |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-154 |
Action: SEC v. Paul R. Downey, Jeffry P. Downey, and John M. Leonard |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-155 |
Action: SEC v. Anthony C. Zufelt, Joseph A. Nelson, David M. Decker, Jr., Cache D. Decker, Zufelt Business Services, Inc. (d/b/a Zufelt, Inc.), Silver Leaf Investments, Inc. JCN, Inc., JCN Capital, LLC, and JCN International, LLC |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-156 |
Action: SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-157 |
Action: In the Matter of Deutsche Bank Securities Inc. |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-158 |
Action: In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-159 |
Action: In the Matter of GlaxoSmithKline plc |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-160 |
Action: In the Matter of Bank Leumi le-Israel B.M., Leumi Private Bank, and Bank Leumi (Luxembourg) S.A. |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-161 |
Action: SEC v. Charles P. Copeland, Copeland Wealth Management, a Financial Advisory Corporation, and Copeland Wealth Management, a Real Estate Corporation |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-162 |
Action: In the Matter of Artis Capital Management, L.P. and Michael W. Harden |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:November 2016 | Notice No.:2016-163 |
Action: In the Matter of Calvert Investment Management, Inc. |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
| Published date grouping:October 2016 | Notice No.:2016-125 |
Action: SEC v. James M. Donnan, III and Gregory L. Crabtree |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-126 |
Action: In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-127 |
Action: SEC v. Daniel Thibeault, GL Capital Partners, LLC, GL Investment Services, LLC, Graduate Leverage, LLC (d/b/a GL Advisor and GL Holdings Corp.), and Taft Financial Services, LLC |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-128 |
Action: In the Matter of First Reserve Management, L.P. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-129 |
Action: SEC v. Veros Partners, Inc., Matthew D. Haab, Jeffrey B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, FarmGrowCap LLC, PinCap LLC |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-130 |
Action: SEC v. Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela M. Hass |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-131 |
Action: In the Matter of Michael A. Horowitz and Moshe Marc Cohen |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-132 |
Action: SEC v. China Northeast Petroleum Holdings Limited; Wang Hongjun (a/k/a Hongjun Wang); Ju Guizhi (a/k/a Guizhi Ju); and Jiang Chao (a/k/a Chao Jiang) |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-133 |
Action: In the Matter of Russell C. Schalk, Jr. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-134 |
Action: In the Matter of Weatherford International PLC, f/k/a Weatherford International Ltd, James Hudgins, CPA, and Darryl Kitay, CPA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-135 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-136 |
Action: In the Matter of Ernst & Young LLP, Robert J. Brehl, CPA, Pamela J. Hartford, CPA, and Michael T. Kamienski, CPA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-137 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-138 |
Action: In the Matter of Anheuser-Busch InBev SA/NV |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-139 |
Action: SEC v. Manuel E. Jesus aka Manny Backus, et al. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-140 |
Action: In the Matter of Portugal Telecom, SGPS, S.A., now known as Pharol SGPS, S.A. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-141 |
Action: SEC v. PLCMGMT LLC, dba Prometheus Law, James A. Catipay, and David A. Aldrich |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-142 |
Action: SEC v. North Hills Management, LLC, and Mark Evan Bloom |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-143 |
Action: SEC v. Christopher Plummer, Lex M. Cowsert, and Cytogenix, Inc. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-144 |
Action: SEC v. Norstra Energy Inc., Glen Landry and Eric Dany |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-145 |
Action: In the Matter of Ernst & Young LLP and Gregory S. Bednar, CPA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-146 |
Action: In the Matter of BOKF, NA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-147 |
Action: In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:October 2016 | Notice No.:2016-148 |
Action: SEC v. Saleem Khan, Ammar Akbari, Roshanlal Chaganlal and Ranjan Mendonsa |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
| Published date grouping:September 2016 | Notice No.:2016-113 |
Action: SEC v. Cedric Cañas Maillard |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-114 |
Action: SEC v. Southern Cross Resources Group, Inc., Michael A. Nasatir, and Andrew L. Madenberg |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-115 |
Action: SEC v. Gary C. Snisky |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-116 |
Action: SEC v. Secured Income Reserve, Inc., Ilona A. Mandelbaum, David A. Zimmerman, Tamda Marketing, Inc., and Matthew H. Sage |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-117 |
Action: SEC v. Robert L. Sonfield, Donald C. Bradley, Jeffrey W. Bradley, Jason Landess, Marc Lane, Roger Brewer |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-118 |
Action: In the Matter of Key Energy Services, Inc. |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-119 |
Action: In the Matter of optionsXpress, Inc., and Jonathan I. Feldman |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-120 |
Action: In the Matter of AstraZeneca PLC |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-121 |
Action: In the Matter of RBC Capital Markets, LLC |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-122 |
Action: In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-123 |
Action: In the Matter of Barry B. Clare |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:September 2016 | Notice No.:2016-124 |
Action: In the Matter of WL Ross & Co. LLC |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-100 |
Action: SEC v. James Y. Lee |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-101 |
Action: SEC v. First Mortgage Corporation, Inc., Clement Ziroli, Sr., Clement Ziroli, Jr., Pac W. Dong, Ronald T. Vargus, Scott Lehrer, and Edward Joseph Sanders |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-102 |
Action: In the Matter of LAN Airlines S. A. |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-103 |
Action: SEC v. CKB168 Holdings LTD., WIN168 Biz Solutions LTD., CKB168 LTD., CKB168 Biz Solution, Inc., Cyber Kids Best Education LTD., Rayla Melcher Santos, Hung Wai ("Howard") Shern, Rui ling ("Florence") Leung, Daliang ("David") Guo, Yao Lin, Chih Hsuan "Kiki" Lin, Wen Chen Hwang (aka "Wendy Lee"), Toni Tong Chen, Cheongwha "Heywood" Chang, Joan Congyi Ma (aka "JC Ma"), and Heidi Mao Liu (aka "Heidi Mao") |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-104 |
Action: In the Matter of Johnson Controls, Inc. |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-105 |
Action: SEC v. Lee D. Weiss, Family Endowment Partners, LP |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-106 |
Action: In the Matter of Citigroup Global Markets, Inc. |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-107 |
Action: SEC v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-108 |
Action: SEC v. Michael J. Oppenheim |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-109 |
Action: SEC v. Thomas C. Conradt, David J. Weishaus, and Trent Martin |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-110 |
Action: SEC v. Malcolm Segal |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-111 |
Action: SEC v. Luca International Group, LLC; Luca Resources Group, LLC; Luca Energy Fund, LLC; Entholpy EMC, Inc.; Bingqing Yang; Lei (Lily) Lei; Anthony V. Pollace; and Yong (Michael) Chen |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-112 |
Action: SEC v. Tyson D. Williams and Stanley D. Parrish |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:August 2016 | Notice No.:2016-99 |
Action: SEC v. Jammin' Java Corp., dba Marley Coffee, Shane G. Whittle, Wayne S. P. Weaver, Michael K. Sun, Rene Berlinger, Stephen B. Wheatley, Kevin P. Miller, Mohammed A. Al-Barwani, Alexander J. Hunter, and Thomas E. Hunter |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
| Published date grouping:July 2016 | Notice No.:2016-85 |
Action: In the Matter of Analogic Corporation and Lars Frost |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
| Published date grouping:July 2016 | Notice No.:2016-86 |
Action: In the Matter of Bank of New York Mellon |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
| Published date grouping:July 2016 | Notice No.:2016-87 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
| Published date grouping:July 2016 | Notice No.:2016-88 |
Action: In the Matter of American Life, Inc. and Henry Liebman |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
| Published date grouping:July 2016 | Notice No.:2016-89 |
Action: In the Matter of Ethiopian Electric Power |
