Notice of Covered Actions
Notice of Covered Actions Table
|
Notice No.
|
Action
|
Notice Date
|
Claim Due Date
|
|---|---|---|---|
|
Notice No.:2023-119
New |
Action: SEC v. Alton Perkins, Yilaime Corporation of NC, Yilaime Corporation of Nevada, Perkins HSU Export Corporation, American Towne Holdings, Inc., and Mabiala Phuati |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-120
New |
Action: SEC v. Timothy J. Allcott, Thomas D. Renison, and ARO Equity, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-121
New |
Action: In the Matter of 3M Company |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-122
New |
Action: In the Matter of Archipelago Trading Services, Inc. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-123
New |
Action: In the Matter of Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-124
New |
Action: SEC v. Mark Klein, Eduardo Rubinstein, and Pablo Rubinstein |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-125
New |
Action: In the Matter of Canoo Inc. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-126
New |
Action: SEC v. Chad Stickforth |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-127
New |
Action: SEC v. RBF Trust LLC, a Florida company, Paulo Fernando de Bastos, Joao Pedro Fonseca, a/k/a Joao Pedro Fonseca de Bastos RBF Trust LLC, a Michigan company, D3 Gestion Immobiliere LLC, a Florida company, and D3 Gestion Immobiliere LLC, a Michigan company |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-128
New |
Action: In the Matter of Crowe U.K. LLP, Nigel D. Bostock, FCA, and Matthew C. Stallabrass, FCA |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-129
New |
Action: In the Matter of Grupo Aval Acciones Y Valores S.A. and Corporacion Financiera Colombiana, S.A |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-130
New |
Action: In the Matter of Exchange Traded Managers Group LLC, ETF Managers Group LLC, and Samuel R. Masucci |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-131
New |
Action: In the Matter of Legacy Hospitality II, LLC, Legendary Capital Reit III, LLC, and Corey R. Maple |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-132
New |
Action: In the Matter of Titan Global Capital Management USA LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-133
New |
Action: SEC v. George Iakovou, Vika Ventures LLC, Penelope Zbravos |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-134
New |
Action: In the Matter of Murray A. Huberfeld |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-135
New |
Action: In the Matter of Moshe aka "Mark" Feuer and Scott A. Taylor |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-136
New |
Action: SEC v. Bittrex, Inc., Bittrex Global Gmbh, and William Hiroaki Shihara |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-137
New |
Action: In the Matter of Citigroup Global Markets Inc |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-138
New |
Action: SEC v. Charles Rustin Holzer |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-139
New |
Action: SEC v. Infinity Q Capital Management, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-140
New |
Action: In the Matter of Wedbush Securities Inc. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-141
New |
Action: In the Matter of SG Americas Securities, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-142
New |
Action: In the Matter of Mizuho Securities USA LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-143
New |
Action: In the Matter of SMBC Nikko Securities America, Inc. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-144
New |
Action: In the Matter of BMO Capital Markets Corp. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-145
New |
Action: In the Matter of Houlihan Lokey Capital, Inc |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-146
New |
Action: In the Matter of Moelis & Company LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-147
New |
Action: In the Matter of BNP Paribus Securities Corp. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-148
New |
Action: In the Matter of Impact Theory, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
|
Notice No.:2023-149
New |
Action: In the Matter of Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
| Notice No.:2023-118 |
Action: SEC v. Robert D. Christensen; Anthony M. Matic; Foresee, Inc., The Commission Pdx, LLC; The Policy Pdx, LLC; Innings 150, LLC |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-117 |
Action: In the Matter of Quantstamp, Inc. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-116 |
Action: SEC v. BHP Capital NY, Inc., and Bryan Pantofel |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-115 |
Action: In the Matter of Digital World Acquisition Corp. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-114 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-113 |
Action: SEC v. Andrew Defrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine Defrancesco |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-112 |
Action: In the Matter of Future Fin Tech Group Inc. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-111 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated; and BAC North America Holding Co. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-103 |
Action: SEC v. Leon Vaccarelli, individually and doing business as, Lux Financial Services, LWLVACC, LLC |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-104 |
Action: SEC v. Evoqua Water Technologies Corp., and Imran Parekh |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-105 |
Action: SEC v. Cooper J. Morgenthau |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-106 |
Action: SEC v. William A. Huber and Hubadex, Inc. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-107 |
Action: SEC v. Michael B. Zipprich, America's Rehab Campuses, LLC, America's Rehab Campuses- Arizona, LLC |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-108 |
Action: SEC v. Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, And CHS Asset Management Inc. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-109 |
Action: SEC v. Lambert Vander Tuig, Ben Schactschneider, Capital Development Resources, f/k/a Biosynetics, and Biosynetics Management |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-110 |
Action: SEC v. Ramas Capital Management, LLC, Ganesh H. Betanabhatla |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
| Notice No.:2023-090 |
Action: SEC v. Marco "Sully" Perez and Permian Basin Proppants, Inc. |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-091 |
Action: In the Matter of Gartner, Inc. |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-092 |
Action: SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-093 |
Action: In the Matter of Marcum LLP |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-094 |
Action: In the Matter of Pacific Investment Management Company LLC |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-095 |
Action: In the Matter of Pacific Investment Management Company LLC |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-096 |
Action: SEC v. Tarek D. Bahgat and Lauramarie Colagelo |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-097 |
Action: SEC v. James David O'Brien |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-098 |
Action: In the Matter on J.P. Morgan Securities LLC |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-099 |
Action: In the Matter of Insight Ventures Management, LLC |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-100 |
Action: In the Matter of Cantaloupe, Inc. (formerly d/b/a USA Technologies, Inc.) |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-101 |
Action: In the Matter of RTW Investments, LP |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-102 |
Action: SEC v. Carrie L. Tolstedt |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
| Notice No.:2023-065 |
Action: SEC v. Trends Investments Inc., Brandon Rossetti, Clinton Greyling, Leslie Greyling, Roger Bendelac, and Thomas Capellini |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-066 |
Action: SEC v. Ronald D. Swanson |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-067 |
Action: SEC v. Kay X. Yang and Xapphire LLC |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-068 |
Action: SEC v. Chicago Crypto Capital LLC, Brian B. Amoah, Darcas Oliver Young, and Elbert G. Elliott |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-069 |
Action: SEC v. Empires Consulting Corp. (DBA "Empiresx") Emerson Sousa Pires, Flavio Mendes, Goncalves, and Joshua David Nicholas |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-070 |
Action: In the Matter of Gaia, Inc. and Paul C. Tarell, Jr., CPA |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-071 |
Action: SEC v. Martin Adrian Ruiz, Ram Fund, LP, and Bain Wealth Management, LLC |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-072 |
Action: SEC v. Judith D. Paris-Pinder |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-073 |
Action: In the Matter of Frank's International N.V. |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-074 |
Action: SEC v. William Glen Baker, Michael Bowen, Cannon Operating Company LLC, North Texas Minerals LLC, and Chol Kim a/k/a Brandon Kim |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-075 |
Action: SEC v. Brian Raymond Callahan, Horizon Global Advisors Ltd., Horizon Global Advisors, LLC, Diversified Global Investments (BVI) L.P., The Masters Global Fund, L.P., Horizon Millennium Investments, L.P. Pangea Offshore High Yield Portfolio, LLC, Adam Manson, Distinctive Investments LLC, and Distinctive Ventures LLC |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-076 |
Action: SEC v. Saexploration Holdings, Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-077 |
Action: In the Matter of Koninklijke Philips N.V. |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-078 |
Action: SEC v. The Hydrogen Technology Corporation Michael Ross Kane, and Tyler Ostern |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-079 |
Action: SEC v. Vale S.A. |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-080 |
Action: SEC v. Energy & Environmental Investments, LLC; Energy & Environment, Inc., Amir A. Sardari; and Narysa Sardari Luddy |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-081 |
Action: SEC v. James Arthur McDonald, Jr. and Hercules Investments, LLC |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-082 |
Action: SEC v. GPL Ventures LLC, GPL Management LLC, Alexander J. Dillon, Cosmin I. Panait, Hempamericana, Inc., Salavador E. Rosillo, Seaside Advisors, LLC, and Lawrence B. Adams |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-083 |
Action: SEC v. Joseph Orazio DeGregorio |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-084 |
Action: In the Matter of HSBC Securities (USA) Inc. |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-085 |
Action: In the Matter of Scotia Capital (USA) Inc. |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-086 |
Action: SEC v. George Georgiou |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-087 |
Action: SEC v. Donald G. Blakstad, Energy Sources International Corporation, and Xact Holdings Corporation |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-088 |
Action: In the Matter of Up, Global SEZC, Coinme Inc., and Neil Bergquist |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-089 |
Action: SEC v. The Estate of Kenneth J. Casey |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
| Notice No.:2023-056 |
Action: SEC v. Matthew Nicosia, William ("Rocky") Reininger, Fabrizio Di Carlo, and Ronald Touchard |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
| Notice No.:2023-057 |
Action: SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd., and Ability Inc. |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
| Notice No.:2023-058 |
Action: SEC v. David J. Bunevacz, Mary Hayca Bunevacz, Caesarbrutus LLC, CB Holding Group Corp., and Brutus California Ventures Corp. |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
| Notice No.:2023-060 |
Action: SEC v. Martin Silver |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
| Notice No.:2023-061 |
Action: In the Matter of Chatham Asset Management, LLC, and Anthony Melchiorre |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
| Notice No.:2023-062 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
| Notice No.:2023-063 |
Action: SEC v. Frank Okunak |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
| Notice No.:2023-064 |
Action: In the Matter of Betterment LLC |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
| Notice No.:2023-037 |
Action: SEC v. Star Chain, Inc., and Timur Efe, a/k/a Omer Casurluk |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-038 |
Action: SEC v. Mark J. Varacchi and Sentinel Growth Fund Management LLC |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-039 |
Action: SEC v. Medsis International Inc., Joshua Dax Cabrera and Paul Hess |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-040 |
Action: SEC v. Candlestick Capital Management LP |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-041 |
Action: SEC v. Bradley J. Moynes, Digatrade Financial Group |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-042 |
Action: In the Matter of Roadrunner Transportation Systems, Inc. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-043 |
Action: SEC v. Phillip Hudnall, Todd Esh, Birddog Business Group, LLC, and Birddog Oil Equipment, LLC |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-044 |
Action: In the Matter of Foresight Wealth Management, LLC and Adam E. Nugent |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-045 |
Action: SEC v. John Barksdale and Jonatina L. Barksdale |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-046 |
Action: In the Matter of Centaurus Financial, Inc., Ricky A. Mantei, and Atul Makharia |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-047 |
Action: SEC v. GexCrypto Corp. (a/k/a GexCrypto Global Trading Corp.) and Emiliano S. Ryn. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-048 |
Action: In the Matter of Flutter Entertainment plc, as successor-in-interest to the Stars Group, Inc. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-049 |
Action: In the Matter of Dxc Technology Company |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-050 |
Action: In the Matter of Equity Acquisition Company Ltd. and Carsten Klein |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-051 |
Action: In the Matter of Daniel J. Mackle, Sr. and Silver Edge Financial LLC |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-052 |
Action: SEC v. Payward Ventures, Inc. (d/b/a Kraken); and Payward Trading, Ltd. (d/b/a Kraken) |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-053 |
Action: In the Matter of Rio Tinto Plc |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-054 |
Action: SEC v. Patrick Jevon Johnson, Charles Everett (aka Charly Everett), Frank Ekejija, and NVC Fund, LLC. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-055 |
Action: In the Matter of Blackbaud, Inc. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
| Notice No.:2023-024 |
Action: SEC v. Charlie Abujudeh |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-025 |
Action: In the Matter of Moors & Cabot, Inc. |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-026 |
Action: In the Matter of The Options Clearing Corporation |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-027 |
Action: SEC v. Edward E. Matthes |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-028 |
Action: In the Matter of Activision Blizzard, Inc. |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-029 |
Action: SEC v. Duncan J. Macdonald, III and Gloria Solomon |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-031 |
Action: In the Matter of Gentex Corporation and Kevin C. Nash |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-032 |
Action: SEC v. Back to Green Mining, LLC, Jose M. Jimenez Cruz, Manuel Portalatin |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-033 |
Action: In the Matter of Nexo Capital Inc. |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-034 |
Action: SEC v. Derek J. Slattery and Tradesmart Software Ric Corporation |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-035 |
Action: In the Matter of Paul Anthony Pierce |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-036 |
Action: In the Matter of Ensign Peak Advisors, Inc., and The Church of Jesus Christ of Latter-Day Saints |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
| Notice No.:2023-008 |
Action: In the Matter of Bloomberg Financial L.P. |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-009 |
Action: SEC v. Michael A. Liberty, Brittany Liberty, Paul Hess, Richard Liberty, George Marcus, Esq, Mozido Invesco, LLC, Family Mobile, LLC, Brtmdo, LLC, Brentwood Financial, LLC, and TL Holdings Group, LLC |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-010 |
Action: SEC v. Conrad A. Coggeshall |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-011 |
Action: SEC v. Jason P. Wooten, Ronald Frank Stevenson, Family Tree Estate Planning, LLC, and American Financial Security, LLC |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-012 |
Action: SEC v. Michael W. Ackerman |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-013 |
Action: SEC v. Carlos Pingarron |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-014 |
Action: SEC v. Carlos Sorondo |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-015 |
Action: SEC v. The Lifepay Group Group, LLC; Smdre, LLC; Clifton E. Stanley; and Michael E. Watts |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-016 |
Action: SEC v. Spot Tech House, Ltd; formerly known as, Spot Option Ltd; Malhaz Pinhas Patarkazishvili, also known as Pini Peter and Pinhas Peter, and Ran Amiran |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-017 |
Action: SEC v. Justin W. Keener d/b/a JMJ Financial |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-018 |
Action: In the Matter of Stephen J. Easterbrook and McDonald's Corporation |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-019 |
Action: SEC v. Jason Sugarman |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-020 |
Action: SEC v. Gregory Altieri |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-021 |
Action: SEC v. Archer Capital Management Group, Archer Growth Fund, Hdr Management LLC, and Silvermoon Group LLC |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-022 |
Action: SEC v. S-Ray Incorporated and Stephen Alexander Baird |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-023 |
Action: SEC v. Danske Bank A/S |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
| Notice No.:2023-001 |
Action: SEC v. Anthony Michael Holland |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
| Notice No.:2023-002 |
Action: SEC v. John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
| Notice No.:2023-003 |
Action: SEC v. Eric T. Landis and Ridgeview Capital Partners, LLC |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
| Notice No.:2023-004 |
Action: SEC v. Joseph Boulos |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
| Notice No.:2023-005 |
Action: In the Matter of ABB Ltd. |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
| Notice No.:2023-006 |
Action: In the Matter of Honeywell International, Inc. |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
| Notice No.:2023-007 |
Action: SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
| Notice No.:2022-156 |
Action: SEC v. Taronis Technologies, Inc. (n/k/a BBHC, Inc.), Taronis Fuels, Inc., Scott David Mahoney and Tyler Burnett Wilson |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
| Notice No.:2022-157 |
Action: In the Matter of S&P Global Ratings |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
| Notice No.:2022-158 |
Action: In the Matter of Koppers Holdings Inc. |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
| Notice No.:2022-159 |
Action: SEC v. Jonathan William Mikula, Christian Fernandez, Amit Raj Beri, Sway Energy Corporation, Avtar Singh Dhillon, Emerald Health Pharmaceuticals Inc., and James M. Demesa |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
| Notice No.:2022-160 |
Action: SEC v. Roger Nils-Jonas Karlsson (a/k/a Euclid Diodorus, Steve Heyden, Joshua Millard, and Lars Georgsson) |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
| Notice No.:2022-161 |
Action: In the Matter of Goldman Sachs Asset Management, L.P. |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
| Notice No.:2022-162 |
Action: SEC v. William Sadleir |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
| Notice No.:2022-163 |
Action: SEC v. Donald G. Blakstad, Martha Patricia Bustos, and Robert J. Maron |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
| Notice No.:2022-138 |
Action: In the Matter of RSM US LLP |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-139 |
Action: In the Matter of Friedman LLP |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-140 |
Action: SEC v. Cetera Advisors LLC and Cetera Advisor Networks LLC |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-141 |
Action: SEC v. Ramiro Jose Sugranes UCB Financial Advisers, Inc. and USB Financial Services Limited |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-142 |
Action: SEC v. Property Income Investors LLC, Equinox Holdings Inc., Property Income Investors 26 LLC, Property Income Investors 304 LLC, Property Income Investors 201 LLC, Property Income Investors 3504 LLC, Property Income Investors 1361 LLC, Property Income Investors 4020 LLC, Property Income Investors 9007 LLC, Property Income Investors 417 LLC, Property Income Investors 4450 LLC, Property Income Investors 3050 LLC, Larry B. Broman, and Anthony Nicolosi (f/k/a Anthony Peluso) |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-143 |
Action: SEC v. Joseph Salvatore Devito (a/k/a Salvatore Devito) and Dean Anthony Esposito (a/k/a Dean Anthony) |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-144 |
Action: In the Matter of Oracle Corporation |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-145 |
Action: In the Matter of Deloitte Touche Tohmatsu Certified Public Accountants, LLP |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-146 |
Action: In the Matter of Mattel, Inc. |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-147 |
Action: In the Matter of Cemtrex Inc., and Saagar Govil |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-148 |
Action: SEC v. Lev Parnas and David Correia |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-149 |
Action: In the Matter of Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc., and DWS Distributors, Inc. |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-150 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-151 |
Action: In the Matter of Jefferies LLC |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-152 |
Action: In the Matter of Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney LLC |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-153 |
Action: In the Matter of Kimberly Kardashian |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-154 |
Action: In the Matter of Barclays PLC and Barclays Bank PLC |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-155 |
Action: SEC v. Alexander Bevil, Richard McCall Bohnsack, Daniel Thomas Broyles, Charles Cary Davis, William James Roth, Glenn Joseph Story, and Harold Wasserman |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
| Notice No.:2022-119 |
Action: In the Matter of Sparkster, Ltd., and Sajjad Daya |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-112 |
Action: SEC v. Swapnil J. Rege and SwapStar Capital, LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-113 |
Action: SEC v. Hartman Wright Group, LLC and Tytus W. Harkins |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-114 |
Action: In the Matter of GOL Linhas Aereas Inteligentes S.A. a/k/a GOL Intelligent Airlines Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-115 |
Action: SEC v. DeAndre P. Sears and Masears LLC d/b/a Picasso Group |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-116 |
Action: SEC v. GreneCo, LLC, Gene D. Larson, Gregory K. Womack, and Womack Investment Advisors, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-117 |
Action: In the Matter of Hudson Advisors, L.P. and Lone Star Global Acquisitions, Ltd. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-118 |
Action: In the Matter of Compass Minerals International, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-120 |
Action: In the Matter of VMware, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-121 |
Action: SEC v. Premier Links, Inc., Dwayne Malloy, Chris Damon, Theirry Ruffin a/k/a Theirry Regan |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-122 |
Action: SEC v. David Hu |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-123 |
Action: In the Matter of The Boeing Company |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-124 |
Action: SEC v. Scott Adam Brander |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-125 |
Action: In the Matter of Morgan Stanley Smith Barney LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-126 |
Action: In the Matter of Barclays Capital Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-127 |
Action: In the Matter of BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-128 |
Action: In the Matter of Credit Suisse Securities (USA) LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-129 |
Action: In the Matter of Citigroup Global Markets Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-130 |
Action: In re Goldman Sachs & Co. LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-131 |
Action: In the Matter of Nomura Securities International, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-132 |
Action: In the Matter of UBS Financial Services, Inc. and UBS Securities, LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-133 |
Action: SEC v. Kevin B. Merrill; Jay B. Ledford; Cameron R. Jezierski; Global Credit Recovery, LLC; Delmarva Capital, LLC; Rhino Capital Group, LLC; Deville Asset Management Ltd; and Riverwalk Financial Corporation |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-134 |
Action: SEC v. Ambassadors Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-135 |
Action: In the Matter of Perceptive Advisors LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-136 |
Action: SEC v. Granite Construction Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-137 |
Action: SEC v. Gaylen Dean Rust and Rust Rare Coin, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
| Notice No.:2022-096 |
Action: SEC v. Naseem Salamah Mohammed |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-097 |
Action: SEC v. German Nino |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-098 |
Action: SEC v. William J. Milles, Jr., and Donald J. Lutzko |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-099 |
Action: SEC v. Victor Lee Farias and Integrity Aviation & Leasing, LLC |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-100 |
Action: In the Matter of Aegis Capital Corp. |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-101 |
Action: In the Matter of Eagle Bancorp., Inc. |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-102 |
Action: In the Matter of Surgalign Holdings, Inc., and Robert P. Jordheim |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-103 |
Action: SEC v. Crown Bridge Partners, LLC, Soheil Ahdoot, and Sepas Adhoot |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-104 |
Action: In the Matter of J.P. Morgan Securities, LLC |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-105 |
Action: In the Matter of Bancorp., Inc. |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-106 |
Action: In the Matter of Angel Oak Capital Advisors, LLC and Ashish Negandhi |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-107 |
Action: In the Matter of Deccan Value Investors, LP and Vinit Bodas |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-108 |
Action: SEC v. Sergei Polevikov and Maryna Arystava |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-109 |
Action: SEC v. Christopher D. Dougherty; C&D Professional Services, Inc. dba C&N Wealth Management; JTA Farm Enterprises, LLC; and JTA Real Estate Holdings, LLC |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-110 |
Action: SEC v. Aron Govil |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-111 |
Action: SEC v. Shimon Rosenfeld |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
| Notice No.:2022-083 |
Action: SEC v. Luis Jimenez Carrillo, Amar Bahadoorsingh, Justin Roger Wall, and Jamie Samuel Wilson |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-084 |
Action: SEC v. David P. Godwin and Anthony G. Roth |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-085 |
Action: SEC v. NIT Enterprises, Inc. (Delaware), NIT Enterprises, Inc. (Florida), NIT Enterprises FL, Inc., Gary R. Smith, Jason M. Ganton, and James E. Cleary |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-086 |
Action: SEC v. Sky Group USA, LLC, Efrain Betancourt, Jr. |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-087 |
Action: In the Matter of Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-088 |
Action: In the Matter of UBS Financial Services, Inc. |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-089 |
Action: In the Matter of Private Advisor Group, LLC |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-090 |
Action: SEC v. Zhuobin Hong and Caixia Jiang |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-091 |
Action: SEC v. Matthew J. Skinner, Empire West Equity, Inc., Longacre Estates, LP, Bayside Equity, LP, Freedom Equity Fund LLC, and Simple Growth, LLC |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-092 |
Action: In the Matter of Stephen G. Waldis |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-093 |
Action: In the Matter of Equitable Financial Life Insurance Company |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-094 |
Action: In the Matter of Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc. |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-095 |
Action: SEC v. Alex Duain Forester; Michael Robert Hicks; Yarden Moshe Mony Krampf; Christopher Byungin Lee; Sean Andrew O'Neal, Michael Roy Raynor; Lee Sobel |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
| Notice No.:2022-064 |
Action: SEC v. Christopher W. Burns, Investus Advisers LLC d/b/a Dynamic Money LLC, Investus Financial LLC, and Peer Connect LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-065 |
Action: SEC v. Patrick Churchville, Clearpath Wealth Management, LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-066 |
Action: SEC v. Shuang Chen, Lirong Gao, Jing Guan, Tonghu Jia, Xuejie Jia, Vicky Liu, Shun Sui, Lujun Sun, Huailong Wang, Jiadong Wang, Jiafeng Want, Jiali Want, Xiaosong Wang, Linlin Wu, Lin Xing, Yong Yan, Jiancheng Zhao, and Forrest (HK) Co., Limited |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-067 |
Action: SEC v. Frederick L. Sharp, Zhiying Yvonne Gasarch, Courtney Kelln, Mike K. Veldhuis, Paul Sexton, Jackson T. Friesen, William T. Kaitz, Avtar S. Dhillon, and Graham R. Taylor |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-068 |
Action: In the Matter of Wells Fargo Clearing Services, LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-069 |
Action: SEC v. Kenneth W. Crumbley, Jr. and Sedona Oil & Gas Corporation |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-070 |
Action: In the Matter of Petroteq Energy, Inc., and Aleksandr Blyumkin |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-071 |
Action: SEC v. Morningstar Credit Ratings, LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-072 |
Action: In the Matter of Tenaris S.A. |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-073 |
Action: In the Matter of CohnReznick LLP |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-074 |
Action: In the Matter of Egan-Jones Ratings Company and Sean Egan |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-075 |
Action: In the Matter of Ernst & Young LLP |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-076 |
Action: In the Matter of Weiss Asset Management LP |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-077 |
Action: SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-078 |
Action: SEC v. Carl Jensen and Stephen W. Gold |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-079 |
Action: In the Matter of Synchronoss Technologies, Inc. |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-080 |
Action: In the Matter of Kahn Brothers Advisors, LLC and Thomas Kahn |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-081 |
Action: In the Matter of Garrison Point Capital, LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-082 |
Action: SEC v. United Health Products, Inc., Douglas Beplate, and Louis Schiliro |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
| Notice No.:2022-063 |
Action: SEC v. Donald E. MacCord, Jr., Shannon D. Doyle, and Digi Outdoor Media, Inc. |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-052 |
Action: In the Matter of BNY Mellon Investment Adviser, Inc. |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-053 |
Action: In the Matter of First Republic Investment Management, Inc. |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-054 |
Action: SEC v. Bernard L. Compton |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-055 |
Action: In the Matter of Kimberly D. Butler, Prosperity Economics Partners, LLC, and Partners for Prosperity, LLC |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-056 |
Action: In the Matter of RiverSource Distributors, Inc. |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-057 |
Action: In the Matter of Virtua Capital Management, LLC, Quynh Palomino, Jack D. Rose, and Derek Uldricks |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-058 |
Action: In the Matter of Allianz Global Investors U.S. LLC |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-059 |
Action: In the Matter of NVIDIA Corporation |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-060 |
Action: SEC v. Sohrab ("Sam") Sharma, Robert Farkas, and Raymond Trapani |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-061 |
Action: In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-062 |
Action: SEC v. Michael A. Liberty, Brittany Liberty; Paul Hess; Richard Liberty; George Marcus, Esq.; Mozido Invesco, LLC; Family Mobile, LLC; BRTMDO, LLC Brentwood Financial, LLC; and, TL Holdings Group, LLC |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
| Notice No.:2022-039 |
Action: SEC v. Joseph A. Meyer, Jr. and Statim Holdings, Inc. |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-040 |
Action: SEC v. Roger Knox, Wintercap SA, Michael T. Gastauer, WB21 US Inc., Silverton SA Inc., WB21 NA Inc., C Capital Corp., Wintercap SA Inc. and B2 Cap Inc. |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-041 |
Action: SEC v. Chatfield PCS Ltd., GO ECO Manufacturing, Inc., and Trajay Scarlett |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-042 |
Action: SEC v. Alan H. New, David N. Knuth, Synergy Investment Services, LLC |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-043 |
Action: In the Matter of Stericycle, Inc. |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-044 |
Action: SEC v. Airborne Wireless Network, Kalistratos Kabilafkas, Timoleon Kabilafkas, Chrysilios Chrysiliou, Panagiotis Bolovis, Jack Edward Daniels, Eric Scheffey, and Moshe Rabin |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-045 |
Action: SEC v. Nanotech Engineering, Inc., Michael James Sweaney, David Sweaney, and Jeffrey Gange |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-046 |
Action: In the Matter of Rollins, Inc., and Paul Edward Northen |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-047 |
Action: SEC v. Alexander C. Burns and Andrew B. Scherr |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-048 |
Action: SEC v. Eric C. Malley and MG Capital Management, LP |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-049 |
Action: SEC v. Phillip W. Conley |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-050 |
Action: SEC v. Jose Luis Casero Sanchez |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-051 |
Action: SEC v. Benja Incorporated and Andrew J. Chapin |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
| Notice No.:2022-029 |
Action: In the Matter of Educators Financial Services, Inc. |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-030 |
Action: In the Matter of Ameritas Advisory Services, LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-031 |
Action: SEC v. Brothers Investment Group International, Inc. n/k/a Brothers International Group Inc., and Anson Jean-Pierre |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-032 |
Action: SEC v. Ronnie Lee Moss, Jr., Genesis E&P, Inc., Royal Oil, LLC, and Catalyst Operating, LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-033 |
Action: In the Matter of Mark Alan Bourgeois |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-034 |
Action: In the Matter of City National Rochdale, LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-035 |
Action: SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-036 |
Action: SEC v. Martin Shkreli, Evan Greebel, MSMB Capital Management LLC, and MSMB Healthcare Management LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-037 |
Action: SEC v. Global Investment Strategy UK Ltd. and John William Gunn |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-038 |
Action: SEC v. Stefan Qin, Virgil Technologies LLC, Montgomery Technologies LLC, Virgil Quantitative Research LLC, Virgil Capital LLC, and VQR Partners LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
| Notice No.:2022-018 |
Action: SEC v. Ryan Gilbertson, Thomas Howells, and Douglas Hoskins |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-019 |
Action: SEC v. Seyed Taher Kameli, Chicagoland Foreign Investment Group, LLC, and American Enterprise Pioneers, Inc. |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-020 |
Action: SEC v. George S. Blakenbaker, StarGrower Commercial Bridge Loan Fund 1 LLC, StarGrower Asset Management LLC, Blankenbaker Investments Fund 17 LLC |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-021 |
Action: In the Matter of Baxter International Inc. |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-022 |
Action: SEC v. Viktor Gjonaj |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-023 |
Action: SEC v. Thunderbird Power Corp., Richard Hinds, Anthony Goldstein, and John Alexander Van Arem |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-024 |
Action: SEC v. Complete Business Solutions Group, Inc. d/b/a Par Funding, Full Spectrum Processing, Inc. ABetterFinancialPlan.com LLC d/b/a A Better Financial Plan, ABFP Management Company, LLC, f/k/a Pillar Life Settlement Management Company, LLC, ABFP Income Fund, LLC, ABFP Income Fund 2, L.P., United Fidelis Group Corp., Fidelis Financial Planning LLC, Retirement Evolution Group, LLC, Reirement Evolution Income Fund, LLC, f/k/a Re Income Fund, LLC, Re Income Fund 2, LLC, Lisa McElhone, Joseph Cole Barleta, a/k/a Joe Cole, Joseph W. LaForte, a/k/a Joe Mack, a/k/a Joe Macki, a/k/a Joe McElhone, Perry S. Abbonizio, Dean J. Vagnozzi, Michael C. Furman, and John Gissas |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-025 |
Action: In the Matter of KT Corporation |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-026 |
Action: SEC v. Ofer Abarbanel, Victor Chilelli, Income Collecting 1-3 Monts T-Bills Mutual Fund |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-027 |
Action: In the Matter of BlockFi Lending LLC |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-028 |
Action: SEC v. Dawn J. Bennett, Bradley Mascho, and DJB Holdings, LLC |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
| Notice No.:2022-013 |
Action: SEC v. Phillip Michael Carter, d/b/a North Forty Development Capital Account, Bobby Eugene Guess Richard Gregory TIlford, North-Forty Development LLC, North Forty Development, LLC, Texas Cash Cow, LLC, f/k/a Texas Cash Cow Investments LLC, and Texas First Financial, LLC |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
| Notice No.:2022-017 |
Action: SEC v. Justin Robert King and Elevate Investments LLC |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
| Notice No.:2022-014 |
Action: SEC v. Timothy Burroughs, Jay Holstine, John Griffin, and Michael Oswald Williams |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
| Notice No.:2022-015 |
Action: In the Matter of O.N. Investment Management Company |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
| Notice No.:2022-016 |
Action: SEC v. VerdeGroup Investment Partners, Inc.; Thomas Gaffney; and Lisa Gordon |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
| Notice No.:2022-002 |
Action: SEC v. James Siniscalchi |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-001 |
Action: In the Matter of Wedbush Securities Inc. |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-003 |
Action: SEC v. Gary F. Pryor, ZipRemit, Inc., and Lendaily, Inc. |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-004 |
Action: SEC v. Robert Samuel Shumake, Jr., Willard L. Jackson, Nicole T. Birch, 420 Real Estate, LLC, Vicent Petrescu aka Vincent Petrescu, and TruCrow, Inc. dba Fundanna |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-005 |
Action: In the Matter of 1st Global Advisors, Inc., now known as Avantax Advisory Services, Inc. |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-006 |
Action: SEC v. Ivan Acevedo and Dane R. Roseman a/k/a Dayne R. Roseman |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-007 |
Action: In the Matter of Nikola Corporation |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-008 |
Action: SEC v. Peter Baker, Prestige Global Trading, Ltd., Elizabeth Oharriz, Diversified Initiatives Consulting & Logistics, Inc., and Sienna Business Group, Inc. |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-009 |
Action: SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher and Karen J. Smith |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-010 |
Action: In the Matter of Steven Turner |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-011 |
Action: In the Matter of J.P. Morgan Securities LLC |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2022-012 |
Action: In the Matter of Global Infrastructure Management, LLC |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
| Notice No.:2021-129 |
Action: SEC v. Edward L. Wooten, Lee S. Rose, John L. Krcil, and Black Lion Investment Partners, Inc. |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-130 |
Action: SEC v. Kevin R. Kuhnash and Jason P. Jimerson |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-131 |
Action: SEC v. Isaiah Goodman |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-132 |
Action: SEC v. Ann M. Vick |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-133 |
Action: SEC v. Andres Fernandez and Edison Denizard |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-134 |
Action: SEC v. Andrew Dale Ledbetter |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-135 |
Action: In the Matter of United States Commodity Funds LLC and United States Oil Fund, LP |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-136 |
Action: SEC v. Akazoo S.A. |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-137 |
Action: SEC v. Russell Craig and Onestep Financial Services, LLC |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-138 |
Action: SEC v. Guy Scott Griffithe and Robert William Russell |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-139 |
Action: SEC v. Denis Georgiyevich Sotnikov, Adaptive Technology LLC, AGQ Business Group LLC, ATL Business Group LLC, BO&SA Corporation, DN Industrial LLC and Expert Digital LLC |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-140 |
Action: SEC v. Richard Vu Nguyen, a/k/a Nguyen Thanh Vu, and NTV Financial Group, Inc. |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-141 |
Action: SEC v. Tomer Feingold and Dov Malnik |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-142 |
Action: In the Matter of Fixed Income Clearing Corporation |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-143 |
Action: In the Matter of MIO Partners, Inc. |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-144 |
Action: In the Matter of Michael Margiotta |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-145 |
Action: SEC v. Alexander Rowland |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-146 |
Action: SEC v. Stephen Scott Moleski, David Michael, and Erik Christian Jones |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
| Notice No.:2021-119 |
Action: SEC v. Marcus Boggs |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-120 |
Action: In the Matter of Adam Heimann, Michael Perinotti, EGM Firm Inc., and MIDAM Ventures LLC |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-121 |
Action: In the Matter of Robert D. Press |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-122 |
Action: In the Matter of Credit Suisse Group AG |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-123 |
Action: In the Matter of VTB Capital plc |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-124 |
Action: SEC v. Steven Pagartanis |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-125 |
Action: In the Matter of Tradition Securities and Derivatives, LLC |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-126 |
Action: SEC v. DaRayl D. Davis |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-127 |
Action: In the Matter of Xuepeng Xie |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-128 |
Action: SEC v. Gregory Lamont Drake, Stephen Kenneth Grossman, Stephen Scott Moleski, Jason David St. Amour, and David Wolfson |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
| Notice No.:2021-103 |
Action: In the Matter of MML Investors Services, LLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-104 |
Action: In the Matter of Rothschild Investment Corporation |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-105 |
Action: SEC v. Thomas Gity, Sr., Thomas Gity, Jr., and Treasure Coast Property Enterprises, LLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-106 |
Action: SEC v. Paul Gilman; Oil Migration Group, LLC, WaveTech29, LLC; and GilmanSound, LLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-107 |
Action: In the Matter of WPP PLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-108 |
Action: SEC v. KRM Services, LLC and Roberto J. Clark, Jr. |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-109 |
Action: SEC v. Todd Elliott Hitt, Kiddar Capital LLC, and Kiddar Group Holdings, Inc. |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-110 |
Action: In the Matter of the Kraft Heinz Co., and Eduardo Pelleissone |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-111 |
Action: SEC v. Prosky, Inc. and Crystal A. Huang |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-112 |
Action: SEC v. Steven Fitzgerald Brown |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-113 |
Action: SEC v. Trevon Brown, Craig Grant, Joshua Jeppesen, Ryan Maasen, and Michael Noble |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-114 |
Action: In the Matter of Coda Markets, Inc. and Edward G. O'Malley |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-115 |
Action: In the Matter of GTV Media Group, Inc., Saraca Media Group, Inc., and Voice of Guo Media, Inc. |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-116 |
Action: In the Matter of App Annie Inc. and Bertrand Schmitt |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-117 |
Action: SEC v. Ibrahim Almagarby and Microcap Equity Group, LLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-118 |
Action: SEC v. Hughe Duwayne Graham, Donald Lee Howard, and Larry Louis Matyas |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
| Notice No.:2021-095 |
Action: SEC v. Brian Davison, Barry M. Rybicki, Equialt LLC, Equialt Fund, LLC, Equialt Fund II, LLC, Equialt III, LLC, EA SIP, LLC |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-091 |
Action: In the Matter of Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-092 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-093 |
Action: In the Matter of Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-094 |
Action: Matter of First Heartland Consultants, Inc. |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-096 |
Action: SEC v. Oleksander Ieremenko, Spirit Trade, Ltd., Sungjin Cho, David Kwon, Igor Sabodakha, Victoria Vorochek, Ivan Olefir, Capyield Systems, Ltd., and Andrey Sarafanov |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-097 |
Action: In the Matter of Murchinson Ltd., Marc Bistricer, and Paul Zogala |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-098 |
Action: In the Matter of Healthcare Services Group, Inc., John C. Shea, CPA, and Derya D. Warner |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-099 |
Action: In the Matter of Ernst & Young LLP, James G. Herring, Jr., CPA, James A. Young, CPA, and Curt W. Fochtmann, CPA |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-100 |
Action: In the Matter of Poloniex, LLC |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-101 |
Action: In the Matter of Northwest Advisors, Inc. |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-102 |
Action: SEC v. Yellowstone Partners, LLC, David Henry Hansen, and Cameron G. High |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
| Notice No.:2021-076 |
Action: SEC v. Westport Capital Markets, LLC and Christopher McClure |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-077 |
Action: In the Matter of St. Germain Investment Management, Inc. |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-078 |
Action: In the Matter of Kestra Advisory Services, LLC |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-079 |
Action: SEC v. Steven L. Brickner |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-080 |
Action: SEC v. Frederick Alan Voight and Daystar Funding, LP |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-081 |
Action: SEC v. Gerardo De Nicolás Gutierrez, Carlos Javier Moctezuma Velasco, Ramón Lafarga Bátiz, and Noe Corrales Reyes |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-082 |
Action: In the Matter of AMEC Foster Wheeler Limited |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-083 |
Action: SEC v. Suneet Singal, First Capital Real Estate Trust, Inc, First Capital Real Estate Advisors, LP, and First Capital Real Estate Investments, LLC |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-084 |
Action: SEC v. Peter Szatmari |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-085 |
Action: In the Matter of TIAA-CREF Individual and Institutional Services, LLC |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-086 |
Action: In the Matter of Neovest, Inc. |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-087 |
Action: In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-088 |
Action: In the Matter of Securities America Advisors, Inc. |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-089 |
Action: SEC v. Michael Barry Carter |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-090 |
Action: SEC v. Daniel K. Boice and Trustify, Inc. |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
| Notice No.:2021-067 |
Action: In the Matter of Loci, Inc. and John Wise |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-071 |
Action: SEC v. Savraj Gata-Aura (a/k/a Samuel Aura a/k/a Sam Aura) and Core Agents, Ltd. (d/b/a Core Agents International, Ltd.) |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-069 |
Action: In the Matter of Centaurus Financial, Inc. |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-068 |
Action: SEC v. Eric Pulier |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-066 |
Action: SEC v. The Owings Group, LLC, Owings-1, LLC, Owings Capital Group, LLC, Owings Capital Funds, LLC, Mark Johnson, Kevin Drost, Brian Koslow, David Waltzer |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-074 |
Action: In the Matter of Gurprit Chandhoke and VII Peaks Capital, LLC |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-075 |
Action: SEC v. Hemp, Inc.; Bruce J. Perlowin; Barry K. Epling; Jed M. Perlowin; Ferris Holding, Inc.; Hobbes Equities Inc.; Diversified Investments LLC; and Quantum Economic Protocols LLC |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-073 |
Action: In the Matter of Maxwell Drever |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-072 |
Action: SEC v. Joseph Andrew Paul, John D. Ellis, Jr., James S. Quay, a/k/a "Stephen Jameson," and Donald H. Ellison |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-065 |
Action: SEC v. Emil Botvinnik |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-064 |
Action: SEC v. Sethi Petroleum, LLC and Sameer P. Sethi |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-063 |
Action: SEC v. The Legacy Group, Inc.; Colorado Ventures I, LLC; Radiant Holdings, LLC; Randy R. King; Matthew B. King; and Andrea S. Trout |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-070 |
Action: In the Matter of Crown Capital Securities, L.P. |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-062 |
Action: In the Matter of Gateway One Lending & Finance, LLC |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
| Notice No.:2021-061 |
Action: In the Matter of S&P Dow Jones Indices LLC |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
| Notice No.:2021-060 |
Action: SEC v. Kai Christian Petersen; Gil Beserglik; and Raz Beserglik |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
| Notice No.:2021-059 |
Action: SEC v. Onix Capital LLC, and Alberto Chang-Rajii |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
| Notice No.:2021-058 |
Action: In the Matter of GWFS Equities, Inc. |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
| Notice No.:2021-057 |
Action: SEC v. CapSource, Inc., Stephen J. Byrne, and Gregory P. Herlean |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
| Notice No.:2021-056 |
Action: In the Matter of Under Armour, Inc. |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
| Notice No.:2021-055 |
Action: SEC v. John F. Thomas, et al. |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
| Notice No.:2021-054 |
Action: SEC v. Imran Husain and Gregg Evan Jaclin |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
| Notice No.:2021-053 |
Action: SEC v. Kirbyjon Hines Caldwell and Gregory Alan Smith |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
| Notice No.:2021-052 |
Action: SEC v. William Skelley and Sohin S. Shah |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
| Notice No.:2021-051 |
Action: SEC v. Hai Khoa Dang |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
| Notice No.:2021-050 |
Action: SEC v. Clarence Dean Alford |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
| Notice No.:2021-049 |
Action: SEC v. Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
| Notice No.:2021-040 |
Action: SEC v. Damon Elliott and Piptastic Limited |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
| Notice No.:2021-048 |
Action: SEC v. Craig A. Zabala |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
| Notice No.:2021-047 |
Action: SEC v. Deborah Duffy |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
| Notice No.:2021-046 |
Action: SEC v. Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron) and JM Capital Holdings LLC |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
| Notice No.:2021-045 |
Action: SEC v. AmeraTex Energy, Inc., Lewis Oil Corporation, Lewis Oil Company, Thomas A. Lewis, William R. Fort, Damon L. Fox, and Brian W. Bull |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
| Notice No.:2021-044 |
Action: SEC v. Christopher D. Dantin and Chris A. Dantin |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
| Notice No.:2021-043 |
Action: SEC v. Craig V. Sizer and Miguel Mesa |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
| Notice No.:2021-042 |
Action: In the Matter of William J. Sears |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
| Notice No.:2021-041 |
Action: SEC v. Jason R. Hyatt, Jay Johnson, and Hyatt Johnson Capital, LLC |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
| Notice No.:2021-039 |
Action: SEC v. Robert C. Morgan, Morgan Mezzanine Fund Manager LLC, and Morgan Acquisitions LLC |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
| Notice No.:2021-038 |
Action: In the Matter of Joseph Jackson and Colm Callan |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
| Notice No.:2021-037 |
Action: SEC v. Premier Holding Corporation, Randall Letcavage, and Joseph Greenblatt |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
| Notice No.:2021-036 |
Action: SEC v. Anthony Todd Johnson (aka Todd Johnson), et. al. |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
| Notice No.:2021-035 |
Action: SEC v. Luckin Coffee, Inc. |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
| Notice No.:2021-034 |
Action: SEC v. Meta 1 Coin Trust, Robert Dunlap, Clear International Trust, Nicole Bowdler, and David A. Schmidt |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
| Notice No.:2021-033 |
Action: SEC v. Patrick O. Howard; Howard Capital Holdings, LLC; and Optimal Economics Capital Partners, LLC |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
| Notice No.:2021-032 |
Action: SEC v. Minish “Joe” Hede and Kevin Graetz |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
| Notice No.:2021-031 |
Action: In the Matter of Winslow, Evans & Crocker, Inc. |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
| Notice No.:2021-030 |
Action: SEC v. ConTXT, Inc., Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-029 |
Action: SEC v. William J. Bowser, Christopher J. Ashby, Scott W. Beynon, and Jordan S. Nelson |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-028 |
Action: SEC v. Traffic Monsoon, LLC, and Charles David Scoville |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-027 |
Action: In the Matter of Deutsche Bank AG |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-026 |
Action: SEC v. Paul Andrews Rinfret and Plandome Partners LLC |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-025 |
Action: SEC v. Bruce J. Fixelle, Aurora Capital Management, LLC, and Genesis Advisory Services Corp. |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-024 |
Action: In the Matter of Pruco Securities, LLC |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-023 |
Action: SEC v. Barry F. Connell |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-022 |
Action: SEC v. Joseph Taub and Elazar Shmalo |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-021 |
Action: SEC v. Benjamin Taylor, Darina Windsor, and Joseph Abdul Noor El-Khouri |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-020 |
Action: SEC v. Anthony J. Thompson Jr., Jay Fung, and Eric Van Nguyen |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-019 |
Action: SEC v. OwnZones Media Network, Inc., Daniel Goman and Joseph Goman |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-018 |
Action: In the Matter of Voya Financial Advisors, Inc. |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-017 |
Action: In the Matter of Covia Holdings Corp, and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-016 |
Action: SEC v. RPM International Inc. and Edward W. Moore |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-015 |
Action: SEC v. Paul R. Montgomery Jr., Michael D. Fisher, and James H. Willingham, Jr. |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
| Notice No.:2021-014 |
Action: SEC v. Clinton Maurice Tucker II |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-013 |
Action: In the Matter of Robinhood Financial, LLC |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-012 |
Action: SEC v. Bernard M. Parker |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-011 |
Action: SEC v. Bryan Cohen and George Nikas |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-010 |
Action: SEC v. Craig Rumbaugh, Rumbaugh Financial, Inc, and Desert Strategic Equity, LLC |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-009 |
Action: In the Matter of ShipChain, Inc. |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-008 |
Action: In the Matter of BlueCrest Capital Management Limited |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-007 |
Action: In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-006 |
Action: SEC v. One or More Unknown Traders in the Securities of Bioverativ, Inc. |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-005 |
Action: In the Matter of ICE Data Pricing & Reference Data, LLC |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-004 |
Action: In the Matter of General Electric Company |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-003 |
Action: SEC v. Garrett M. O’Rourke and Michael J. Black |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-002 |
Action: SEC v. Nelson Gomes, Michael Luckhoo-Bouche, Shane Schmidt, Douglas Roe, Kelly Warawa, FFS Capital Limited, Paifang Trading Limited, Artefactor Limited, Atlantean Management Corporation, Meadow Asia Limited, and Thyme International Limited |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2021-001 |
Action: SEC v. Scana Corporation, Dominion Energy South Carolina, Inc (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Bryne |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
| Notice No.:2020-146 |
Action: SEC v. Revolution Lighting Technologies, Inc., Robert LaPenta, James DePalma, Daniel O’Neal, and Allen Garner |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
| Notice No.:2020-153 |
Action: SEC v. Laksha Bohra, Viky Bohra, and Gotham Bohra |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
| Notice No.:2020-152 |
Action: In the Matter of John G. Stumpf |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
| Notice No.:2020-151 |
Action: In the Matter of Alexandre S. Clug, Aurum Mining, LLC, Panam Terra, Inc., and The Corsair Group, Inc. |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
| Notice No.:2020-150 |
Action: SEC v. Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
| Notice No.:2020-149 |
Action: SEC v. Kik Interactive, Inc |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
| Notice No.:2020-148 |
Action: SEC v. Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, Steven G. Patton |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
| Notice No.:2020-147 |
Action: SEC v. Daniel Rudden, Financial Visions Inc., Financial Visions West, LLC, Financial Visions West 1, LLC, and FV-2, LLC |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
| Notice No.:2020-145 |
Action: Commission Deferred Prosecution Agreement with Tenaris, S.A. |
Notice Date:12/07/2020 | Claim Due Date:03/07/2021 |
| Notice No.:2020-144 |
Action: Commission Deferred Prosecution Agreement with The PBSJ Corporation |
Notice Date:12/07/2020 | Claim Due Date:03/07/2021 |
| Notice No.:2020-143 |
Action: Commission Deferred Prosecution with Regions Financial Corp. |
Notice Date:12/07/2020 | Claim Due Date:03/07/2021 |
| Notice No.:2020-142 |
Action: In the Matter of EDG Management Company, LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-141 |
Action: In the Matter of J.P. Morgan Securities, LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-140 |
Action: In the Matter of Morgan Stanley & Co. LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-139 |
Action: In the Matter of BGC Partners, Inc |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-138 |
Action: SEC v. Brian Weber and Bebida Beverage Co. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-137 |
Action: SEC v. Steven Fishoff, Deshan Govender, Winson Tang, Featherwood Capital, Inc., and JSF Investment Capital Inc. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-126 |
Action: In the Matter of Transamerica Asset Management, Inc. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-125 |
Action: In the Matter of the Goldman Sachs Group, Inc. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-136 |
Action: SEC v. Motty Mirzahi and MBIG Company |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-135 |
Action: SEC v. Remington Chase a/k/a William Westwood a/k/a William Elliot |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-134 |
Action: SEC v. Daniel Pacheco |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-133 |
Action: SEC v. Jeffrey Stebbins and Corbin Jones |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-132 |
Action: In the Matter of Andeavor LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-131 |
Action: In the Matter of J&F Investimentos, S.A., JBS, S.A. Joesley Batista, Wesley Batista |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-130 |
Action: In the Matter of HP Inc |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-129 |
Action: In the Matter of Kroll Bond Rating Agency, LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-128 |
Action: SEC v. Verley Lee Sembritzky, Jr., Bounty of the Ocean Inc., and Ocean Harvest LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-127 |
Action: SEC v. Gary S. Wylke a/k/a Gary S. Wyckel and Alejandro Cortes |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
| Notice No.:2020-124 |
Action: In the Matter of Gilder Gagnon Howe & Co. LLC, and Bonnie M. Haupt |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-123 |
Action: SEC v. John Geraci |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-122 |
Action: SEC v. Mark P. Frissora |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-121 |
Action: SEC v. James M. Farinella, Integrated Capital Partners, Inc., Anthony Amado, Equities Awareness Group, LLC, and Carlo Palomino |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-120 |
Action: In the Matter of John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC, and George R. Jarkesy, Jr. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-119 |
Action: In the Matter of Bayerische Motoren Werke Aktiengesslschaft, BMW of North America, LLC, and BMW US Capital, LLC |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-118 |
Action: In the Matter of Unikrn, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-117 |
Action: In the Matter of Precigen, Inc. (f/k/a Intrexon Corporation) |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-116 |
Action: In the Matter of National Financial Services LLC |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-115 |
Action: In the Matter of Fulton Financial Corporation |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-114 |
Action: In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-113 |
Action: SEC v. Anton Senderov and Lior Babazara a/k/a Lior Bar |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-112 |
Action: SEC v. Francisco Abellan Vilena, Guillermo Ciupiak, James B, Panther, Jr., and Faiyaz Dean |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-111 |
Action: In the Matter of Platinum Wealth Partners, Inc. and David L. Potter |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-110 |
Action: SEC v. Richard M. Kirsch and Adam Terris |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-109 |
Action: In the Matter of Power Solutions International, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-108 |
Action: In the Matter of Fiat Chrysler Automobiles N.V. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-107 |
Action: In the Matter of Hancock Whitney Investment Services, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-106 |
Action: In the Matter of Roosevelt & Cross, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
| Notice No.:2020-105 |
Action: In the Matter of Charles Liang |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-104 |
Action: In the Matter of VALIC Financial Advisors, Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-103 |
Action: In the Matter of Kelvin Boon, LLC, and Rajesh Pavithran |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-102 |
Action: In the Matter of Interactive Brokers LLC |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-101 |
Action: In the Matter of Herbalife Nutrition, LTD. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-100 |
Action: SEC v. WG Trading Investors, L.P., WG Trading Company, Limited Partnership, Westridge Capital Management, Inc., Paul Greenwood and Stephen Walsh |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-099 |
Action: In the Matter of NPB Financial Group, LLC |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-098 |
Action: SEC v. Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-097 |
Action: In the Matter of World Acceptance Corporation |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-096 |
Action: SEC v. David Sims, Mario Procopio, Ralph C. Greaves, ALC Holdings, LLC, El Cether-Eloyown, and Sims Equities, Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-095 |
Action: In the Matter of Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-094 |
Action: In the Matter of Super Micro Computer, Inc |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-093 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-092 |
Action: SEC v. Matthew S. Hilliard, Hilliard Oil Ventures, Inc. a/k/a Delta Western Company, Hilliard Helium Company, LLC, and Hilliard Land and Energy Corp. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-091 |
Action: In the Matter of Scott M. Dittman, CPA |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-090 |
Action: SEC v. Zvi Feiner, FNR Healthcare, LLC, and Erez Baver |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
| Notice No.:2020-089 |
Action: SEC v. Telegram Group Inc. and TON Issuer Inc. |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
| Notice No.:2020-088 |
Action: SEC v. Commodore Financial Corporation, Christopher Schlegel, M&G Cap Services, and Andres Calvo |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
| Notice No.:2020-087 |
Action: In the Matter of Alexion Pharmaceuticals, Inc. |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
| Notice No.:2020-086 |
Action: In the Matter of VALIC Financial Advisors, Inc. |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
| Notice No.:2020-085 |
Action: SEC v. Kevin G. White, KGW Capital Management, LLC, Revelation Forex Fund, L.P., and RFF GP, LLC |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
| Notice No.:2020-084 |
Action: SEC v. Temenos Advisory, Inc., and George L. Taylor |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
| Notice No.:2020-083 |
Action: In the Matter of BitClave PTE Ltd. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-082 |
Action: In the Matter of SG Americas Securities, LLC |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-081 |
Action: SEC v. Lisa Bershan, Barry B. Schwartz, and Joel J. Margulies |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-080 |
Action: In the Matter of VEREIT, Inc. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-079 |
Action: SEC v. Robert Cortez Marshall |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-078 |
Action: In the Matter of Novartis AG |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-077 |
Action: SEC v. Giga Entertainment Media, Inc., Gary S. Nerlinger, Lawrence W. Silver, Alfred R. Colucci, Charles G. Noska, and Jarret M. Streiner |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-076 |
Action: SEC v. Todd Lahr and Thomas Megas |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-075 |
Action: SEC v. PowerTradersPress.com, Inc., et al. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-074 |
Action: SEC v. Amtrust Financial Services, Inc. and Ronald E. Pipoly, Jr. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-073 |
Action: SEC v. Stiefel Laboratories Inc. and Charles W. Stiefel |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-072 |
Action: In the Matter of US Bancorp Investments, Inc. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-071 |
Action: SEC v. Douglas Leighton, Bass Point Capital, LLC, Azure Capital Corp., Michael Sullivan, David Hall, Zachary Harvey, Paul Dutra, Jason Harman, and Jessica Geran |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-070 |
Action: SEC v. Steve M. Bajic, et al. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-069 |
Action: SEC v. Navellier & Associates, Inc., and Louis Navellier |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
| Notice No.:2020-067 |
Action: SEC v. Aequitas Management, LLC; Aequitas Holdings, LLC; Aequitas Commercial Finance, LLC; Aequitas Capital Management, Inc.; Aequitas Investment Management, LLC; Robert J. Jesenik; Brian A. Oliver; and N. Scott Gillis |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
| Notice No.:2020-066 |
Action: In the Matter of Bloomberg Tradebook LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
| Notice No.:2020-065 |
Action: In the Matter of Morgan Stanley Smith Barney LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
| Notice No.:2020-064 |
Action: SEC v. Brian Robert Sodi, Capital Financial Media, LLC, and List Data Solutions LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
| Notice No.:2020-063 |
Action: SEC v. Renew Spinal Care, Inc., Laserscopic Medical Clinic, LLC, Joe Samuel Bailey, Barry Edward Mitchell, Laurence Grossnickle, and Charles Clement Goubert, Jr. |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
| Notice No.:2020-062 |
Action: In the Matter of Everest Capital LLC and Marko Dimitrijevic |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
| Notice No.:2020-061 |
Action: In the Matter of Morningstar Credit Ratings, LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
| Notice No.:2020-068 |
Action: In the Matter of Tim Leissner |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
| Notice No.:2020-060 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-059 |
Action: SEC v. Marvin Mychal-Christopher Kendricks, a/k/a “Mychal Kendricks,” and Damilare Sonoiki |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-058 |
Action: SEC v. International Investment Group, LLC. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-057 |
Action: In the Matter of Monomoy Capital Management, L.P. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-056 |
Action: In the Matter of RBC Capital Markets LLC |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-055 |
Action: SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat At Joe’s, LTD. n/k/a SPYR, Inc. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-054 |
Action: In the Matter of Eni S.p.A. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-053 |
Action: SEC v. Ronald L. Blackburn, Andrew V. Reid, Bruce A. Gwyn, Michael A. Mulshine, Lee C. Schlesinger, Samuel E. Whitley, and Treaty Energy Corporation |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-052 |
Action: SEC v. Castleberry Financial Services Group, LLC, T. Jonathon Turner, f/k/a/ “Jon Barri Brothers,” and Norman M. Strell |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-051 |
Action: SEC v. Scott O. Hirsch and Kenneth L. Friedman |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-050 |
Action: SEC v. The End of the Rainbow Partners, LLC., the Estate of Michael F. Anderson |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-049 |
Action: SEC v. Jeffrey E. Wall and The Lighthouse Events, LLC |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
| Notice No.:2020-048 |
Action: SEC v. Philip E. Riehl |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-047 |
Action: SEC v. PTG Capital Partners LTD, PST Capital Group LTD, Nedko Nedev, Strategic Capital Partners Muster Limited, and Strategic Wealth Investments, Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-046 |
Action: SEC v. Evegenii Zavodchiko, Extra Trading Company, Andrey Bokarev, Radion Panko, Green Road Corporation, Natalia Andreevna Alepko, Solar Line Inc., Anton Maslov, Tarek Investors Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-045 |
Action: SEC v. Henry Ford f/k/a Cleothus Lefty Jackson and Fallcatcher, Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-044 |
Action: SEC v. Gregory T. Dean and Donald J. Fowler |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-043 |
Action: SEC v. ICOBox and Nikolay Evdokimov |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-042 |
Action: SEC v. Neil Burkholz, Frank Bianco, Palm Financial Management, LLC, and Shore Management Systems, LLC |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-041 |
Action: In the Matter of Cardinal Health, Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-040 |
Action: In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-039 |
Action: SEC v. Francis J. van Steenberge and Nicolas Zanen |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-038 |
Action: SEC v. Alexander Charles White and Paul Douglas Vandivier |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-037 |
Action: SEC v. Gregg D. Caplitz and Insight Onsite Strategic Management, LLC |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
| Notice No.:2020-036 |
Action: In the Matter of Wells Fargo & Company |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-035 |
Action: SEC v. James W. Self, Jr., and Stephen R. Goldfield |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-034 |
Action: SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-033 |
Action: SEC v. Nicholas Lattanzio, Black Diamond Investments, LP, Black Diamond GP, LLC, Black Diamond Investments LLC, and Black Diamond Capital Appreciation Fund, L.P. |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-032 |
Action: SEC v. Christopher Freeman Brogdon |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-031 |
Action: SEC v. Robert A. Ferrante and Marilyn R. Thomassen |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-030 |
Action: In the Matter of Diageo, plc. |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-029 |
Action: In the Matter of Catalyst Capital Advisors, LLC and Jerry Szilagyi |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-028 |
Action: SEC v. John Abio, also known as Tre Brandenberg, and Abio Financial Group, Inc. |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-027 |
Action: SEC v. Tennstar Energy, Inc. f/k/a Black Gold Resources, Inc. David R. Greenlee, David A. Stewart, Jr., and Richard “Ric” P. Underwood |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
| Notice No.:2020-025 |
Action: SEC v. Scott Charles Messier and Jay Zola Scoratow |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-026 |
Action: SEC v. Landon M. Smith |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-024 |
Action: SEC v. James B. Catledge, Derek F. C. Elliot, EMI Resorts (S.V.G) INC., EMI Sun Village, Inc., Sun Village Juan Dolio, Inc. |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-023 |
Action: SEC v. Michael B. Rothenberg, and Rothenberg Ventures LLC (f/k/a Frontier Technology Venture Capital LLC and Rothenberg Ventures Management Company, LLC) |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-022 |
Action: In the Matter of J.P. Morgan Securities LLC |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-021 |
Action: SEC v. Carlos Ghosn and Gregory L. Kelly |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-020 |
Action: SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-019 |
Action: SEC v. Jay Costa Kelter |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-018 |
Action: SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-017 |
Action: SEC v. Guardian Oil & Gas, Inc., Guardian Oil & Natural Gas, Inc., and Rick D. Mullins |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-016 |
Action: SEC v. Ariel Darvasi and Amir Waldman |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-015 |
Action: SEC v. Robert G. Pearson and Illinois Stock Transfer Company (d/b/a IST Shareholder Services) |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
| Notice No.:2020-014 |
Action: SEC v. Loren W. Holzhueter, and ISC, Inc. (d/b/a Insurance Service Center) |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-013 |
Action: SEC v. Richard Johnathan Eden and Christopher Michael Neumann |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-012 |
Action: SEC v. Richard T. Cunniffe |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-011 |
Action: In the Matter of MetLife, Inc. |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-010 |
Action: In the Matter of Jefferies LLC |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-009 |
Action: SEC v. Telefonaktiebolaget LM Ericsson |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-008 |
Action: SEC v. Iconix Brand Group, Inc. |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-007 |
Action: SEC v. John Special |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-006 |
Action: SEC v. Michael E. Cone and Greenview Investment Partners, L.P. |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-005 |
Action: SEC v. Natural Diamonds Investment Co., Eagle Financial Diamond Group Inc a/k/a Diamante Atelier, Argyle Coin, LLC, Jose Angel Aman, Harold Seigel, and Jonathan H. Seigel |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-004 |
Action: In the Matter of Kornitzer Capital Management, Inc. and John C. Kornitzer |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-003 |
Action: SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-002 |
Action: SEC v. Micheal A. Skerry |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2020-001 |
Action: SEC v. Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
| Notice No.:2019-204 |
Action: SEC v. Zhunrize, Inc., and Jeff Pan |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
| Notice No.:2019-210 |
Action: In the Matter of Morgan Stanley Smith Barney LLC |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
| Notice No.:2019-209 |
Action: SEC v. Toon Goggles, Inc., and Ira Warkol |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
| Notice No.:2019-211 |
Action: SEC v. Reginald (“Reggie”) Middleton, Veritaseum, Inc., and Veritaseum, LLC |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
| Notice No.:2019-208 |
Action: SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
| Notice No.:2019-207 |
Action: SEC v. David Sechovicz |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
| Notice No.:2019-206 |
Action: In the Matter of Bethany Liou and Golden California Regional Center, LLC |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
| Notice No.:2019-205 |
Action: SEC v. Palm House Hotel LLLP, South Atlantic Regional Center, LLC, Joseph J. Walsh, Sr., and Robert V. Matthews |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
| Notice No.:2019-203 |
Action: SEC v. The Nutmeg Group, LLC, Randall Goulding, and David Goulding |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
| Notice No.:2019-172 |
Action: SEC v. Earl D. Miller, 5 Star Commercial, LLC, and 5 Star Capital Fund, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-202 |
Action: In the Matter of Mid Atlantic Financial Management, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-201 |
Action: In the Matter of Founders Financial Securities, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-200 |
Action: In the Matter of IC Advisory Services, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-199 |
Action: In the Matter of Block.one |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-198 |
Action: SEC v. PlexCorps (a/k/a and d/b/a PlexCoin and Sidepay.ca), Dominic Lacroix and Sabrina Paradis-Royer |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-197 |
Action: In the Matter of Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC) |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-196 |
Action: SEC v. Sandy J. Masselli, J.R., Carlyle Gaming & Entertainment Ltd., Intercapital Partners Ltd. (a/k/a Intercapital Partners Ltd. Liability Companyand Intercapital Partners, LLC), Intercapital Management Ltd., and Appnostiq Interactive Ltd. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-195 |
Action: In the Matter of GFI Securities LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-194 |
Action: SEC v. American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Howard J. Allen III and Kerri L. Wasserman |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-193 |
Action: In the Matter of Herbalife Nutrition, Ltd. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-192 |
Action: In the Matter of Independent Financial Group LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-191 |
Action: In the Matter of Wedbush Securities |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-190 |
Action: In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-189 |
Action: In the Matter of Essex Financial Services, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-188 |
Action: In the Matter of Bill Few Associates, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-187 |
Action: SEC v. Mylan N.V. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-186 |
Action: In the Matter of FCA US LLC and Fiat Chrysler Automobiles N.V. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-185 |
Action: In the Matter of Serge Matta |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-184 |
Action: In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-183 |
Action: SEC v. Lek Securities Corporation, Samuel Lek, Vali Managemtn Partners dba Avalon FA Ltd, Nathan Fayyer, and Sergey Pustelnik a/k/a Serge Pustelnik |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-182 |
Action: SEC v. Victory Ho |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-181 |
Action: In the Matter of Barclays PLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-180 |
Action: In the Matter of Leonardo Cornide and Jorge Falcon |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-179 |
Action: In the Matter of Tyler T. Tysdal, Grant M. Carter, Impact Opportunities Fund Management, LLC, TitleCard Capital Group, LLC, and TitleCard Capital Management, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-178 |
Action: SEC v. Alpine Securities Corporation |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-177 |
Action: SEC v. Taj Jerry Mahabub, GenAudio, Inc., and Astound Holdings, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-176 |
Action: In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC) |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-175 |
Action: In the Matter of Gary F. Pryor and The Pinnacle Companies, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-174 |
Action: SEC v. Equitybuild, Inc., Equitybuild Finance, LLC, Jerome H. Cohen, and Shaun D. Cohen |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-173 |
Action: SEC v. Scott Stacy Phelps and James Michael Harper |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
| Notice No.:2019-152 |
Action: SEC v. Samuel DelPresto, MLF Group, LLC, Donald Toomer, Jr., and Darren Goodrich |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-153 |
Action: SEC v. Bio Defense Corporation, Michael Lu, May’s International Corporation, Jonathan Morrone d/b/a/ JM International, Inc., Z. Paul Jurberg d/b/a Brookline Capital Partners, Inc., Brett Hamburger, d/b/a JCBH Consulting, LLC, Anthony Orth d/b/a Grand Traverse Equities, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-154 |
Action: SEC v. Strategic Capital Management, LLC and Michael J. Breton |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-155 |
Action: In the Matter of Kenneth Wruk |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-156 |
Action: SEC v. John C. Maccoll |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-157 |
Action: In the Matter of Raymond James & Associates Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-158 |
Action: In the Matter of TechnipFMC, plc |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-159 |
Action: In the Matter of PricewaterhouseCoopers LLP |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-160 |
Action: In the Matter of The Bancorp, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-161 |
Action: In the Matter of Marvell Technology Group, Ltd. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-162 |
Action: In the Matter of Comscore, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-164 |
Action: In the Matter of Quad/Graphics, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-165 |
Action: In the Matter of Sigma Planning Corp. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-166 |
Action: SEC v. Longfin Corp., and Venkata S. Meenavalli |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-167 |
Action: In the Matter of Nissan Motor Co., LTD. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-168 |
Action: In the Matter of AST Investment Services, Inc. and PGIM Investments LLC |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-169 |
Action: In the Matter of BMO Capital Markets Corp. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-170 |
Action: In the Matter of Stifel, Nicolaus & Company, Incorporated |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-171 |
Action: SEC v. Daniel Rivas, James Moodhe, Roberto Rodriquez, Rodolfo Sablon, Jhonatan Zoquier, Michael Siva, and Jeffert Rogiers |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
| Notice No.:2019-163 |
Action: In the Matter of TMC Bonds LLC |
Notice Date:10/24/2019 | Claim Due Date:01/22/2020 |
| Notice No.:2019-151 |
Action: In the Matter of Juniper Networks, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-150 |
Action: In the Matter of Deutsche Bank AG |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-149 |
Action: SEC v. Facebook, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-148 |
Action: In the Matter of Brixmor Property Group Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-147 |
Action: In the Matter of BMO Capital Markets Corporation |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-146 |
Action: SEC v. Equal Earth, Inc., Andrew J. Duggan, and Ghassan Hamade a/k/a Mark Hamade |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-145 |
Action: SEC v. Andrew I. Farmer, Eddie D. Austin, Jr., Scott R. Sieck, Carolyn P. Austin, and John D. Brotherton |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-144 |
Action: SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc. and Global Transition Solutions, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-143 |
Action: SEC v. BitQyck, Inc., Bruce E. Bise, and Samuel J. Mendez |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-142 |
Action: In the Matter of Alfred C. Teran |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-141 |
Action: SEC v. 1 Global Capital LLC, and Carl Ruderman |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-140 |
Action: SEC v. Henry J. Wieniewitz, and Wieniewitz Financial, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-139 |
Action: In the Matter of Lefavi Wealth Management, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-138 |
Action: In the Matter of The Options Clearing Corporation |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-137 |
Action: SEC v. Sean Kelly; Lion’s Share & Associates, Inc; Lionsshare Tax Services, LLC; and Lion’s Share Financial of East Cobb, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-136 |
Action: SEC v. Donald Watkins Sr., Esq., Watkins Pencor, LLC, Masada Resource Group, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-135 |
Action: SEC v. Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-134 |
Action: SEC v. Terminus Energy, Inc. Danny B. Pratte, Joseph L. Pittera, George Doumanis, Emanuel Pantelakis, and Joseph Alborano |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
| Notice No.:2019-133 |
Action: In the Matter of Microsoft Corporation |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-132 |
Action: In the Matter of Nomura Securities International, Inc. |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-131 |
Action: SEC v. AR Capital, LLC, Nicholas S. Schorsch, and Brian S. Block |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-130 |
Action: SEC v. Robert Donald Bruce Genovese, B.G. Capital Group, LTD., Abraham “Avi” Mirman |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-129 |
Action: SEC v. Conn’s, Inc. and Michael J. Poppe |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-128 |
Action: In the Matter of Robert L. Baker, Jacob B. Herrera, Michael D. Bowen, and Terrence A. Ballard |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-127 |
Action: SEC v. Thomas H. Laws |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-126 |
Action: SEC v. Ernest J. Romer, III |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-125 |
Action: SEC v. Ronald Van Den Heuvel, and Green Box NA Detroit, LLC |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-124 |
Action: In the Matter of Nomura Securities International, Inc. |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-123 |
Action: SEC v. Dwayne Edwards, Todd Barker, Senior Solutions of Social Circle, LLC, Oxton Place of Douglas, LLC d/b/a Oxton Real Estate of Douglass, LLC, Rome Alf, LLC, Savannah ALF, LLC, Gainesville ALF, LLC, Waterford Place ALF, LLC, Montgomery ALF, LLC, Columbus ALF, LLC, and Opelika ALF, LLC |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-122 |
Action: SEC v. Amit Kanodia and Iftikar Ahmed |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
| Notice No.:2019-115 |
Action: In the Matter of Industrial and Commercial Bank of China Financial Services LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-114 |
Action: In the Matter of Wedbush Securities, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-113 |
Action: SEC v. Carol Ann Pedersen |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-112 |
Action: SEC v. Ralph T. Iannelli and Essex Capital Corporation |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-111 |
Action: SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, and Dorababu Penumarthi |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-110 |
Action: SEC v. James E. Hocker |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-109 |
Action: SEC v. Edward Lee Moody, Jr. and CM Capital Management, LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-108 |
Action: In the Matter of KPMG LLP |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-107 |
Action: In the Matter of Walmart Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-106 |
Action: SEC v. Jose G. Ramirez, Jr. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-105 |
Action: SEC v. Daniel Dirk Coddington, Michael B. Columbia, Jesse W. Erwin Jr., Merlyn Curt Geisler, Marshall D. Gunn, Jr., CPA, Seth A. Leyton, Lewis P. Malouf, Extreme Capital Ltd., Fidelity Asset Services Corp., Geisco FNF, LLC, Golden Summit Investors Group Ltd., SouthCom Management LLC, Stonerock Capital Group LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
| Notice No.:2019-104 |