Notice of Covered Actions

SEC v. ConTXT, Inc., Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen
Case Number: 21-cv-00013 (United States District Court for the District of Utah) 
Date Filed: January 7, 2021
Date of Qualifying Judgment / Order: January 13, 2021

SEC v. William J. Bowser, Christopher J. Ashby, Scott W. Beynon, and Jordan S. Nelson
Case Number: 20-cv-00918 (United States District Court for the District of Utah) 
Date Filed: December 30, 2020
Date of Qualifying Judgment / Order: December 30, 2020

SEC v. Traffic Monsoon, LLC, and Charles David Scoville
Case Number: 16-cv-00832 (United States District Court for the District of Utah) 
Date Filed: July 26, 2016
Date of Qualifying Judgment / Order: January 5, 2021

In the Matter of Deutsche Bank AG
Administrative Proceeding File No.: 3-20200
Date Filed: January 8, 2021
Date of Qualifying Judgment / Order: January 8, 2021

SEC v. Paul Andrews Rinfret and Plandome Partners LLC
Case Number: 19-cv-06037 (United States District Court for the Southern District of New York) 
Date Filed: June 28, 2019
Date of Qualifying Judgment / Order: December 16, 2020

SEC v. Bruce J. Fixelle, Aurora Capital Management, LLC, and Genesis Advisory Services Corp.
Case Number:18-cv-15026 (United States District Court for the District of New Jersey) 
Date Filed: October 16, 2018
Date of Qualifying Judgment / Order: January 7, 2021

In the Matter of Pruco Securities, LLC
Administrative Proceeding File No.: 3-20190
Date Filed: December 23, 2020
Date of Qualifying Judgment / Order: December 23, 2020

SEC v. Barry F. Connell
Case Number: 17-cv-00831 (United States District Court for the Southern District of New York) 
Date Filed: February 3, 2017 
Date of Qualifying Judgment / Order: December 30, 2020

SEC v. Joseph Taub and Elazar Shmalo
Case Number: 16-cv-01930 (United States District Court for the District of New Jersey) 
Date Filed: December 12, 2016
Date of Qualifying Judgment / Order: December 29, 2020

SEC v. Benjamin Taylor, Darina Windsor, and Joseph Abdul Noor El-Khouri
Case Number: 19-cv-09744 (United States District Court for the Southern District of New York)
Date Filed: October 22, 2019
Date of Qualifying Judgment / Order: December 16, 2020

SEC v. Anthony J. Thompson Jr., Jay Fung, and Eric Van Nguyen
Case Number: 14-cv-09126 (United States District Court for the Southern District of New York)
Date Filed: November 27, 2014
Date of Qualifying Judgment / Order: December 30, 2020

SEC v. OwnZones Media Network, Inc., Daniel Goman and Joseph Goman
Case Number: 20-cv-01308 (United States District Court for the Central District of California) 
Date Filed: April 2, 2020
Date of Qualifying Judgment / Order: January 14, 2021

In the Matter of Voya Financial Advisors, Inc.
Administrative Proceeding File No.: 3-20183
Date Filed: December 21, 2020
Date of Qualifying Judgment / Order: December 21, 2020

In the Matter of Covia Holdings Corp, and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC
Administrative Proceeding File No.: 3-20163
Date Filed: December 8, 2020
Date of Qualifying Judgment / Order: December 8, 2020
 

SEC v. RPM International Inc. and Edward W. Moore
Case Number: 16-cv-01803 (United States District Court for the District of Columbia) 
Date Filed: September 9, 2016 
Date of Qualifying Judgment / Order: December 22, 2020

SEC v. Paul R. Montgomery Jr., Michael D. Fisher, and James H. Willingham, Jr.
Case Number: 20-cv-00598 (United States District Court for the Western Division of Texas)
Date Filed: May 18, 2020
Date of Qualifying Judgment / Order: January 20, 2021

SEC v. Clinton Maurice Tucker II
Case Number.: 20-cv-00875 (United States District Court for the Central District of California) 
Date Filed: May 11, 2020
Date of Qualifying Judgment / Order: November 17, 2020

In the Matter of Robinhood Financial, LLC
Administrative Proceeding File No.: 3-20171
Date Filed: December 17, 2020
Date of Qualifying Judgment / Order: December 17, 2020

SEC v. Bernard M. Parker
Case Number.: 15-cv-01535 (United States District Court for the Western District of Pennsylvania) 
Date Filed: November 23, 2015
Date of Qualifying Judgment / Order: November 24, 2020

SEC v. Bryan Cohen and George Nikas
Case Number.: 19-cv-09645 (United States District Court for the Southern District of New York) 
Date Filed: October 18, 2019
Date of Qualifying Judgment / Order: December 22, 2020

SEC v. Craig Rumbaugh, Rumbaugh Financial, Inc, and Desert Strategic Equity, LLC
Case Number.: 19-cv-01517 (United States District Court for the Central District of California) 
Date Filed: August 14, 2019
Date of Qualifying Judgment / Order: November 20, 2020

In the Matter of ShipChain, Inc.
Administrative Proceeding File No.: 3-20185
Date Filed: December 21, 2020
Date of Qualifying Judgment / Order: December 21, 2020

In the Matter of BlueCrest Capital Management Limited
Administrative Proceeding File No.: 3-20162
Date Filed: December 8, 2020
Date of Qualifying Judgment / Order: December 8, 2020

In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P.
Administrative Proceeding File No.: 3-20173
Date Filed: December 17, 2020
Date of Qualifying Judgment / Order: December 17, 2020

SEC v. One or More Unknown Traders in the Securities of Bioverativ, Inc.
Case Number: 18-cv-00701 (United States District Court for the Southern District of New York) 
Date Filed: January 26, 2018
Date of Qualifying Judgment / Order: December 2, 2020

In the Matter of ICE Data Pricing & Reference Data, LLC
Administrative Proceeding File No.: 3-20164
Date Filed: December 9, 2020
Date of Qualifying Judgment / Order: December 9, 2020

In the Matter of General Electric Company
Administrative Proceeding File No.: 3-20165
Date Filed: December 9, 2020
Date of Qualifying Judgment / Order: December 9, 2020

SEC v. Garrett M. O’Rourke and Michael J. Black 
Case Number: 19-cv-04137 (United States District Court for the Eastern District of New York)  
Date Filed: July 17, 2019
Date of Qualifying Judgment / Order: December 7, 2020

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
Case Number: 20-cv-11092 (United States District Court for the District of Massachusetts)  
Date Filed: June 9, 2020
Date of Qualifying Judgment / Order: December 4, 2020 

SEC v. Scana Corporation, Dominion Energy South Carolina, Inc (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Bryne
Case Number: 20-cv-00882 (United States District Court for the District of South Carolina) 
Date Filed: February 27, 2020
Date of Qualifying Judgment / Order: December 3, 2020

SEC v. Revolution Lighting Technologies, Inc., Robert LaPenta, James DePalma, Daniel O’Neal, and Allen Garner 
Case Number: 20-cv-01440 (United States District Court for the District of Connecticut) 
Date Filed: September 24, 2020
Date of Qualifying Judgment / Order: October 9, 2020

SEC v. Laksha Bohra, Viky Bohra, and Gotham Bohra
Case Number: 20-cv-01434 (United States District Court for the Western District of Washington)
Date Filed: September 28, 2020
Date of Qualifying Judgment / Order: October 16, 2020

In the Matter of John G. Stumpf
Administrative Proceeding File No.: 3-20148
Date Filed: November 13, 2020
Date of Qualifying Judgment / Order: November 13, 2020

In the Matter of Alexandre S. Clug, Aurum Mining, LLC, Panam Terra, Inc., and The Corsair Group, Inc.
Administrative Proceeding File No.: 3-16318
Date Filed: November 9, 2020
Date of Qualifying Judgment / Order: November 9, 2020

SEC v. Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC
Case Number: 20-cv-01056 (United States District Court for the Central District of California) 
Date Filed: May 19, 2020
Date of Qualifying Judgment / Order: October 19, 2020

SEC v. Kik Interactive, Inc
Case Number: 19-cv-05244 (United States District Court for the Southern District of New York) 
Date Filed: June 4, 2019
Date of Qualifying Judgment / Order: October 21, 2020

SEC v. Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, Steven G. Patton
Case Number: 18-cv-00925 (United States District Court for the Central District of California) 
Date Filed: May 30, 2018
Date of Qualifying Judgment / Order: October 26, 2020
 

SEC v. Daniel Rudden, Financial Visions Inc., Financial Visions West, LLC, Financial Visions West 1, LLC, and FV-2, LLC
Case Number: 18-cv-01842 (United States District Court for the District of Colorado) 
Date Filed: July 19, 2018
Date of Qualifying Judgment / Order: October 15, 2020

Commission Deferred Prosecution Agreement with Tenaris, S.A.
Date: May 17, 2011

Commission Deferred Prosecution Agreement with The PBSJ Corporation
Date: January 21, 2015

Commission Deferred Prosecution with Regions Financial Corp.
Date: June 19, 2014

In the Matter of EDG Management Company, LLC 
Administrative Proceeding File No.: 3-20133
Date Filed: October 22, 2020
Date of Qualifying Judgment / Order: October 22, 2020

In the Matter of J.P. Morgan Securities, LLC
Administrative Proceeding File No.: 3-20094
Date Filed: September 29, 2020
Date of Qualifying Judgment / Order: September 29, 2020
 

In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-20103
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020

In the Matter of BGC Partners, Inc
Administrative Proceeding File No.: 3-20107
Date Filed: September 30, 2020    
Date of Qualifying Judgment / Order: September 30, 2020

SEC v. Brian Weber and Bebida Beverage Co.
Case Number: 18-cv-05019 (United States District Court for the Eastern District of New York)
Date Filed: September 5, 2018
Date of Qualifying Judgment / Order: September 21, 2020

SEC v. Steven Fishoff, Deshan Govender, Winson Tang, Featherwood Capital, Inc., and JSF Investment Capital Inc.
Case Number: 18-cv-07685 (United States District Court for the Southern District of New York) 
Date Filed: August 23, 2018 
Date of Qualifying Judgment / Order: October 1, 2020 

In the Matter of Transamerica Asset Management, Inc.
Administrative Proceeding File No.: 3-20105
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020

In the Matter of the Goldman Sachs Group, Inc.
Administrative Proceeding File No.: 3-20132
Date Filed: October 22, 2020
Date of Qualifying Judgment / Order: October 22, 2020

SEC v. Motty Mirzahi and MBIG Company
Case Number: 19-cv-02284 (United States District Court for the Central District of California)  
Date Filed: March 27, 2019
Date of Qualifying Judgment / Order: October 7, 2020

SEC v. Remington Chase a/k/a William Westwood a/k/a William Elliot
Case Number: 20-cv-08343 (United States District Court for the Central District of California) 
Date Filed: September 11, 2020 
Date of Qualifying Judgment / Order: October 6, 2020

SEC v. Daniel Pacheco
Case Number: 19-cv-00958 (United States District Court for the Central District of California)
Date Filed: May 22, 2019
Date of Qualifying Judgment / Order: August 6, 2020

SEC v. Jeffrey Stebbins and Corbin Jones
Case Number: 13-cv-00755 (United States District Court for the District of Arizona)
Date Filed: April 16, 2013
Date of Qualifying Judgment / Order: September 24, 2020

In the Matter of Andeavor LLC 
Administrative Proceeding File No.: 3-20125
Date Filed: October 15, 2020
Date of Qualifying Judgment / Order: October 15, 2020

In the Matter of J&F Investimentos, S.A., JBS, S.A. Joesley Batista, Wesley Batista
Administrative Proceeding File No.: 3-20124
Date Filed: October 14, 2020
Date of Qualifying Judgment / Order: October 14, 2020

In the Matter of HP Inc 
Administrative Proceeding File No.: 3-20112
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020

In the Matter of Kroll Bond Rating Agency, LLC
Administrative Proceeding File No.: 3-20096
Date Filed: September 29, 2020
Date of Qualifying Judgment / Order: September 29, 2020

SEC v. Verley Lee Sembritzky, Jr., Bounty of the Ocean Inc., and Ocean Harvest LLC
Case Number: 20-cv-03287 (United States District Court for the Southern District of Texas) 
Date Filed: September 22, 2020
Date of Qualifying Judgment / Order: September 24, 2020

SEC v. Gary S. Wylke a/k/a Gary S. Wyckel and Alejandro Cortes
Case Number: 20-cv-23616 (United States District Court for the Southern District of Florida) 
Date Filed: August 31, 2020
Date of Qualifying Judgment / Order: September 30, 2020

In the Matter of Gilder Gagnon Howe & Co. LLC, and Bonnie M. Haupt
Administrative Proceeding File No: 3-20014
Date Filed: September 17, 2020
Date of Qualifying Judgment/Order: September 17, 2020

SEC v. John Geraci
Case Number: 18-cv-06432 (United States District Court for the Southern District of New York)
Date Filed: July 17, 2018
Date of Qualifying Judgment/Order: September 10, 2020

SEC v. Mark P. Frissora
Case Number: 20-cv-10453 (United States District Court for the District of New Jersey)
Date Filed: August 13, 2020
Date of Qualifying Judgment/Order: August 26, 2020

SEC v. James M. Farinella, Integrated Capital Partners, Inc., Anthony Amado, Equities Awareness Group, LLC, and Carlo Palomino
Case Number: 17-cv-04538 (United States District Court for the District of New Jersey)
Date Filed: June 21, 2017
Date of Qualifying Judgment/Order: August 28, 2020

In the Matter of John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC, and George R. Jarkesy, Jr.
Administrative Proceeding File No: 3-15255
Date Filed: September 4, 2020
Date of Qualifying Judgment/Order: September 4, 2020

In the Matter of Bayerische Motoren Werke Aktiengesslschaft, BMW of North America, LLC, and BMW US Capital, LLC
Administrative Proceeding File No: 3-20060
Date Filed: September 24, 2020
Date of Qualifying Judgment/Order: September 24, 2020

In the Matter of Unikrn, Inc.
Administrative Proceeding File No: 3-20003
Date Filed: September 15, 2020
Date of Qualifying Judgment/Order: September 15, 2020

In the Matter of Precigen, Inc. (f/k/a Intrexon Corporation)
Administrative Proceeding File No: 3-20069
Date Filed: September 25, 2020
Date of Qualifying Judgment/Order: September 25, 2020

In the Matter of National Financial Services LLC
Administrative Proceeding File No: 3-19958
Date Filed: September 3, 2020
Date of Qualifying Judgment/Order: September 3, 2020

In the Matter of Fulton Financial Corporation
Administrative Proceeding File No: 3-20084
Date Filed: September 28, 2020
Date of Qualifying Judgment/Order: September 28, 2020

In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA
Administrative Proceeding File No: 3-20085
Date Filed: September 28, 2020
Date of Qualifying Judgment/Order: September 28, 2020

SEC v. Anton Senderov and Lior Babazara a/k/a Lior Bar 
Case Number: 19-cv-05242 (United States District Court for the Eastern District of Washington)
Date Filed: October 9, 2019
Date of Qualifying Judgment/Order: August 27, 2020

SEC v. Francisco Abellan Vilena, Guillermo Ciupiak, James B, Panther, Jr., and Faiyaz Dean
Case Number: 18-cv-04309 (United States District Court for the Southern District of New York)
Date Filed: May 15, 2018
Date of Qualifying Judgment/Order: September 11, 2020

In the Matter of Platinum Wealth Partners, Inc. and David L. Potter
Administrative Proceeding File No: 3-20067
Date Filed: September 24, 2020
Date of Qualifying Judgment/Order: September 24, 2020

SEC v. Richard M. Kirsch and Adam Terris 
Case Number: 20-cv-61830 (United States District Court for the Southern District of Florida)
Date Filed: September 10, 2020
Date of Qualifying Judgment/Order: September 16, 2020

In the Matter of Power Solutions International, Inc.
Administrative Proceeding File No: 3-20062
Date Filed: September 24, 2020
Date of Qualifying Judgment/Order: September 24, 2020

In the Matter of Fiat Chrysler Automobiles N.V.
Administrative Proceeding File No: 3-20092
Date Filed: September 28, 2020
Date of Qualifying Judgment/Order: September 28, 2020

In the Matter of Hancock Whitney Investment Services, Inc.
Administrative Proceeding File No: 3-20074
Date Filed: September 25, 2020
Date of Qualifying Judgment/Order: September 25, 2020

In the Matter of Roosevelt & Cross, Inc. 
Administrative Proceeding File No: 3-19996
Date Filed: September 14, 2020
Date of Qualifying Judgment/Order: September 14, 2020

In the Matter of Charles Liang 
Administrative Proceeding File No.: 3-19929
Date Filed: August 25, 2020
Date of Qualifying Judgment/Order: August 25, 2020

In the Matter of VALIC Financial Advisors, Inc.
Administrative Proceeding File No.: 3-19894
Date Filed: July 28, 2020
Date of Qualifying Judgment/Order: July 28, 2020

In the Matter of Kelvin Boon, LLC, and Rajesh Pavithran
Administrative Proceeding File No.: 3-19913
Date Filed: August 13, 2020
Date of Qualifying Judgment/Order: August 13, 2020

In the Matter of Interactive Brokers LLC
Administrative Proceeding File No.: 3-19907
Date Filed: August 10, 2020
Date of Qualifying Judgment/Order: August 10, 2020

In the Matter of Herbalife Nutrition, LTD.
Administrative Proceeding File No.: 3-19948
Date Filed: August 28, 2020
Date of Qualifying Judgment/Order: August 28, 2020

SEC v. WG Trading Investors, L.P., WG Trading Company, Limited Partnership, Westridge Capital Management, Inc., Paul Greenwood and Stephen Walsh
Case Number:  09-cv-01750 (United States District Court for the Southern District of New York) 
Date Filed: February 25, 2009
Date of Qualifying Judgment/Order: June 9, 2020

In the Matter of NPB Financial Group, LLC
Administrative Proceeding File No: 3-19918
Date Filed: August 20, 2020
Date of Qualifying Judgment/Order: August 20, 2020

SEC v. Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street
Case Number: 18-cv-00264 (United States District Court for the District of Hawaii)
Date Filed: July 9, 2019
Date of Qualifying Judgment/Order: July 1, 2020

In the Matter of World Acceptance Corporation
Administrative Proceeding File No: 3-19905
Date Filed: August 6, 2020
Date of Qualifying Judgment/Order: August 6, 2020

SEC v. David Sims, Mario Procopio, Ralph C. Greaves, ALC Holdings, LLC, El Cether-Eloyown, and Sims Equities, Inc.
Case Number: 19-cv-00995 (United States District Court for the Central District of California) 
Date Filed: May 23, 2019
Date of Qualifying Judgment/Order: July 2, 2020

In the Matter of Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies Inc.
Administrative Proceeding File No: 3-19899
Date Filed: July 31, 2020
Date of Qualifying Judgment/Order: July 31, 2020

In the Matter of Super Micro Computer, Inc
Administrative Proceeding File No: 3-19927
Date Filed: August 25, 2020
Date of Qualifying Judgment/Order: August 25, 2020

In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No: 3-19866
Date Filed: July 20, 2020
Date of Qualifying Judgment/Order: July 20, 2020

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.
Case Number: 20-cv-00929 (United States District Court for the Northern District of Texas) 
Date Filed: April 16, 2020
Date of Qualifying Judgment/Order: August 17, 2020

In the Matter of Scott M. Dittman, CPA
Administrative Proceeding File No: 3-17546
Date Filed: August 5, 2020
Date of Qualifying Judgment/Order: August 5, 2020

SEC v. Zvi Feiner, FNR Healthcare, LLC, and Erez Baver
Case Number: 19-cv-06269 (United States District court for the Northern District of Illinois) 
Date Filed: September 19, 2019
Date of Qualifying Judgment/Order: October 7, 2019

SEC v. Telegram Group Inc. and TON Issuer Inc.
Case Number: 19-cv-09439 (United States District Court for the Southern District of New York)
Date Filed: October 11, 2019
Date of Qualifying Judgment/Order: June 26, 2020

SEC v. Commodore Financial Corporation, Christopher Schlegel, M&G Cap Services, and Andres Calvo
Case Number: 15-cv-01567 (United States District Court for the Central District of California) 
Date Filed: September 30, 2015
Date of Qualifying Judgment/Order: June 24, 2020 

In the Matter of Alexion Pharmaceuticals, Inc.
Administrative Proceeding File No: 3-19852
Date Filed: July 2, 2020
Date of Qualifying Judgment/Order: July 2, 2020

In the Matter of VALIC Financial Advisors, Inc.
Administrative Proceeding File No: 3-19895
Date Filed: July 28, 2020
Date of Qualifying Judgment/Order: July 28, 2020

SEC v. Kevin G. White, KGW Capital Management, LLC, Revelation Forex Fund, L.P., and RFF GP, LLC 
Case Number: 13-cv-00383 (United States District Court for the Eastern District of Texas) 
Date Filed: July 9, 2013
Date of Qualifying Judgment/Order: June 29, 2020

SEC v. Temenos Advisory, Inc., and George L. Taylor
Case Number: 18-cv-01180 (United States District Court for the District of Connecticut)
Date Filed: July 18, 2018
Date of Qualifying Judgment/Order: June 30, 2020

In the Matter of BitClave PTE Ltd.
Administrative Proceeding File No.: 3-19816
Date Filed: May 28, 2020
Date of Qualifying Judgment/Order: May 28, 2020

In the Matter of SG Americas Securities, LLC
Administrative Proceeding File No.: 3-19833
Date Filed: June 24, 2020
Date of Qualifying Judgment/Order: June 24, 2020

SEC v. Lisa Bershan, Barry B. Schwartz, and Joel J. Margulies
Case Number: 17-cv-07793 (United States District Court for the Southern District of New York)
Date Filed: October 11, 2017
Date of Qualifying Judgment/Order: April 17, 2020

In the Matter of VEREIT, Inc.
Administrative Proceeding File No.:3-19831
Date Filed: June 23, 2020
Date of Qualifying Judgment/Order: June 23, 2020
 

SEC v. Robert Cortez Marshall 
Case Number: 17-cv-02189 (United States District Court for the District of Nevada)
Date Filed: August 15, 2017
Date of Qualifying Judgment/Order: June 8, 2020

In the Matter of Novartis AG
Administrative Proceeding File No.: 3-19835
Date Filed: June 25, 2020
Date of Qualifying Judgment/Order: June 25, 2020

SEC v. Giga Entertainment Media, Inc., Gary S. Nerlinger, Lawrence W. Silver, Alfred R. Colucci, Charles G. Noska, and Jarret M. Streiner 
Case Number: 18-cv-06511 (United States District Court for the Eastern District of New York) 
Date Filed: November 15, 2018 
Date of Qualifying Judgment/Order: June 3, 2020

SEC v. Todd Lahr and Thomas Megas
Case Number: 20-cv-01593 (United States District Court for the Eastern District of Pennsylvania) 
Date Filed: March 23, 2020
Date of Qualifying Judgment/Order: June 23, 2020

SEC v. PowerTradersPress.com, Inc., et al.
Case Number: 17-cv-04133 (United States District Court for the Eastern District of New York)
Date Filed: July 12, 2017
Date of Qualifying Judgment/Order: June 15, 2020

SEC v. Amtrust Financial Services, Inc. and Ronald E. Pipoly, Jr.
Case Number: 20-cv-04652 (United States District Court for the Southern District of New York) 
Date Filed: June 17, 2020 
Date of Qualifying Judgment/Order: June 19, 2020

SEC v. Stiefel Laboratories Inc. and Charles W. Stiefel
Case Number: 11-cv-24438 (United States District Court for the Southern District of Florida) 
Date Filed: December 12, 2011
Date of Qualifying Judgment/Order: June 5, 2020

In the Matter of US Bancorp Investments, Inc.
Administrative Proceeding File No.: 3-19818
Date Filed: June 1, 2020
Date of Qualifying Judgment/Order: June 1, 2020

SEC v. Douglas Leighton, Bass Point Capital, LLC, Azure Capital Corp., Michael Sullivan, David Hall, Zachary Harvey, Paul Dutra, Jason Harman, and Jessica Geran
Case Number: 20-cv-10686 (United States District Court for the District of Massachusetts) 
Date Filed: April 7, 2020
Date of Qualifying Judgment/Order: June 3, 2020

SEC v. Steve M. Bajic, et al. 
Case Number: 20-cv-00007 (United States District Court for the Southern District of New York) 
Date Filed: January 2, 2020
Date of Qualifying Judgment/Order: May 7, 2020

SEC v. Navellier & Associates, Inc., and Louis Navellier
Case Number: 17-cv-11633 (United States District Court for the District of Massachusetts)
Date Filed: August 31, 2017
Date of Qualifying Judgment/Order: June 2, 2020

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
Case Number: 16-cv-00438 (United States District Court for the District of Oregon) 
Date Filed: March 10, 2016
Date of Qualifying Judgment/Order: April 13, 2020

In the Matter of Bloomberg Tradebook LLC
Administrative Proceeding File No.: 3-19785 
Date Filed: May 6, 2020
Date of Qualifying Judgment/Order: May 6, 2020
 

In the Matter of Morgan Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-19793
Date Filed: May 12, 2020
Date of Qualifying Judgment/Order: May 12, 2020
 

SEC v. Brian Robert Sodi, Capital Financial Media, LLC, and List Data Solutions LLC
Case Number: 18-cv-00313 (United States District Court for the Northern District of Alabama) 
Date Filed: February 26, 2018 
Date of Qualifying Judgment/Order: April 16, 2020
 

SEC v. Renew Spinal Care, Inc., Laserscopic Medical Clinic, LLC, Joe Samuel Bailey, Barry Edward Mitchell, Laurence Grossnickle, and Charles Clement Goubert, Jr.
Case Number: 20-cv-03676 (United States District Court for the Central District of California) 
Date Filed: April 22, 2020 
Date of Qualifying Judgment/Order: May 12, 2020

In the Matter of Everest Capital LLC and Marko Dimitrijevic
Administrative Proceeding File No.: 3-19777
Date Filed: April 30, 2020
Date of Qualifying Judgment/Order: April 30, 2020

In the Matter of Morningstar Credit Ratings, LLC
Administrative Proceeding File No.: 3-19802
Date Filed: May 15, 2020
Date of Qualifying Judgment/Order: May 15, 2020
 

In the Matter of Tim Leissner
Administrative Proceeding File No.: 3-19619 
Date Filed: December 16, 2019
Date of Qualifying Judgment/Order: December 16, 2019

In the Matter of Cantor Fitzgerald & Co.
Administrative Proceeding File No: 3-19743
Date Filed: April 6, 2020
Date of Qualifying Judgment/Order: April 6, 2020

SEC v. Marvin Mychal-Christopher Kendricks, a/k/a “Mychal Kendricks,” and Damilare Sonoiki
Case Number: 18-cv-03695 (United States District Court for the Pennsylvania)
Date Filed: August 29, 2018
Date of Qualifying Judgment/Order: March 18, 2020

SEC v. International Investment Group, LLC.
Case Number: 19-cv-10796 (United States District Court for the Southern District of New York) 
Date Filed: November 21, 2019
Date of Qualifying Judgment/Order: March 30, 2020

In the Matter of Monomoy Capital Management, L.P.
Administrative Proceeding File No: 3-19764
Date Filed: April 22, 2020
Date of Qualifying Judgment/Order: April 22, 2020

In the Matter of RBC Capital Markets LLC
Administrative Proceeding File No: 3-19769
Date Filed: April 24, 2020
Date of Qualifying Judgment/Order: April 24, 2020

SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat At Joe’s, LTD. n/k/a SPYR, Inc.
Case Number: 18-cv-05474 (United States District Court for the Southern District of New York) 
Date Filed: June 18, 2018
Date of Qualifying Judgment/Order: April 14, 2020

In the Matter of Eni S.p.A.
Administrative Proceeding File No: 3-19751
Date Filed: April 17, 2020
Date of Qualifying Judgment/Order: April 17, 2020 

SEC v. Ronald L. Blackburn, Andrew V. Reid, Bruce A. Gwyn, Michael A. Mulshine, Lee C. Schlesinger, Samuel E. Whitley, and Treaty Energy Corporation 
Case Number: 15-cv-02451 (United States District Court for the Eastern District of Louisiana) 
Date Filed: December 15, 2014
Date of Qualifying Judgment/Order: April 8, 2020

SEC v. Castleberry Financial Services Group, LLC, T. Jonathon Turner, f/k/a/ “Jon Barri Brothers,” and Norman M. Strell 
Case Number: 19-cv-80244 (United States District Court for the Southern District of Florida)
Date Filed: February 19, 2019
Date of Qualifying Judgment/Order: March 31, 2020

SEC v. Scott O. Hirsch and Kenneth L. Friedman
Case Number: 20-cv-80435 (United States District Court for the Southern District of Florida) 
Date Filed: March 17, 2020
Date of Qualifying Judgment/Order: March 19, 2020

SEC v. The End of the Rainbow Partners, LLC., the Estate of Michael F. Anderson
Case Number: 17-cv-02670 (United States District Court for the District of Colorado) 
Date Filed: November 8, 2017
Date of Qualifying Judgment/Order:  February 10, 2020

SEC v. Jeffrey E. Wall and The Lighthouse Events, LLC
Case Number: 19-cv-00139 (United States District Court for the District of Maine)
Date Filed: April 4, 2019
Date of Qualifying Judgment/Order: March 31, 2020

SEC v. Philip E. Riehl
Case Number: 20-cv-00510 (United States District Court for the Eastern District of Pennsylvania) 
Date Filed: January 29, 2020
Date of Qualifying Judgment/Order: January 31, 2020

SEC v. PTG Capital Partners LTD, PST Capital Group LTD, Nedko Nedev, Strategic Capital Partners Muster Limited, and Strategic Wealth Investments, Inc.
Case Number: 15-cv-04290 (United States District Court for the Southern District of New York) 
Date Filed: June 4, 2015
Date of Qualifying Judgment/Order: March 2, 2020

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.
Case Number: 16-cv-00845 (United States District Court for the District of New Jersey) 
Date Filed: February 17, 2016
Date of Qualifying Judgment/Order: February 11, 2020

SEC v. Henry Ford f/k/a Cleothus Lefty Jackson and Fallcatcher, Inc.
Case Number: 19-cv-02214 (United States District Court for the Eastern District of Pennsylvania) 
Date Filed: May 22, 2019
Date of Qualifying Judgment/Order: February 26, 2020

SEC v. Gregory T. Dean and Donald J. Fowler
Case Number: 17-cv-00139 (United States District Court for the Southern District of New York) 
Date Filed: January 9, 2017
Date of Qualifying Judgment/Order: February 28, 2020

SEC v. ICOBox and Nikolay Evdokimov
Case Number: 19-cv-08066 (United States District Court for the Central District of California)
Date Filed: September 18, 2019
Date of Qualifying Judgment/Order: March 5, 2020

SEC v. Neil Burkholz, Frank Bianco, Palm Financial Management, LLC, and Shore Management Systems, LLC
Case Number: 19-cv-24713 (United States District Court for the Southern District of Florida) 
Date Filed: November 14, 2019
Date of Qualifying Judgment/Order: February 25, 2020

In the Matter of Cardinal Health, Inc.
Administrative Proceeding File No: 3-19718
Date Filed: February 28, 2020
Date of Qualifying Judgment/Order: February 28, 2020

In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-19714
Date Filed: February 27, 2020
Date of Qualifying Judgment/Order: February 27, 2020

SEC v. Francis J. van Steenberge and Nicolas Zanen
Case Number: 15-cv-01469 (United States District Court for the District of Connecticut) 
Date Filed: October 9, 2015
Date of Qualifying Judgment/Order: March 4, 2020 

SEC v. Alexander Charles White and Paul Douglas Vandivier
Case Number.: 18-cv-61870 (United States District Court for the Southern District of Florida)
Date Filed: August 13, 2018 
Date of Qualifying Judgment/Order: February 25, 2020

SEC v. Gregg D. Caplitz and Insight Onsite Strategic Management, LLC
Case Number: 13-cv-10612 (United States District Court for the District of Massachusetts) 
Date Filed: March 15, 2013
Date of Qualifying Judgment/Order: February 14, 2020

In the Matter of Wells Fargo & Company
Administrative Proceeding File No.: 3-19704
Date Filed: February 21, 2020
Date of Qualifying Judgment/Order: February 21, 2020

SEC v. James W. Self, Jr., and Stephen R. Goldfield 
Case Number: 10-cv-04430 (Eastern District of Pennsylvania)
Date Filed: September 1, 2010
Date of Qualifying Judgment/Order: October 22, 2010

SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong
Case Number: 19-cv-05718 (United States District Court for the Southern District of New York
Date Filed: June 19, 2019
Date of Qualifying Judgment/Order: February 11, 2020

SEC v. Nicholas Lattanzio, Black Diamond Investments, LP, Black Diamond GP, LLC, Black Diamond Investments LLC, and Black Diamond Capital Appreciation Fund, L.P.
Case Number: 15-cv-03883 (United States District Court for the District of New Jersey) 
Date Filed: June 10, 2015
Date of Qualifying Judgment/Order: February 3, 2020

SEC v. Christopher Freeman Brogdon
Case Number: 15-cv-08173 (United States District Court District of New Jersey) 
Date Filed: November 20, 2015
Date of Qualifying Judgment/Order: January 19, 2020

SEC v. Robert A. Ferrante and Marilyn R. Thomassen
Case Number: 18-cv-01758 (United States District Court for the Central District of California) 
Date Filed: September 27, 2018 
Date of Qualifying Judgment/Order: February 13, 2020

In the Matter of Diageo, plc.
Administrative Proceeding File No.: 3-19701
Date Filed: February 19, 2020
Date of Qualifying Judgment/Order: February 19, 2020

In the Matter of Catalyst Capital Advisors, LLC and Jerry Szilagyi
Administrative Proceeding File No.: 3-19674 
Date Filed: January 27, 2020
Date of Qualifying Judgment/Order: January 27, 2020

SEC v. John Abio, also known as Tre Brandenberg, and Abio Financial Group, Inc. 
Case Number.: 17-cv-00411 (United States District Court for the Northern District of Texas)
Date Filed: February 13, 2017
Date of Qualifying Judgment/Order: January 29, 2020 

SEC v. Tennstar Energy, Inc. f/k/a Black Gold Resources, Inc. David R. Greenlee, David A. Stewart, Jr., and Richard “Ric” P. Underwood
Case Number: 17-cv-00151 (United States District Court for the Southern District of Georgia)
Date Filed: August 11, 2017
Date of Qualifying Judgment/Order: January 15, 2020

SEC v. Scott Charles Messier and Jay Zola Scoratow
Case Number: 20-cv-00105 (United States District Court for the Southern District of California) 
Date Filed: January 15, 2020
Date of Qualifying Judgment/Order: January 22, 2020

SEC v. Landon M. Smith
Case Number: 19-cv-00519 (United States District Court for the District of Utah) 
Date Filed: June 23, 2019
Date of Qualifying Judgment/Order: January 16, 2020

SEC v. James B. Catledge, Derek F. C. Elliot, EMI Resorts (S.V.G) INC., EMI Sun Village, Inc., Sun Village Juan Dolio, Inc.
Case Number: 12-cv-00887 (United States District Court for the District of Nevada) 
Date Filed: May 24, 2012
Date of Qualifying Judgment/Order: December 16, 2019

SEC v. Michael B. Rothenberg, and Rothenberg Ventures LLC (f/k/a Frontier Technology Venture Capital LLC and Rothenberg Ventures Management Company, LLC)
Case Number: 18-cv-05080 (United States District Court for the Northern District of California) 
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: December 20, 2019

In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-19639
Date Filed: January 9, 2020
Date of Qualifying Judgment/Order: January 9, 2020

SEC v. Carlos Ghosn and Gregory L. Kelly
Case Number: 19-cv-08798 (United States District Court for the Southern District of New York) 
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: December 26, 2019

SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC
Case Number: 18-cv-00529 (United States District Court for the Middle District of Tennessee) 
Date Filed: March 5, 2018
Date of Qualifying Judgment/Order: December 5, 2019

SEC v. Jay Costa Kelter
Case Number: 17-cv-01441 (United States District Court for the District of Colorado) 
Date Filed: November 9, 2017
Date of Qualifying Judgment/Order: January 6, 2020

SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano
Case Number: 17-cv-01600 (United States District Court for the Western District of Washington) 
Date Filed: April 10, 2017
Date of Qualifying Judgment/Order: January 8, 2020

SEC v. Guardian Oil & Gas, Inc., Guardian Oil & Natural Gas, Inc., and Rick D. Mullins
Case Number: 14-cv-01533 (United States District Court for the Northern District of Texas) 
Date Filed: April 25, 2014
Date of Qualifying Judgment/Order: December 20, 2019

SEC v. Ariel Darvasi and Amir Waldman
Case Number: 17-cv-02088 (United States District Court for the Southern District of New York) 
Date Filed: March 23, 2017
Date of Qualifying Judgment/Order: December 17, 2019

SEC v. Robert G. Pearson and Illinois Stock Transfer Company (d/b/a IST Shareholder Services)
Case Number: 14-cv-03785 (United States District Court for the Northern District of Illinois) 
Date Filed: May 22, 2014
Date of Qualifying Judgment/Order: January 8, 2020

SEC v. Loren W. Holzhueter, and ISC, Inc. (d/b/a Insurance Service Center)
Case Number: 15-cv-00045 (United States District Court for the Western District of Wisconsin)
Date Filed: January 21, 2015
Date of Qualifying Judgment/Order: December 21, 2016

SEC v. Richard Johnathan Eden and Christopher Michael Neumann 
Case Number: 19-cv-09358 (United States District Court for the Central District of California)
Date Filed: October 31, 2019
Date of Qualifying Judgment/Order: December 13, 2019

SEC v. Richard T. Cunniffe
Case Number: 18-cv-06667 (United States District Court for the Southern District of New York)
Date Filed: July 25, 2018
Date of Qualifying Judgment/Order: August 15, 2018

In the Matter of MetLife, Inc.
Administrative Proceeding File No.: 3-19624
Date Filed: December 18, 2019
Date of Qualifying Judgment/Order: December 18, 2019

In the Matter of Jefferies LLC
Administrative Proceeding File No.: 3-19614
Date Filed: December 10, 2019
Date of Qualifying Judgment/Order: December 10, 2019

SEC v. Telefonaktiebolaget LM Ericsson
Case Number: 19-cv-11214 (United States District Court for the Southern District of New York)
Date Filed: December 6, 2019
Date of Qualifying Judgment/Order: December 20, 2019

SEC v. Iconix Brand Group, Inc.
Case Number: 19-cv-11150 (United States District Court for the Southern District of New York)
Date Filed: December 5, 2019
Date of Qualifying Judgment/Order: December 10, 2019

SEC v. John Special
Case Number: 19-cv-01152 (United States District Court for the Western District of Oklahoma)
Date Filed: December 12, 2019
Date of Qualifying Judgment/Order: December 13, 2019

SEC v. Michael E. Cone and Greenview Investment Partners, L.P.
Case Number: 18-cv-02349 (United States District Court for the Northern District of Texas) 
Date Filed: September 5, 2018
Date of Qualifying Judgment/Order: January 2, 2020

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
Case Number: 19-cv-80633 (United States District Court for the Southern District of Florida)
Date Filed: May 13, 2019
Date of Qualifying Judgment/Order: December 11, 2019

In the Matter of Kornitzer Capital Management, Inc. and John C. Kornitzer
Administrative Proceeding File No.: 3-19615
Date Filed: December 10, 2019
Date of Qualifying Judgment/Order: December 10, 2019

SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken
Case Number: 19-cv-10927 (United States District Court for the Southern District of New York)
Date Filed: November 26, 2019
Date of Qualifying Judgment/Order: December 4, 2019

SEC v. Micheal A. Skerry
Case Number: 17-cv-00415 (United States District Court for the Northern District of Indiana)
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: December 26, 2019
 

SEC v. Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley
Case Number: 16-cv-09829 (United States District Court for the Southern District of New York)  
Date Filed: December 21, 2016
Date of Qualifying Judgment/Order: December 23, 2019

SEC v. Zhunrize, Inc., and Jeff Pan
Case Number: 14-cv-03030 (United States District Court for the Northern District of Georgia)
Date Filed: September 22, 2014
Date of Qualifying Judgment/Order: November 14, 2019

In the Matter of Morgan Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-19599
Date Filed: November 7, 2019
Date of Qualifying Judgment/Order: November 7, 2019

SEC v. Toon Goggles, Inc., and Ira Warkol
Case Number: 19-cv-07687 (United States District Court for the Central District of California) 
Date Filed: September 5, 2019
Date of Qualifying Judgment/Order: October 29, 2019

SEC v. Reginald (“Reggie”) Middleton, Veritaseum, Inc., and Veritaseum, LLC
Case Number: 19-cv-04625 (United States District Court for the Eastern District of New York)
Date Filed: August 12, 2019
Date of Qualifying Judgment/Order: November 1, 2019

SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez 
Case Number: 19-cv-04348 (United States District Court for the Central District of California)
Date Filed: May 20, 2019
Date of Qualifying Judgment/Order: November 4, 2019

SEC v. David Sechovicz
Case Number: 19-cv-12027 (United States District Court for the District of Massachusetts)
Date Filed: September 27, 2019
Date of Qualifying Judgment/Order: November 4, 2019

In the Matter of Bethany Liou and Golden California Regional Center, LLC
Administrative Proceeding File No.: 3-19597
Date Filed: November 4, 2019
Date of Qualifying Judgment/Order: November 4, 2019

SEC v. Palm House Hotel LLLP,  South Atlantic Regional Center, LLC, Joseph J. Walsh, Sr., and Robert V. Matthews 
Case Number: 18-cv-81038 (United States District Court for the Southern District of Florida) 
Date Filed: August 3, 2018
Date of Qualifying Judgment/Order: November 20, 2019

SEC v. The Nutmeg Group, LLC, Randall Goulding, and David Goulding 
Case Number: 09-cv-01775 (United States District Court for the Northern District of Illinois) 
Date Filed: March 23, 2009
Date of Qualifying Judgment/Order: November 12, 2019

SEC v. Earl D. Miller, 5 Star Commercial, LLC, and 5 Star Capital Fund, LLC
Case Number: 15-cv-00519 (United States District Court for the Northern District of Indiana) 
Date Filed: November 5, 2015
Date of Qualifying Judgment / Order: September 12, 2019

In the Matter of Mid Atlantic Financial Management, Inc.
Administrative Proceeding File No.: 3-19554
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Founders Financial Securities, LLC
Administrative Proceeding File No.: 3-19570
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of IC Advisory Services, Inc.
Administrative Proceeding File No.: 3-19549
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Block.one
Administrative Proceeding File No.: 3-19568
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

SEC v. PlexCorps (a/k/a and d/b/a PlexCoin and Sidepay.ca), Dominic Lacroix and Sabrina Paradis-Royer
Case Number: 17-cv-07007 (United States District Court for the Eastern District of New York)
Date Filed: December 1, 2017
Date of Qualifying Judgment / Order: October 2, 2019

In the Matter of Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC)
Administrative Proceeding File No.: 3-19542
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

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.
Case Number: 18-cv-13269 (United States District Court for the District of New Jersey)
Date Filed: August 28, 2018
Date of Qualifying Judgment / Order: October 8, 2019

In the Matter of GFI Securities LLC
Administrative Proceeding File No.: 3-19546
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

SEC v. American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Howard J. Allen III and Kerri L. Wasserman
Case Number: 16-cv-00828 (United States District Court for the Southern District of New York)
Date Filed: February 3, 2016 
Date of Qualifying Judgment / Order: October 1, 2019

In the Matter of Herbalife Nutrition, Ltd.
Administrative Proceeding File No.: 3-19536
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

In the Matter of Independent Financial Group LLC
Administrative Proceeding File No.: 3-19550
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Wedbush Securities
Administrative Proceeding File No.: 3-19553
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty
Administrative Proceeding File No.: 3-19543
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

In the Matter of Essex Financial Services, Inc.
Administrative Proceeding File No.: 3-19559
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Bill Few Associates, Inc.
Administrative Proceeding File No.: 3-19555
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

SEC v. Mylan N.V.
Case Number: 19-cv-02904 (United States District Court for the District of Columbia)
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: October 1, 2019

In the Matter of FCA US LLC and Fiat Chrysler Automobiles N.V.
Administrative Proceeding File No.: 3-19541
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

In the Matter of Serge Matta
Administrative Proceeding File No.: 3-19500
Date Filed: September 24, 2019
Date of Qualifying Judgment / Order: September 24, 2019

In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp.
Administrative Proceeding File No.: 3-19545
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

SEC v. Lek Securities Corporation, Samuel Lek, Vali Managemtn Partners dba Avalon FA Ltd, Nathan Fayyer, and Sergey Pustelnik a/k/a Serge Pustelnik
Case Number: 17-cv-01789 (United States District Court for the Southern District of New York)
Date Filed: March 10, 2017
Date of Qualifying Judgment / Order: October 1, 2019

SEC v. Victory Ho
Case Number: 17-cv-00895 (United States District Court for the Western District of Louisiana) 
Date Filed: July 11, 2017
Date of Qualifying Judgment / Order: October 15, 2019

In the Matter of Barclays PLC
Administrative Proceeding File No.: 3-19537
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

In the Matter of Leonardo Cornide and Jorge Falcon
Administrative Proceeding File No.: 3-19511
Date Filed: September 25, 2019
Date of Qualifying Judgment / Order: September 25, 2019

In the Matter of Tyler T. Tysdal, Grant M. Carter, Impact Opportunities Fund Management, LLC, TitleCard Capital Group, LLC, and TitleCard Capital Management, LLC
Administrative Proceeding File No.: 3-19463
Date Filed: September 17, 2019
Date of Qualifying Judgment / Order: September 17, 2019

SEC v. Alpine Securities Corporation
Case Number: 17-cv-04179 (United States District Court for the Southern District of New York) 
Date Filed: June 5, 2017
Date of Qualifying Judgment / Order: October 9, 2019

SEC v. Taj Jerry Mahabub, GenAudio, Inc., and Astound Holdings, Inc.
Case Number: 15-cv-02118 (United States District Court for the District of Colorado) 
Date Filed: September 25, 2015
Date of Qualifying Judgment / Order: September 16, 2019

In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC)
Administrative Proceeding File No.: 3-19563
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Gary F. Pryor and The Pinnacle Companies, LLC
Administrative Proceeding File No.: 3-19540
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

SEC v. Equitybuild, Inc., Equitybuild Finance, LLC, Jerome H. Cohen, and Shaun D. Cohen
Case Number: 18-cv-05587 (United States District Court for the Northern District of Illinois) 
Date Filed: August 15, 2018 
Date of Qualifying Judgment / Order: September 24, 2019

SEC v. Scott Stacy Phelps and James Michael Harper
Case Number: 18-cv-00122 (United States District Court for the Western District of Kentucky)
Date Filed: August 30, 2018
Date of Qualifying Judgment / Order: October 4, 2019

SEC v. Samuel DelPresto, MLF Group, LLC, Donald Toomer, Jr., and Darren Goodrich 
Case Number: 15-cv-08656 (United States District Court for the District of New Jersey)
Date Filed: December 21, 2015
Date of Qualifying Judgment/Order: September 17, 2019

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.  
Case Number: 12-cv-11669 (United States District Court for the District of Massachusetts)
Date Filed: September 10, 2012 
Date of Qualifying Judgment/Order: September 6, 2019

SEC v. Strategic Capital Management, LLC and Michael J. Breton
Case Number: 17-cv-10125 (United States District Court for the District of Massachusetts)
Date Filed: January 25, 2017 
Date of Qualifying Judgment/Order: September 6, 2019

In the Matter of Kenneth Wruk
Administrative Proceeding File No.: 3-19427
Date Filed: September 9, 2019 
Date of Qualifying Judgment/Order: September 9, 2019

SEC v. John C. Maccoll
Case Number: 18-cv-12473 (United States District Court for the Eastern District of Michigan)
Date Filed:  August 9, 2018
Date of Qualifying Judgment/Order:  September 3, 2019

In the Matter of Raymond James & Associates Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. 
Administrative Proceeding File No.: 3-19464
Date Filed: September 17, 2019
Date of Qualifying Judgment/Order: September 17, 2019

In the Matter of TechnipFMC, plc
Administrative Proceeding Fine No.: 3-19493
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order:  September 23, 2019

In the Matter of PricewaterhouseCoopers LLP
Administrative Proceeding No.: 3-19490
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: September 23, 2019

In the Matter of The Bancorp, Inc. 
Administrative Proceeding No.: 3-19477
Date Filed: September 20, 2019
Date of Qualifying Judgment/Order: September 20, 2019

In the Matter of Marvell Technology Group, Ltd. 
Administrative Proceeding No.: 3-19454
Date Filed: September 16, 2019
Date of Qualifying Judgment/Order: September 16, 2019

In the Matter of Comscore, Inc. 
Administrative Proceeding No.: 3-19499
Date Filed: September 24, 2019 
Date of Qualifying Judgment/Order: September 24, 2019

In the Matter of Quad/Graphics, Inc.
Administrative Proceeding No.: 3-19531
Date Filed: September 26, 2019 
Date of Qualifying Judgment/Order: September 26, 2019

In the Matter of Sigma Planning Corp. 
Administrative Proceeding No.: 3-19472
Date Filed: September 19, 2019 
Date of Qualifying Judgment/Order: September 19, 2019

SEC v. Longfin Corp., and Venkata S. Meenavalli
Case Number: 19-cv-05296 (United States District Court for the Southern District of New York)
Date Filed: June 5, 2019 
Date of Qualifying Judgment/Order: September 26, 2019

In the Matter of Nissan Motor Co., LTD.
Administrative Proceeding No.: 3-19492
Date Filed: September 23, 2019 
Date of Qualifying Judgment/Order: September 23, 2019

In the Matter of AST Investment Services, Inc. and PGIM Investments LLC
Administrative Proceeding No.: 3-19455
Date Filed: September 16, 2019 
Date of Qualifying Judgment/Order: September 16, 2019

In the Matter of BMO Capital Markets Corp.
Administrative Proceeding No.: 3-19457
Date Filed: September 16, 2019 
Date of Qualifying Judgment/Order: September 16, 2019

In the Matter of Stifel, Nicolaus & Company, Incorporated
Administrative Proceeding No.: 3-19458
Date Filed: September 16, 2019 
Date of Qualifying Judgment/Order: September 16, 2019

SEC v. Daniel Rivas, James Moodhe, Roberto Rodriquez, Rodolfo Sablon, Jhonatan Zoquier, Michael Siva, and Jeffert Rogiers
Case Number: 17-cv-06192 (United States District Court for the Southern District of New York)
Date Filed: August 16, 2017 
Date of Qualifying Judgment/Order: September 23, 2019

In the Matter of TMC Bonds LLC
Administrative Proceeding No.: 3-19501
Date Filed: September 24, 2019 
Date of Qualifying Judgment/Order: September 24, 2019

In the Matter of Juniper Networks, Inc.
Administrative Proceeding File No.: 3-19397
Date Filed: August 29, 2019
Date of Qualifying Judgment/Order: August 29, 2019

In the Matter of Deutsche Bank AG
Administrative Proceeding File No.: 3-19373
Date Filed: August 22, 2019
Date of Qualifying Judgment/Order: August 22, 2019

SEC v. Facebook, Inc.
Case Number: 19-cv-04241 (United States District Court for the Northern District of California)
Date Filed: July 24, 2019
Date of Qualifying Judgment/Order: August 22, 2019

In the Matter of Brixmor Property Group Inc.
Administrative Proceeding File No.: 3-19300
Date Filed: August 1, 2019
Date of Qualifying Judgment/Order: August 1, 2019

In the Matter of BMO Capital Markets Corporation
Administrative Proceeding File No.: 3-19356
Date Filed: August 16, 2019
Date of Qualifying Judgment/Order: August 16, 2019

SEC v. Equal Earth, Inc., Andrew J. Duggan, and Ghassan Hamade a/k/a Mark Hamade
Case Number: 19-cv-01138 (United States District Court for the Southern District of California)
Date Filed: June 17, 2019
Date of Qualifying Judgment/Order: August 2, 2019

SEC v. Andrew I. Farmer, Eddie D. Austin, Jr., Scott R. Sieck, Carolyn P. Austin, and John D. Brotherton
Case Number: 19-cv-01774 (United States District Court for the Southern District of Texas)
Date Filed: May 15, 2019
Date of Qualifying Judgment/Order: July 31, 2019

SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc. and Global Transition Solutions, LLC
Case Number: 16-cv-04291 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: August 8, 2016
Date of Qualifying Judgment/Order: July 22, 2019

SEC v. BitQyck, Inc., Bruce E. Bise, and Samuel J. Mendez
Case Number: 19-cv-02059 (United States District Court for the Northern District of Texas)
Date Filed: August 29, 2019
Date of Qualifying Judgment/Order: August 30, 2019

In the Matter of Alfred C. Teran
Administrative Proceeding File No.: 3-18098
Date Filed: September 5, 2019
Date of Qualifying Judgment/Order: September 5, 2019

SEC v. 1 Global Capital LLC, and Carl Ruderman
Case Number: 18-cv-61991 (United States District Court for the Southern District of Florida)
Date Filed: August 23, 2018
Date of Qualifying Judgment/Order: August 13, 2019

SEC v. Henry J. Wieniewitz, and Wieniewitz Financial, LLC
Case Number: 19-cv-61738 (United States District Court for the Southern District of Florida)
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: August 14, 2019

In the Matter of Lefavi Wealth Management, Inc.
Administrative Proceeding File No.: 3-19411
Date Filed: September 3, 2019
Date of Qualifying Judgment/Order: September 3, 2019

In the Matter of The Options Clearing Corporation
Administrative Proceeding File No.: 3-19416
Date Filed: September 4, 2019
Date of Qualifying Judgment/Order: September 4, 2019

SEC v. Sean Kelly; Lion’s Share & Associates, Inc; Lionsshare Tax Services, LLC; and Lion’s Share Financial of East Cobb, Inc.
Case Number: 18-cv-04939 (United States District Court for the Northern District of Georgia)
Date Filed: October 25, 2018
Date of Qualifying Judgment/Order: July 12, 2019

SEC v. Donald Watkins Sr., Esq., Watkins Pencor, LLC, Masada Resource Group, LLC
Case Number: 16-cv-03298 (United States District Court for the Northern District of Georgia)
Date Filed: September 1, 2016
Date of Qualifying Judgment/Order: July 11, 2019

SEC v. Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
Case Number: 18-cv-00293 (United States District Court for the Central District of California)
Date Filed: February 20, 2018
Date of Qualifying Judgment/Order: August 21, 2019
 

SEC v. Terminus Energy, Inc. Danny B. Pratte, Joseph L. Pittera, George Doumanis, Emanuel Pantelakis, and Joseph Alborano
Case Number: 17-cv-01117 (United States District Court for the Southern District of New York)
Date Filed: February 14, 2017
Date of Qualifying Judgment/Order: August 5, 2019

In the Matter of Microsoft Corporation
Administrative Proceeding File No.: 3-19260
Date Filed: July 22, 2019
Date of Qualifying Judgment/Order: July 22, 2019

In the Matter of Nomura Securities International, Inc.
Administrative Proceeding File No.: 3-19249
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: July 15, 2019

SEC v. AR Capital, LLC, Nicholas S. Schorsch, and Brian S. Block
Case Number: 19-cv-06603 (United States District Court for the Southern District of New York)
Date Filed: July 16, 2019
Date of Qualifying Judgment/Order: July 17, 2019

SEC v. Robert Donald Bruce Genovese, B.G. Capital Group, LTD., Abraham “Avi” Mirman
Case Number: 17-cv-05821 (United States District Court for the Southern District of New York)
Date Filed: August 1, 2017
Date of Qualifying Judgment/Order: July 1, 2019

SEC v. Conn’s, Inc. and Michael J. Poppe
Case Number: 19-cv-02534 (United States District Court for the Southern District of Texas)
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: July 16, 2019

In the Matter of Robert L. Baker, Jacob B. Herrera, Michael D. Bowen, and Terrence A. Ballard
Administrative Proceeding File No.: 3-17716
Date Filed: July 24, 2019
Date of Qualifying Judgment/Order: July 24, 2019

SEC v. Thomas H. Laws
Case Number: 18-cv-01063 (United States District Court for the District of New Mexico)
Date Filed: November 15, 2018
Date of Qualifying Judgment/Order: June 28, 2019

SEC v. Ernest J. Romer, III
Case Number: 18-cv-12927 (United States District Court for the Eastern District of Michigan)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: July 17, 2019

SEC v. Ronald Van Den Heuvel, and Green Box NA Detroit, LLC
Case Number: 17-cv-01261 (United States District Court for the Eastern District of Wisconsin)
Date Filed: September 19, 2017
Date of Qualifying Judgment/Order: July 18, 2019

In the Matter of Nomura Securities International, Inc.
Administrative Proceeding File No.: 3-19248
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: July 15, 2019

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
Case Number: 17-cv-00393 (United States District Court for the District of New Jersey)
Date Filed: January 20, 2017
Date of Qualifying Judgment/Order: July 8, 2019

SEC v. Amit Kanodia and Iftikar Ahmed
Case Number: 15-cv-13042 (United States District Court for the District of Massachusetts)
Date Filed: April 2, 2015
Date of Qualifying Judgment/Order: July 8, 2019

In the Matter of Industrial and Commercial Bank of China Financial Services LLC
Administrative Proceeding File No.: 3-19202
Date Filed: June 14, 2019
Date of Qualifying Judgment/Order: June 14, 2019

In the Matter of Wedbush Securities, Inc.
Administrative Proceeding File No.: 3-19205
Date Filed: June 18, 2019
Date of Qualifying Judgment/Order: June 18, 2019

SEC v. Carol Ann Pedersen
Case Number: 19-cv-02069 (United States District Court for the Central District of California)
Date Filed: March 20, 2019
Date of Qualifying Judgment/Order: April 1, 2019

SEC v. Ralph T. Iannelli and Essex Capital Corporation
Case Number: 18-cv-05008 (United States District Court for the Central District of California)
Date Filed: June 5, 2018
Date of Qualifying Judgment/Order: June 6, 2019

SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, and Dorababu Penumarthi
Case Number: 18-cv-02977 (United States District Court for the Southern District of New York)
Date Filed: April 4, 2018
Date of Qualifying Judgment/Order: June 7, 2019

SEC v. James E. Hocker
Case Number: 18-cv-01251 (United States District Court for the Middle District of Pennsylvania)
Date Filed: June 21, 2018
Date of Qualifying Judgment/Order: May 31, 2019

SEC v. Edward Lee Moody, Jr. and CM Capital Management, LLC
Case Number: 18-cv-00442 (United States District Court for the Eastern District of Virginia)
Date Filed: June 27, 2018
Date of Qualifying Judgment/Order: June 13, 2019
 

In the Matter of KPMG LLP
Administrative Proceeding File No.: 3-19203
Date Filed: June 17, 2019
Date of Qualifying Judgment/Order: June 17, 2019

In the Matter of Walmart Inc.
Administrative Proceeding File No.: 3-19207
Date Filed: June 20, 2019
Date of Qualifying Judgment/Order: June 20, 2019

SEC v. Jose G. Ramirez, Jr.
Case Number: 15-cv-02365 (United States District Court for the District of Puerto Rico)
Date Filed: September 29, 2015
Date of Qualifying Judgment/Order: June 28, 2019

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
Case Number: 13-cv-03363 (United States District Court for the District of Colorado)
Date Filed: December 12, 2013
Date of Qualifying Judgment/Order: June 28, 2019
 

SEC v. Celadon Group, Inc.
Case Number: 19-cv-01659 (United States District Court for the Southern District of Indiana)
Date Filed: April 25, 2019
Date of Qualifying Judgment/Order: July 1, 2019

SEC v. Daniel H. Glick and Financial Management Strategies, Inc.
Case Number: 17-cv-02251 (United States District Court for the Northern District of Illinois)
Date Filed: March 23, 2017
Date of Qualifying Judgment/Order: January 4, 2019

SEC v. Kimberly Pine Kitts
Case Number: 18-cv-11507 (United States District Court for the District of Massachusetts)
Date Filed: July 19, 2018
Date of Qualifying Judgment/Order: June 3, 2019

SEC v. Zev Saltsman, Menachem Eitan, Martin E. Weisberg, Edward G. Newman, Steven A. Newman, and Andrew Brown
Case Number: 07-cv-04370 (United States District Court for the Eastern District of New York)
Date Filed: October 19, 2007
Date of Qualifying Judgment/Order: June 5, 2019

SEC v. Timothy J. Atkinson, Jay Passerino, All In Publishing, LLC, William E. Berry, Berry MediaWorks, LLC, and Shmuel Pollen
Case Number: 18-cv-23993 (United States District Court for the Southern District of Florida)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: June 5, 2019

Wealth Strategy Partners, LLP, Harvey Altholtz, Stevens Resources Group, LLC, George Q. Stevens, and Wealth Strategy Partners, LC
Case Number: 14-cv-02427 (United States District Court for the Middle District of Florida)
Date Filed: September 25, 2014
Date of Qualifying Judgment/Order: June 17, 2019

In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-19221
Date Filed: June 27, 2019
Date of Qualifying Judgment/Order: June 27, 2019

In the Matter of Fieldstone Financial Management Group, LLC and Kristofor R. Behn
Administrative Proceeding File No.: 3-19227
Date Filed: July 1, 2019
Date of Qualifying Judgment/Order: July 1, 2019

SEC v. Amrit J. S. Chahal
Case Number: 18-cv-00426 (United States District Court for the Eastern District of Virginia)
Date Filed: April 12, 2018
Date of Qualifying Judgment/Order: June 21, 2019

SEC v. Donald Milne III and Instaprin Pharmaceuticals, Inc.
Case Number: 19-cv-13024 (United States District Court for the District of New Jersey)
Date Filed: May 29, 2019
Date of Qualifying Judgment/Order: June 6, 2019

SEC v. Matthew A. Krimm and Krimm Financial Services, LLC
Case Number: 17-cv-00464 (United States District Court for the District of Delaware )
Date Filed: April 25, 2017
Date of Qualifying Judgment/Order: May 28, 2019

In the Matter of Deer Park Road Management Company, LP, and Scott E. Burg
Administrative Proceeding File No.: 3-19190
Date Filed: June 4, 2019
Date of Qualifying Judgment/Order: June 4, 2019

SEC v. Devon D. Archer, Bevan T. Cooney, Hugh Dunkerley, Jason W. Galanis, John P. Galanis, Gary T. Hirst, Michelle A. Morton, and Francisco Martin
Case Number: 16-cv-03505 (United States District Court for the Southern District of New York )
Date Filed: May 11, 2016
Date of Qualifying Judgment/Order: May 28, 2019

SEC v. Robert S. “Lute” Davis, Jr., Donald Anthony Mackenzie, Aaron R. Andrew, Jeffrey L. Wendel, Randy T. Rondberg, Richard Fritts, Marcus Bradford Bray, Gregory W. Anderson, Claude Steve Mosley, Gregory A. Koch, Old Security Financial Group, Inc., Paramount Financial Services, Inc., d/b/a Live Abundant, Wendel Financial Network, LLC, a/k/a Wendel Retirement Planning, Trager LLC, Fritts Financial, LLC, Bradford Solutions, LLC, Balanced Financial, LLC, Security Financial, LLC, and Koch Insurance Brokers, LLC
Case Number: 18-cv-10481 (United States District Court for the Central District of California)
Date Filed: December 18, 2018
Date of Qualifying Judgment/Order: May 6, 2019

In the Matter of Telefônica Brasil S.A.
Administrative Proceeding File No.: 3-19162
Date Filed: May 9, 2019
Date of Qualifying Judgment/Order: May 9, 2019
 

SEC v. Jeffrey D. Martin, Thomas L. Tedrow, Christian T. Tedrow, Tyler T. Tedrow, Beaufort Capital Partners LLC, and Robert P. Marino
Case Number: 17-cv-01385 (United States District Court for the Middle District of Florida)
Date Filed: July 27, 2017
Date of Qualifying Judgment/Order: October 31, 2018
 

SEC v. Sonya D. Camarco
Case Number: 17-cv-02027 (United States District Court for the District of Colorado)
Date Filed: August 23, 2017
Date of Qualifying Judgment/Order: April 9, 2019

SEC v. Cash Capital, LLC, America’s Strategic Ore Properties, LLC, and Robert W. Wilson
Case Number: 17-cv-01536 (United States District Court for the Southern District of California)
Date Filed: July 28, 2017
Date of Qualifying Judgment/Order: April 25, 2019

SEC v. Kristine L. Johnson, Tory A. Barnes, and Work with Troy Barnes, Inc. (d/b/a The Achieve Community)
Case Number: 15-cv-00299 (United States District Court for the District of Colorado)
Date Filed: February 12, 2015
Date of Qualifying Judgment/Order: May 10, 2019

SEC v. DFRF Enterprises LLC, DFRF Enterprises, LLC; Daniel Fernandes Rojo Filho, Wanderley M. Dalman, Gaspar C. Jesus, Eduardo N. Da Silva, Heriberto C. Perez Valdes, Jeffrey A. Feldman and Romildo Da Cunha
Case Number: 15-cv-12857 (United States District Court for the District of Massachusetts)
Date Filed: June 30, 2015
Date of Qualifying Judgment/Order: May 14, 2019
 

SEC v. Blackbird Capital Partners, LLC, Andrew D. Kelley, and Paul H. Shumway
Case Number: 16-cv-01199 (United States District Court for the District of Utah)
Date Filed: November 28, 2016
Date of Qualifying Judgment/Order: March 29, 2019

SEC v. Daniel Mattes
Case Number: 19-cv-01689 (United States District Court for the Northern District of California)
Date Filed: April 2, 2019
Date of Qualifying Judgment/Order: May 15, 2019

SEC v. Howard M. Appel
Case Number: 18-cv-03200 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: July 27, 2018
Date of Qualifying Judgment/Order: May 10, 2019

SEC v. James Thomas Bramlette; The Pelorus Group, LLC; Anthony Mark Hartman; Private Placement Capital Notes II, LLC; Stone Mountain Equities, LLC; Travis Kozlowski, Entelecus Fund, LLC; Aaron John Wernli
Case Number: 18-cv-00761 (United States District Court for the District of Utah)
Date Filed: September 26, 2018
Date of Qualifying Judgment/Order: April 29, 2019

SEC v. Carol J. Wayland, John C. Mueller, Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership, HP Operations, LLC, C.A.R. Leasing, LLC, Mitchell B. Dow, Barry Liss, and Steve G. Blasko
Case Number: 17-cv-01156 (United States District Court for the Central District of California)
Date Filed: July 6, 2017
Date of Qualifying Judgment/Order: May 8, 2019

SEC v. Walter C. Little and Andrew M. Berke
Case Number: 17-cv-03536 (United States District Court for the Southern District of New York)
Date Filed: May 11, 2017
Date of Qualifying Judgment/Order: February 22, 2019

SEC v. Harry Craig Dees
Case Number: 17-cv-00532 (United States District Court for the Eastern District of Tennessee)
Date Filed: December 12, 2017
Date of Qualifying Judgment/Order: May 28, 2019

SEC v. Home Solutions of America, Inc. Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O’Brien, Stephen C. Gingrich, Thomas L. Davis, and Jeffrey T. Craft
Case Number: 09-cv-02269 (United States District Court for the Northern District of Texas)
Date Filed: November 30, 2009
Date of Qualifying Judgment/Order: December 20, 2018

SEC v. Nationwide Automated Systems, Inc., Joel Gillis, and Edward Wishner
Case Number: 14-cv-07249 (United States District Court for the Central District of California)
Date Filed: September 17, 2014
Date of Qualifying Judgment/Order: April 25, 2019

In the Matter of Fresenius Medical Care AG & Co. KGaA
Administrative Proceeding File No.: 3-19126
Date Filed: March 29, 2019
Date of Qualifying Judgment/Order: March 29, 2019

In the Matter of Next Financial Group, Inc.
Administrative Proceeding File No.: 3-19066
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Prosper Funding LLC
Administrative Proceeding File No.: 3-19148
Date Filed: April 19, 2019
Date of Qualifying Judgment/Order: April 19, 2019

SEC v. Craig H. Carton, Joseph G. Meli, Advance Entertainment, LLC, Advancem LTD, Misoluki, Inc., Misoluki, LLC, Ticket Jones LLC, and Tier One Tickets, LLC
Case Number: 17-cv-06764 (United States District Court for the Southern District of New York)
Date Filed: September 6, 2017
Date of Qualifying Judgment/Order: April 11, 2019
 

SEC v. Timothy S. Batchelor
Case Number: 18-cv-00650 (United States District Court for the Northern District of Georgia)
Date Filed: February 13, 2018
Date of Qualifying Judgment/Order: February 5, 2019
 

SEC v. Michael T. Rand
Case Number: 09-cv-01780 (United States District Court for the Northern District of Georgia)
Date Filed: July 1, 2009
Date of Qualifying Judgment/Order: April 1, 2019
 

SEC v. Michael Allen Duke, Martin Delaine Lewis, Mark Christopher Parman, Kenneth Edward Shelton, and Billy Ray Statham, Jr.
Case Number: 19-cv-00857 (United States District Court for the Northern District of Texas)
Date Filed: April 8, 2019 
Date of Qualifying Judgment/Order: April 25, 2019

In the Matter of Dennis Gibbs and Sweetwater Investments, Inc.
Administrative Proceeding File No.: 3-19123
Date Filed: March 28, 2019
Date of Qualifying Judgment/Order: March 28, 2019

In the Matter of Stephens Inc.
Administrative Proceeding File No.: 3-19099
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Edward Durante, Abida Khan, Larry Werbel, Christopher Cervino, Walter Reissman, Kenneth Wise, and Evolution Partners Wealth Management LLC
Case Number: 15-cv-09874 (United States District Court for the Southern District of New York)
Date Filed: January 6, 2016
Date of Qualifying Judgment/Order: March 20, 2019

SEC v. North Star Finance LLC, Thomas G. Ellis, Yasuo Oda, Thomas H. Vetter, Michael K. Martin, Sharon L. Salinas, Capital Source Funding LLC, and  Capital Source Lending LLC
Case Number: 15-cv-01339 (United States District Court for the District of Maryland)
Date Filed: May 11, 2015
Date of Qualifying Judgment/Order: February 7, 2019

SEC v. Adam C. Derbyshire
Case Number: 18-cv-08891 (United States District Court for the Southern District of New York)
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: April 4, 2019

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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