Published date grouping
Notice No.
Action
Notice Date
Claim Due Date
Published date grouping:December 2012 Notice No.:2012-130 Action:

SEC v. Well Advantage Limited, Certain Unknown Traders in the Securities of Nexen, Inc. In an Account of Phillip Securities PTE LTD., and Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Citibank NA A/C HK 4
Case number: 12-cv-5786 (United States District Court for the Southern District of New York)
Case filed: July 27, 2012
Qualifying Judgment/Order: November 7, 2012

Notice Date:12/07/2012 Claim Due Date:03/07/2013
Published date grouping:December 2012 Notice No.:2012-129 Action:

SEC v. Kenneth Ira Starr, Starr Investment Advisors, LLC, Starr & Company, LLC, and Jonathan Star Bristol
Case number: 10-cv-4270 (United States District Court for the Southern District of New York)
Case filed: May 27, 2010
Qualifying Judgment/Order: November 15, 2012

Notice Date:12/07/2012 Claim Due Date:03/07/2013
Published date grouping:December 2012 Notice No.:2012-128 Action:

SEC v. Kris Chellam
Case number: 12-cv-7983 (United States District Court for the Southern District of New York)
Case filed: October 26, 2012
Qualifying Judgment/Order: November 5, 2012

Notice Date:12/07/2012 Claim Due Date:03/07/2013
Published date grouping:December 2012 Notice No.:2012-127 Action:

SEC v. Christel S. Scucci, Karen S. Beach, Cameron H. Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLC
Case number: 12-cv-00646 (United States District Court for the Middle District of Florida)
Case filed: April 30, 2012
Qualifying Judgment/Order: November 5, 2012

Notice Date:12/07/2012 Claim Due Date:03/07/2013
Published date grouping:December 2012 Notice No.:2012-126 Action:

In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation
Administrative Proceeding File No.: 3-15098
Case filed: November 16, 2012
Qualifying Judgment/Order: November 16, 2012

Notice Date:12/07/2012 Claim Due Date:03/07/2013
Published date grouping:December 2012 Notice No.:2012-125 Action:

SEC v. Joseph J. Monterosso, Luis E. Vargas, Lawrence E. Lynch, and Timothy Huff
Case number: 7-cv-61693 (United States District Court for the Southern District of Florida)
Case filed: November 21, 2007
Qualifying Judgment/Order: November 16, 2012

Notice Date:12/07/2012 Claim Due Date:03/07/2013
Published date grouping:December 2012 Notice No.:2012-124 Action:

SEC v. Anand Sekaran and Wasson Capital Advisors Ltd.
Case number: 12-cv-8199 (United States District Court for the Southern District of New York)
Case filed: November 9, 2012
Qualifying Judgment/Order: November 26, 2012

Notice Date:12/07/2012 Claim Due Date:03/07/2013
Published date grouping:November 2012 Notice No.:2012-123 Action:

In the Matter of Massachusetts Mutual Life Insurance Company
Administrative Proceeding File No.: 3-15095
Case filed: November 15, 2012
Qualifying Judgment/Order: November 15, 2012

Notice Date:11/16/2012 Claim Due Date:02/14/2013
Published date grouping:November 2012 Notice No.:2012-122 Action:

SEC v. Private Equity Management Group, Inc.; Private Equity Management Group, LLC; and Danny Pang
Case number: 09-cv-2901 (United States District Court for the Central District of California)
Case filed: April 24, 2009
Qualifying Judgment/Order: October 22, 2012

Notice Date:11/16/2012 Claim Due Date:02/14/2013
Published date grouping:November 2012 Notice No.:2012-121 Action:

SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc
Case number: 04-cv-7377 (United States District Court for the Northern District of Illinois)
Case filed: November 15, 2004
Qualifying Judgment/Order: October 9, 2012

Notice Date:11/16/2012 Claim Due Date:02/14/2013
Published date grouping:November 2012 Notice No.:2012-120 Action:

SEC v. Jonathan R. Curshen, Michael S. Krome, David C. Ricci, Ronny Morales Salazar, Robert L. Weidenbaum, Ariav "Eric" Weinbaum, and Yitzchak Zigdon a/k/a Izhack Zigdon
Case number: 11-cv-20561 (United States District Court for the Southern District of Florida)
Case filed: February 18, 2011
Qualifying Judgment/Order: October 9, 2012

Notice Date:11/16/2012 Claim Due Date:02/14/2013
Published date grouping:November 2012 Notice No.:2012-119 Action:

SEC v. East Delta Resources Corp., Victor Sun, David Amsel, and Mayer Amsel
Case number: 10-cv-00310 (United States District Court for the Eastern District of New York)
Case filed: January 26, 2010
Qualifying Judgment/Order: October 18, 2012

Notice Date:11/16/2012 Claim Due Date:02/14/2013
Published date grouping:November 2012 Notice No.:2012-118 Action:

SEC v. James S. Quay, a/k/a Jim Quay, a/k/a Stephen Quay, a/k/a Stephen Jameson, and Jeffrey A. Quay
Case number: 12-cv-3429 (United States District Court for the Northern District of Georgia)
Case filed: October 2, 2012
Qualifying Judgment/Order: October 19, 2012

Notice Date:11/16/2012 Claim Due Date:02/14/2013
Published date grouping:November 2012 Notice No.:2012-117 Action:

SEC v.Fabrizio Neves and Jose Luna
Case number: 12-cv-23131 (United States District Court for the Southern District of Florida)
Case filed: August 29, 2012
Qualifying Judgment/Order: August 31, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-116 Action:

SEC v. Robert L. Buckhannon, Terry D. Rawstern, Dale E. St. Jean, Gregory D. Tindall, Richard D. Mittasch, Christopher T. Paganes, Glenn M. Barikmo, and Imperium Investment Advisors, LLC
Case number: 10-cv-02859 (United States District Court for the Middle District of Florida)
Case filed: December 21, 2010
Qualifying judgment/order: September 25, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-115 Action:

SEC v. John Scott Clark, Impact Cash, LLC, a Utah Limited Liability Company and Impact Payment Systems, LLC a Nevada Limited Liability Company
Case number: 11-cv-0046 (United States District Court for the District of Utah)
Case filed: March 25, 2011
Qualifying Judgment/Order: September 6, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-114 Action:

In the Matter of Hold Brothers On-Line Investment Services, LLC, Demostrate, LLC, Trade Alpha Corporate, Ltd, Steven Hold, Robert Vallone, and William Tobias
Administrative Proceeding File No.: 3-15046
Case filed: September 25, 2012
Qualifying Judgment/Order: September 24, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-113 Action:

SEC v. ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore
Case number: 10-cv-4791 (United States District Court for the Southern District of New York)
Case filed: June 21, 2010
Qualifying Judgment/Order: September 6, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-112 Action:

SEC v. Orthofix International N.V
Case number: 12-cv-419 (United States District Court for the Eastern District of Texas)
Case filed: July 10, 2012
Qualifying Judgment/Order: September 4, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-111 Action:

In the Matter of New York Stock Exchange LLC, and NYSE Euronext
Administrative Proceeding File No.: 3-15023
Case filed: September 14, 2012
Qualifying Judgment/Order: September 4, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-110 Action:

SEC v. Blackout Media Corporation, formerly known as First Canadian American Holding Corporation, and Sandy Winick
Case number: 09-cv-5454 (United States District Court for the Southern District of New York)
Case filed: June 12, 2009
Qualifying Judgment/Order: September 14, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-109 Action:

SEC v. Homeland Safety International, Inc. F/K/A Sniffex, Inc.; Mark B. Lindberg; Petar D. Mihaylov; Yuri P. Markov; Paul B. Johnson; Nicholas V. Klausgaard; and Ilona V. Klausgaard
Case number: 08-cv-01197 (United States District Court for the Northern District of Texas)
Case filed: July 15, 2010
Qualifying Judgment/Order: September 19, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-108 Action:

SEC v. Neil V. Moody and Christopher D. Moody
Case number: 10-cv-0053 (United States District Court for the Middle District of Florida)
Case filed: January 11, 2010
Qualifying Judgment/Order: September 7, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-107 Action:

SEC v. Larry Michael Parrish
Case number: 11-cv-00558 (United States District Court for the District of Colorado)
Case filed: March 7, 2011
Qualifying Judgment/Order: September 25, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-106 Action:

SEC. v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy
Case number: 09-cv-2676 (United States District Court for the District of Colorado)
Case filed: November 16, 2009
Qualifying Judgment/Order: September 13, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-105 Action:

In the Matter of Advanced Equities, Inc., Dwight O. Badger, and Keith G. Daubenspeck 
Administrative Proceeding File No.: 3-15048
Case filed: September 18, 2012
Qualifying Judgment/Order: September 18, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:November 2012 Notice No.:2012-104 Action:

In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-15048
Case filed: September 27, 2012
Qualifying Judgment/Order: September 27, 2012

Notice Date:11/08/2012 Claim Due Date:02/06/2013
Published date grouping:October 2012 Notice No.:2012-103 Action:

SEC v. Oracle Corporation
Case number: 12-cv-4310 (United States District Court for the Northern District of California)
Case filed: August 16, 2012
Qualifying Judgment/Order: August 27, 2012

Notice Date:10/02/2012 Claim Due Date:12/31/2012
Published date grouping:October 2012 Notice No.:2012-102 Action:

SEC v. Irwin Boock, Stanton B. J. DeFreitas, Nicolette D. Loisel, Roger L. Shoss, and Jason C. Wong
Case number: 09-cv-8261 (United States District Court for the Southern District of New York)
Case filed: September 29, 2009
Qualifying Judgment/Order: August 2, 2012

Notice Date:10/02/2012 Claim Due Date:12/31/2012
Published date grouping:October 2012 Notice No.:2012-101 Action:

SEC. v. Wyeth LLC
Case number: 12-cv-1304 (United States District Court for the District of Columbia)
Case filed: August 7, 2012
Qualifying Judgment/Order: August 29, 2012

Notice Date:10/02/2012 Claim Due Date:12/31/2012
Published date grouping:October 2012 Notice No.:2012-100 Action:

SEC v. Pfizer Inc.
Case number: 12-cv-1303 (United States District Court for the District of Columbia)
Case filed: August 7, 2012
Qualifying Judgment/Order: August 28, 2012

Notice Date:10/02/2012 Claim Due Date:12/31/2012
Published date grouping:October 2012 Notice No.:2012-99 Action:

SEC. v Nancy Shao Wen Chu, Elizabeth Tsang, aka Yuen Yee Tsang, and Eric Jon Strasser
Case number: 11-cv-09859 (United States District Court for the Central District of California)
Case filed: November 29, 2011
Qualifying Judgment/Order: August 8, 2012

Notice Date:10/02/2012 Claim Due Date:12/31/2012
Published date grouping:October 2012 Notice No.:2012-98 Action:

In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Well Fargo Securities, LLC and Shawn Patrick McMurtry
Administrative Proceeding File No.: 3-14982
Case filed: August 14, 2012
Qualifying Judgment/Order: August 14, 2012

Notice Date:10/02/2012 Claim Due Date:12/31/2012
Published date grouping:October 2012 Notice No.:2012-97 Action:

SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC
Case number: 11-cv-0056 (United States District Court for the Northern District of Georgia)
Case filed: January 6, 2011
Qualifying Judgment/Order: August 28, 2012

Notice Date:10/02/2012 Claim Due Date:12/31/2012
Published date grouping:September 2012 Notice No.:2012-96 Action:

In the Matter of Jeffrey A. Wolfson, Robert A. Wolfson, and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC)
Administrative Proceeding File No.: 3-14726
Case filed: July 17, 2012
Qualifying Judgment/Order: July 17, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-95 Action:

SEC v. Titan Wealth Management, LLC, Point West Partners, LLC, and Thomas Lester Irby II
Case number: 09-cv-00418 (United States District Court for the Eastern District of Texas)
Case filed: August 25, 2009
Qualifying Judgment/Order: July 6, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-94 Action:

SEC v. Omar Ali Rizvi, Bellwether Venture Capital Fund I, Inc., and Strategy Partners, LLC
Case number: 10-cv-1632 (United States for the Eastern District of Texas)
Case filed: July 31, 2009
Qualifying Judgment/Order: July 24, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-93 Action:

SEC v. Mizuho Securities USA Inc.
Case number: 12-cv-5550 (United States District Court for the Southern District of New York)
Case filed: July 18, 2012
Qualifying Judgment/Order: July 26, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-92 Action:

SEC v. Jeffrey Alan Lowrance and First Capital Savings & Loan, Ltd.
Case number: 11-cv-3451 (United States District Court for the Northern District of California)
Case filed: July 14, 2011
Qualifying Judgment/Order: July 19, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-91 Action:

In the Matter of Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA
Administrative Proceeding File No.: 3-14958
Case filed: July 19, 2012
Qualifying Judgment/Order: July 19, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-90 Action:

SEC v. William K. Harrison and Eddie W. Sawyers
Case number: 10-cv-634 (United States District Court for the Western District of North Carolina)
Case filed: December 15, 2010
Qualifying Judgment/Order: July 24, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-89 Action:

SEC v. Harbert Management Corporation, HMC-New York Inc., and HMC Investors, LLC
Case number: 12-cv-5029 (United States District Court for the Southern District of New York)
Case filed: June 27, 2012
Qualifying Judgment/Order: July 3, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-88 Action:

SEC v. Falconstor Software, Inc.
Case number: 12-cv-3200 (United States District Court for the Eastern District of New York)
Case filed: June 27, 2012
Qualifying Judgment/Order: July 9, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-87 Action:

SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates Inc.
Case number: 09-cv-7594 (United States District Court for the Southern District of New York)
Case filed: September 1, 2009
Qualifying Judgment/Order: July 26, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-86 Action:

In the Matter of Delaware Asset Advisers and Wei (Alex) Wei
Administrative Proceeding File No.: 3-14952
Case filed: July 18, 2012
Qualifying Judgment/Order: July 18, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-85 Action:

SEC v. Manuel M. Bello, Ayuda Equity Funding LLC, and Amerifund Capital Holdings, LLC
Case number: 12-cv-3794 (United States District Court for the District of New Jersey)
Case filed: June 25, 2012
Qualifying Judgment/Order: July 5, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-83 Action:

SEC v. AMMB Consultant Sendirian Berhad
Case number: 12-cv-1052 (United States District Court for the District of Columbia)
Case filed: June 26, 2012
Qualifying Judgment/Order: July 13, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:September 2012 Notice No.:2012-84 Action:

SEC v. Armor Holdings, Inc.
Case number: 11-cv-1271 (United States District Court for the District of Columbia)
Case filed: July 13, 2011
Qualifying Judgment/Order: July 23, 2012

Notice Date:09/04/2012 Claim Due Date:12/03/2012
Published date grouping:August 2012 Notice No.:2012-81 Action:

In the Matter of Harbinger Capital Partners, LLC
Administrative Proceeding File No.: 3-14928
Case filed: June 27, 2012
Qualifying Judgment/Order: June 27, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-80 Action:

In the Matter of Howard L. Blum
Administrative Proceeding File No.: 3-14924
Case filed: June 21, 2012
Qualifying Judgment/Order: June 21, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-79 Action:

SEC v. Ralph R. Cioffi and Matthew M. Tannin
Case number: 08-cv-2457 (United States District Court for the Eastern District of New York)
Case filed: June 19, 2008
Qualifying Judgment/Order: June 18, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-78 Action:

SEC v. Kevan D. Acord, Philip C. Growney, Alberto J. Perez, Jose G. Perez, Sebastian De La Maza, and Thomas L. Borell
Case number: 09-cv-21977 (United States District Court for the Southern District of Florida)
Case filed: July 15, 2009
Qualifying Judgment/Order: June 19, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-77 Action:

SEC v. Spyglass Equity Systems, Inc., Richard L. Carter, Preston L. Sjoblom, Tyson D. Elliott, Flatiron Capital Partners, LLC, Flatiron Systems, LLC, and David E. Howard II
Case number: 11-cv-02371 (United States District Court for the Central District of California)
Case filed: March 22, 2011
Qualifying Judgment/Order: April 5, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-76 Action:

In the Matter of OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc.
Administrative Proceeding File No.: 3-14909
Case filed: June 6, 2012
Qualifying Judgment/Order: June 6, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-75 Action:

SEC v. Phillip R. Trujillo, Wealth Management Resources, LLC, PTV 22, LLC, PTV 33, LLC, and PTV 44, LLC.
Case number: 09-cv-00403 (United States District Court for the District of Colorado)
Case filed: February 26, 2009
Qualifying Judgment/Order: June 21, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-73 Action:

SEC v. Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett
Case number: 09-cv-00786 (United States District Court for the District of Utah)
Case filed: September 2, 2009
Qualifying Judgment/Order: June 15, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-74 Action:

SEC v. Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
Case number: 11-cv-2251 (United States District Court for the District of Kansas)
Case filed: May 4, 2011
Qualifying Judgment/Order: May 22, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-72 Action:

SEC v. Phillip W. Offill, Jr., David B. Stocker, Curtis-Case, Inc., Shane A. Mullholand, Ryan M. Reynolds, Timothy T. Page, Steven P. Fischer, RSMR Capital Group, Inc., Dissemination Services, L.L.C., Page Properties, L.P., and ATN Enterprises, L.L.C.
Case number: 09-cv-00786 (United States District Court for the District of Utah)
Case filed: September 2, 2009
Qualifying Judgment/Order: June 15, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:August 2012 Notice No.:2012-82 Action:

SEC v. Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori
Case number: 12-cv-3960 (United States District Court for the Central District of California)
Case filed: May 8, 2012
Qualifying Judgment/Order: June 1, 2012

Notice Date:08/01/2012 Claim Due Date:10/30/2012
Published date grouping:July 2012 Notice No.:2012-70 Action:

SEC v. Robert Glenn Bard and Vision Specialist Group, LLC
Case number: 09-cv-1473 (United States District Court for the Middle District of Pennsylvania)
Case filed: July 30, 2009
Qualifying Judgment/Order: May 23, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-69 Action:

SEC v. H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC
Case number: 11-cv-5448 (United States District Court for the Southern District of New York)
Case filed: August 8, 2011 (amended complaint filed October 25, 2011)
Qualifying Judgment/Order: June 1, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-68 Action:

SEC v. Strategic Management & Opportunity Corporation; Robert J. Pratt, and Jeffrey A. Brommer
Case number: 08-cv-00197 (United States District Court for the Western District of Washington)
Case filed: February 6, 2008
Qualifying Judgment/Order: May 25, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-67 Action:

In the Matter of Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino
Administrative Proceeding File No.: 3-14893
Case filed: May 29, 2012
Qualifying Judgment/Order: May 29, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-66 Action:

SEC v. James Roland Dial, Evan Nicolas Jarvis, and Alexander W. Ellerman
Case number: 12-cv-01654 (United States District Court for the Southern District of Texas)
Case filed: June 1, 2012
Qualifying Judgment/Order: June 5, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-65 Action:

SEC v. James Clements and Zeina Smidi
Case number: 11-cv-60673 (United States District Court for the Southern District of Florida)
Case filed: March 30, 2011
Qualifying Judgment/Order: May 21, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-64 Action:

SEC v. Wealth Management LLC; James Putman; and Simone Fevola
Case number: 09-cv-00506 (United States District Court for the Eastern District of Wisconsin)
Case filed: May 20, 2009
Qualifying Judgment/Order: May 21, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-63 Action:

SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc.
Case number: 04-cv-7377 (United States District Court for the Northern District of Illinois)
Case filed: November 16, 2004
Qualifying Judgment/Order: April 24, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-62 Action:

SEC v. New Futures Trading International Corporation and Henry Roche
Case number: 11-cv-00532 (United States District Court for the District of New Hampshire)
Case filed: November 16, 2011
Qualifying Judgment/Order: May 25, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-61 Action:

SEC v. U.S. Sustainable Energy Corp., John H. Rivera
Case number: 08-cv-00245 (United States District Court for the Southern District of Mississippi)
Case filed: July 17, 2008
Qualifying Judgment/Order: May 21, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:July 2012 Notice No.:2012-71 Action:

SEC v. Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group
Case number: 11-cv-4741 (United States District Court for the Northern District of California)
Case filed: September 26, 2011
Qualifying Judgment/Order: May 16, 2012

Notice Date:07/05/2012 Claim Due Date:10/03/2012
Published date grouping:June 2012 Notice No.:2012-60 Action:

SEC v. Paul R. Beckwith
Case number: 10-cv-00162 (United States District Court for the District of Utah)
Case filed: September 27, 2010
Qualifying Judgment/Order: May 9, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-59 Action:

SEC v. Matthew H. Kluger and Garrett D. Bauer
Case number: 11-cv-01936 (United States District Court for the District of New Jersey)
Case filed: April 6, 2011
Qualifying Judgment/Order: May 2, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-58 Action:

In the Matter of Gualario & Co., LLC and Ronald Gualario
Administrative Proceeding File No.: 3-14340
Case filed: April 8, 2011
Qualifying Judgment/Order: February 14, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-57 Action:

SEC v. Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla
Case number: 00-cv-07898 (United States District Court for the Southern District of New York)
Case filed: October 17, 2000
Qualifying Judgment/Order: April 5, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-56 Action:

SEC v. Francois E. Durmaz (aka Mahmut E. Durmaz), Robert C. Pribilski, USA Retirement Management Services (aka USA Financial Management Services, Inc.)
Case number: 10-cv-01689 (United States District Court for the Central District of California)
Case filed: March 9, 2010
Qualifying Judgment/Order: April 12, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-55 Action:

SEC v. Marco Glisson
Case number: 09-cv-00104 (United States District Court for the District of Nevada)
Case filed: January 15, 2009
Qualifying Judgment/Order: April 11, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-54 Action:

In the Matter of Martin Currie Inc., and Martin Currie Investment Management Ltd.
Administrative Proceeding File No.: 3-14873
Case filed: May 10, 2012
Qualifying Judgment/Order: May 10, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-53 Action:

In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-14845
Case filed: April 12, 2012
Qualifying Judgment/Order: April 12, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-52 Action:

SEC v. Garth Ronald Peterson
Case number: 12-cv-02033 (United States District Court for the Eastern District of New York)
Case filed: April 25, 2012
Qualifying Judgment/Order: May 3, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-51 Action:

SEC v. Usee, Inc., Terry E. Wiese, and Scott A. Wiese
Case number: 12-cv-01325 (United States District Court for the Northern District of Texas)
Case filed: April 30, 2012
Qualifying Judgment/Order: May 7, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-50 Action:

SEC v. Halek Energy, LLC, CBO Energy, Inc., Jason A. Halek, and Christopher Chad Wilbourn
Case number: 10-cv-01719 (United States District Court for the Northern District of Texas)
Case filed: August 31, 2010
Qualifying Judgment/Order: March 29, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-49 Action:

SEC v. Option One Mortgage Corporation n/k/a Sand Canyon Corporation
Case number: 12-cv-00633 (United States District Court for the Central District of California)
Case filed: April 24, 2012
Qualifying Judgment/Order: May 2, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-48 Action:

SEC v. Kenneth A. Dachman, Scott A. Wolf, and Stone Lion Management, Inc.
Case number: 12-cv-00821 (United States District Court for the Northern District of Illinois)
Case filed: February 6, 2012
Qualifying Judgment/Order: April 4, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-47 Action:

In the Matter of GMB Capital Management LLC n/k/a Clearstream Investments LLC, GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
Administrative Proceeding File No.: 3-14854
Case filed: April 20, 2012
Qualifying Judgment/Order: April 20, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:June 2012 Notice No.:2012-46 Action:

In the Matter of UBS Financial Services Inc. of Puerto Rico
Administrative Proceeding File No.: 3-14863
Case filed: May 1, 2012
Qualifying Judgment/Order: May 1, 2012

Notice Date:06/04/2012 Claim Due Date:09/02/2012
Published date grouping:May 2012 Notice No.:2012-45 Action:

SEC v. United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony "Tony" J. Oliva
Case number: 10-cv-00568 (United States District Court for the District of New Mexico)
Case filed: June 14, 2010
Qualifying Judgment/Order: March 2, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-44 Action:

SEC v. Petroleum Unlimited LLC, Petroleum Unlimited II LLC, Roger A. Kimmel, Jr., Harry Nyce, Michel-Jean Geraud, Robert Rossi, Joseph Valko, and Morgan Kimmel, n/k/a Morgan Petitti
Case number: 11-cv-80038 (United States District Court for the Southern District of Florida)
Case filed: January 12, 2011
Qualifying Judgment/Order: March 19, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-43 Action:

SEC v. Pentagon Capital Management PLC and Lewis Chester
Case number: 08-cv-03324 (United States District Court of the Southern District of New York)
Case filed: April 3, 2008
Qualifying Judgment/Order: March 28, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-42 Action:

SEC v. Raymond P. Morris; E & R Holdings, LLC; Wise Financial Holdings, LLC; Momentum Leasing, LLC; James L. Haley; Cornerstone Capital Fund, LLC; Vantage Point Capital, LLC; Jay J. Linford; Freedom Group, LLC; and Luc D. Nguyen
Case number: 11-cv-00021 (United States District Court for the District of Utah)
Case filed: January 6, 2011
Qualifying Judgment/Order: March 21, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-41 Action:

SEC v. Timothy J. McGee, Michael W. Zirinsky, Robert L. Zirinsky, Paulo Lam, a/k/a Paul Lam, and Marianna Sze Wan Ho
Case number: 12-cv-01296 (United States District Court for the Eastern District of Pennsylvania)
Case filed: March 13, 2012
Qualifying Judgment/Order: March 16, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-40 Action:

SEC v. Neal R. Greenberg
Case number: 11-cv-00313 (United States District Court for the District of Colorado)
Case filed: February 7, 2011
Qualifying Judgment/Order: March 13, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-39 Action:

SEC v. Matthew J. Gagnon
Case number: 10-cv-11891 (United States District Court for the Eastern District of Michigan)
Case filed: May 11, 2010
Qualifying Judgment/Order: March 22, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-38 Action:

SEC v. Brenda A. Eschbach
Case number: 12-cv-00244 (United States District Court for the Central District of California)
Case filed: February 14, 2012
Qualifying Judgment/Order: March 16, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-37 Action:

SEC v. Laurence M. Brown a/k/a Lawrence M. Brown and Ronald J. Mangini
Case number: 10-cv-05564 (United States District Court for the Southern District of New York)
Case filed: July 22, 2010
Qualifying Judgment/Order: March 22, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-36 Action:

SEC v. Biomet, Inc.
Case number: 12-cv-00454 (United States District Court for the District of Columbia)
Case filed: March 26, 2012
Qualifying Judgment/Order: March 27, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:May 2012 Notice No.:2012-35 Action:

SEC v. Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P.
Case number: 12-cv-00409 (United States District Court for the Southern District of New York)
Case filed: January 18, 2012
Qualifying Judgment/Order: April 6, 2012

Notice Date:05/02/2012 Claim Due Date:07/31/2012
Published date grouping:April 2012 Notice No.:2012-34 Action:

SEC v. mUrgent Corporation, Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski
Case number: 11-cv-00626 (United States District Court for the Central District of California)
Case filed: April 21, 2011
Qualifying Judgment/Order: March 1, 2012

Notice Date:04/03/2012 Claim Due Date:07/02/2012
Published date grouping:April 2012 Notice No.:2012-33 Action:

In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh And Mark W. Wells
Administrative Proceeding File No.: 3-13532
Case filed: June 30, 2009
Qualifying Judgment/Order: February 27, 2012

Notice Date:04/03/2012 Claim Due Date:07/02/2012
Published date grouping:April 2012 Notice No.:2012-32 Action:

SEC v. Nicos Achilleas Stephanou, Ramesh Chakrapania, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis, and Joseph Contorinis
Case number: 09-cv-1043 (United States District Court for the Southern District of New York)
Case filed: February 5, 2009
Qualifying Judgment/Order: February 29, 2012

Notice Date:04/03/2012 Claim Due Date:07/02/2012
Published date grouping:April 2012 Notice No.:2012-31 Action:

SEC v. Robert C. Butler
Case number: 11-cv-03792 (United States District Court for the Central District of California)
Case filed: May 3, 2011
Qualifying Judgment/Order: March 6, 2012

Notice Date:04/03/2012 Claim Due Date:07/02/2012
Published date grouping:April 2012 Notice No.:2012-30 Action:

SEC v. Smith & Nephew PLC
Case number: 12-cv-00187 (United States District Court for the District of Columbia)
Case filed: February 6, 2012
Qualifying Judgment/Order: March 6, 2012

Notice Date:04/03/2012 Claim Due Date:07/02/2012
Published date grouping:April 2012 Notice No.:2012-29 Action:

SEC v. Magnum d'Or Resources, Inc., Joseph J. Glusic, Shannon Allen, Dwight Flatt, and David Della Sciucca, Jr.
Case number: 11-cv-60920 (United States District Court for the Southern District of Florida)
Case filed: April 29, 2011
Qualifying Judgment/Order: February 13, 2012

Notice Date:04/03/2012 Claim Due Date:07/02/2012
Published date grouping:April 2012 Notice No.:2012-28 Action:

SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Kozlowski, and Frank T. Noyes
Case number: 05-cv-00480 (United States District Court for the District of Colorado)
Case filed: March 15, 2005
Qualifying Judgment/Order: February 3, 2012

Notice Date:04/03/2012 Claim Due Date:07/02/2012
Published date grouping:April 2012 Notice No.:2012-27 Action:

SEC v. Andrey C. Hicks and Locust Offshore Management, LLC
Case number: 11-cv-11888 (United States District Court for the District of Massachusetts)
Case filed: October 26, 2011
Qualifying Judgment/Order: March 20, 2012

Notice Date:04/03/2012 Claim Due Date:07/02/2012
Published date grouping:March 2012 Notice No.:2012-26 Action:

SEC v. Christopher T. Vulliez and Amphor Advisors, LLC
Case number: 11-cv-03458 (United States District Court for the Southern District of New York)
Case filed: May 20, 2011
Qualifying Judgment/Order: January 30, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-25 Action:

SEC v. Symbol Technologies, Inc., Tomo Razmilovic, Kenneth Jaeggi, Leonard Goldner, Brian Burke, Michael Degennaro, Frank Borghese, Christopher Desantis, James Heuschneider, Gregory Mortenson, James Dean, and Robert Donlon
Case number: 04-cv-02276 (United States District Court for the Eastern District of New York)
Case filed: June 3, 2004
Qualifying Judgment/Order: January 24, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-24 Action:

SEC v. Daniel E. Ruettiger, Rocco Brandonisio, Stephen Decesare, Pawel P. Dynkowski, Kevin S. Kaplan, Gregg R. Mulholland, Mehmet Mustafoglu, Joseph A. Padilla, Angelo R. Panetta, Kevin J. Quinn, Andrea M. Ritchie, Chad P. Smanjak, and Gary J. Yocom
Case number: 11-cv-02011 (United States District Court for the District of Nevada)
Case filed: December 16, 2011
Qualifying Judgment/Order: January 19, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-23 Action:

SEC. v. Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC
Case number: 11-cv-01143 (United States District Court for the Central District of California)
Case filed: February 7, 2011
Qualifying Judgment/Order: January 25, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-22 Action:

SEC v. Magyar Telekom, PLC and Deutsche Telekom, AG
Case number: 11-cv-09646 (United States District Court for the Southern District of New York)
Case filed: December 29, 2011
Qualifying Judgment/Order: January 3, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-21 Action:

SEC v. James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt
Case number: 11-cv-01712 (United States District Court for the District of Arizona)
Case filed: August 30, 2011
Qualifying Judgment/Order: January 12, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-20 Action:

SEC v. GE Funding Capital Market Services, Inc.
Case number: 11-cv-07465 (United States District Court for the District of New Jersey)
Case filed: December 23, 2011
Qualifying Judgment/Order: January 23, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-19 Action:

SEC v. Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation
Case number: 11-cv-02976 (United States District Court for the Central District of California)
Case filed: April 8, 2011
Qualifying Judgment/Order: January 25, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-18 Action:

SEC v. CytoCore, Inc., Daniel J. Burns, and Robert F. McCullough, Jr.
Case number: 11-cv-00246 (United States District Court for the Northern District of Illinois)
Case filed: January 13, 2011
Qualifying Judgment/Order: January 31, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-17 Action:

SEC v. Carlo G. Chiaese and C.G.C. Advisors, LLC
Case number: 10-cv-05110 (United States District Court for the District of New Jersey)
Case filed: October 5, 2010
Qualifying Judgment/Order: January 19, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-16 Action:

SEC v. Christopher Love Blackwell, AV Bar Reg, Inc., and Millers A Game, LLC
Case number: 11-cv-00234 (United States District Court for the Northern District of Texas)
Case filed: February 7, 2011
Qualifying Judgment/Order: January 4, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-15 Action:

SEC v. Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser
Case number: 11-cv-01564 (United States District Court for the Central District of California)
Case filed: October 11, 2011
Qualifying Judgment/Order: February 3, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:March 2012 Notice No.:2012-14 Action:

SEC v. Eric J. Aronson; Vincent J. Buonauro, Jr.; Robert S. Kondratick; Fredric H. Aaron; PermaPave Industries, LLC; PermaPave USA Corp.; PermaPave Distributions, Inc.; Permeable Solutions, Inc.; Verigreen, LLC; and Interlink-US-Network, Ltd.
Case number: 11-cv-07033 (United States District Court for the Southern District of New York)
Case filed: October 6, 2011
Qualifying Judgment/Order: January 19, 2012

Notice Date:03/05/2012 Claim Due Date:06/03/2012
Published date grouping:February 2012 Notice No.:2012-13 Action:

SEC v. Wachovia Bank, N.A. (n/k/a Wells Fargo Bank, N.A.)
Case number: 11-cv-07135 (United States District Court for the District of New Jersey)
Case filed: December 8, 2011
Qualifying Judgment/Order: December 9, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-12 Action:

In the Matter of Gary S. Bell
Administrative Proceeding File No.: 3-14660
Case filed: December 13, 2011
Qualifying Judgment/Order: December 13, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-11 Action:

SEC v. Mark Anthony Longoria, Daniel L. Devore, James Fleishman Bob Nguyen, Winifred Jiau, Walter Shimoon, Samir Barai, Jason Pflaum, Bakai Capital Management, Noah Freeman, and Donald Longueuil
Case number: 11-cv-00753 (United States District Court for the Southern District of New York)
Case filed: February 3, 2011
Qualifying Judgment/Order: December 23, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-10 Action:

SEC v. Alfred S. Teo, Sr., Teren Seto Handelman, MAAA Trust FBO Mark, Andrew, Alan, and Alfred Teo, Jr., John D. Reier, Charles D. Fortune, Jerrold J. Johnston, Mark J. Lauzon, Philip Sacks, Mitchell L. Sacks, Richard A. Herron, Lawrence L. Rosen, and David M. Ross
Case number: 04-cv-01815 (United States District Court for the District of New Jersey)
Case filed: April 22, 2004
Qualifying Judgment/Order: December 20, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-9 Action:

In the Matter of Investment Placement Group and Adolfo Gonzalez-Rubio
Administrative Proceeding File No.: 3-14677
Case filed: December 23, 2011
Qualifying Judgment/Order: December 23, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-8 Action:

In the Matter of Touradji Capital Management, L.P., Respondent
Administrative Proceeding File No.: 3-14658
Case filed: December 9, 2011
Qualifying Judgment/Order: December 9, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-7 Action:

SEC v. Myron Weiner
Case number: 11-cv-05731 (United States District Court for the Eastern District of New York
Case filed: November 22, 2011
Qualifying Judgment/Order: December 19, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-6 Action:

SEC v. Advanced Optics Electronics, Inc.; Leslie S. Robins; JDC Swan, Inc., and Jason Claffey
Case number: 11-cv-01321 (United States District Court for the Southern District of New York)
Case filed: February 25, 2011
Qualifying Judgment/Order: December 19, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-5 Action:

SEC v. David Ronald Allen; William F. Burbank IV; Alex Dowlatshahi; Ilya Drapkin; Christopher Mills; Gerald Patera; Robert Wilson; Associates Capital Leasing Joint Venture; Associates Funding Group, Inc.; Capital Bankers Group, Ltd.; China Voice Holding Corp.; D-Cap Associates Joint Venture; Development Capital Associates Joint Venture; Integrity Driven Network Corp.; Lucrative Enterprises, Corp.; MG TK Corp.; Silver Summit Holdings, LLC; Sleeping Bear, LLC; Strategic Capital; Synergetic Solutions, LLC; Third Securities Corp., and Townhome Communities Corp.
Case number: 11-cv-00882 (United States District Court for the Northern District of Texas)
Case filed: April 28, 2011
Qualifying Judgment/Order: December 2, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-4 Action:

SEC v. Aon Corporation
Case number: 11-cv-02256 (United States District Court for the District of Columbia)
Case filed: December 20, 2011
Qualifying Judgment/Order: December 22, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-2 Action:

SEC v. Market Street Advisors; Shawn R. Merriman; LLC-1; LLC-2; Marque LLC-3, and LLC-4
Case number: 09-cv-00786 (United States District Court for the District of Colorado)
Case filed: April 7, 2009
Qualifying Judgment/Order: December 23, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-1 Action:

SEC v. LandOak Securities, LLC; Patrick L. Martin; and Michael A. Atkins
Case number: 08-cv-00209 (United States District Court for the Eastern District of Tennessee)
Case filed: May 22, 2008
Qualifying Judgment/Order: December 1, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:February 2012 Notice No.:2012-3 Action:

SEC v. Richard Dalton and Universal Consulting Resources LLC
Case number: 10-cv-02794 (United States District Court for the District of Colorado)
Case filed: November 16, 2010
Qualifying Judgment/Order: December 7, 2011

Notice Date:02/01/2012 Claim Due Date:05/01/2012
Published date grouping:January 2012 Notice No.:2011-203 Action:

SEC v. Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, Younger America, Inc. f/k/a Infinity Acquisition Corp., and James E. Pratt
Case number: 09-cv-80524 (United States District Court for the Southern District of Florida)
Case filed: April 2, 2009

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-204 Action:

SEC v. Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal, Schotenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman
Case number: 09-cv-09208 (United States District Court for the Southern District of New York)
Case filed: November 5, 2009

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-205 Action:

In the Matter of FTN Financial Securities Corp.
Administrative Proceeding File No.: 3-14632
Case filed: November 17, 2010

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-206 Action:

SEC v. George Wesley Harris, and Giant Operating, LLC
Case number: 09-cv-01809 (United States District Court for the Northern District of Texas)
Case filed: September 28, 2009

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-207 Action:

SEC v. Maynard L. Jenkins
Case number: 09-cv-01510 (United States District Court for the District of Arizona)
Case filed: July 22, 2009

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-208 Action:

SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman
Case number: 11-cv-60432 (United States District Court for the Southern District of Florida)
Case filed: February 28, 2011

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-209 Action:

SEC v. Thomas S. Labry and Cherokee Gas Systems, Inc.
Case number: 10-cv-00018 (United States District Court for the Central District of California)
Case filed: January 7, 2010

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-210 Action:

SEC v. Cheng Yi Liang
Case number: 11-cv-00819 (United States District Court for the District of Maryland)
Case filed: March 29, 2011

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-211 Action:

In the Matter of Morgan Stanley Investment Management Inc.
Administrative Proceeding File No.: 3-14628
Case filed: November 16, 2011

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-212 Action:

SEC v. Par Three Financial, Inc. and Melvin D. Ruth
Case number: 05-cv-80779 (United States District Court for the Southern District of Florida)
Case filed: August 25, 2005

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-213 Action:

SEC v. The Regency Group, LLC, Scott F. Gelbard, Jeffrey S. Koslosky, Aaron S. Lamkin, John J. Coutris, Michael J. Coutris, J. Coutris Partners, LP, Joseph S. Fernando, Wellington Capital Enterprises, Inc., James J. Coutris, and Dimitrios I. Gountis
Case number: 09-cv-00497 (United States District Court for the District of Colorado)
Case filed: March 9, 2009

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-214 Action:

SEC v. Seaforth Meridian, Ltd., Seaforth Meridian Advisors, LLC, Seaforth Meridian Management, LLC, Alaln A. Assemi, Timothy J. Clyman, John D. Friedrich, Scott F. Klion, a/k/a James S. Tucker, and David Tanner
Case number: 06-cv-4107 (United States District Court for the District of Kansas)
Case filed: September 14, 2006

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-215 Action:

SEC v. Seisma Oil Research, LLC, a/k/a Seisma Energy Research, LLC, Seisma Energy Research, AVV, a/k/a Seisma Oil Research, AVV, Permian Asset Management, AVV, and Justin Solomon
Case number: 10-cv-00095 (United States District Court for the Northern District of Texas)
Case filed: June 16, 2010

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-216 Action:

SEC v. Dr. Joseph F. "Chip" Skowron III and Dr. Yves M. Benhamou
Case number: 10-cv-08266 (United States District Court for the Southern District of New York)
Case filed: November 2, 2010

Notice Date:01/09/2012 Claim Due Date:04/08/2012
Published date grouping:January 2012 Notice No.:2011-217 Action:

In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-14620
Case filed: November 10, 2011

Notice Date:01/09/2012 Claim Due Date:04/08/2012
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