SEC.gov | Notice of Covered Actions

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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