Notice No.:
2022-083
New
Action:
SEC v. Luis Jimenez Carrillo, Amar Bahadoorsingh, Justin Roger Wall, and Jamie Samuel Wilson
Case Number: 21-cv-11272 (United States District Court for the District of Massachusetts)
Date Filed: August 4, 2021
Date of Qualifying Judgment/Order: June 30, 2022
Notice No.:
2022-084
New
Action:
SEC v. David P. Godwin and Anthony G. Roth
Case Number: 15-cv-01414 (United States District Court for the Central District of Illinois)
Date Filed: September 30, 2015
Date of Qualifying Judgment/Order: June 13, 2022
Notice No.:
2022-085
New
Action:
SEC v. NIT Enterprises, Inc. (Delaware), NIT Enterprises, Inc. (Florida), NIT Enterprises FL, Inc., Gary R. Smith, Jason M. Ganton, and James E. Cleary
Case Number: 19-cv-24822 (United States District Court for the Southern District of Florida)
Date Filed: November 21, 2019
Date of Qualifying Judgment/Order: July 26, 2022
Notice No.:
2022-086
New
Action:
SEC v. Sky Group USA, LLC, Efrain Betancourt, Jr.
Case Number: 21-cv-23443 (United States District Court for the Southern District of Florida)
Date Filed: September 27, 2021
Date of Qualifying Judgment/Order: June 29, 2022
Notice No.:
2022-087
New
Action:
In the Matter of Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell
Administrative Proceeding File No.: 3-20932
Date Filed: July 20, 2022
Date of Qualifying Judgment/Order: July 20, 2022
Notice No.:
2022-088
New
Action:
In the Matter of UBS Financial Services, Inc.
Administrative Proceeding File No.: 3-20912
Date Filed: June 29, 2022
Date of Qualifying Judgment/Order: June 29, 2022
Notice No.:
2022-089
New
Action:
In the Matter of Private Advisor Group, LLC
Administrative Proceeding File No.: 3-20933
Date Filed: July 21, 2022
Date of Qualifying Judgment/Order: July 21, 2022
Notice No.:
2022-090
New
Action:
SEC v. Zhuobin Hong and Caixia Jiang
Case Number: 20-cv-04080 (United States District Court for the Central District of California)
Date Filed: May 4, 2020
Date of Qualifying Judgment/Order: March 9, 2022
Notice No.:
2022-091
New
Action:
SEC v. Matthew J. Skinner, Empire West Equity, Inc., Longacre Estates, LP, Bayside Equity, LP, Freedom Equity Fund LLC, and Simple Growth, LLC
Case Number: 21-cv-05273 (United States District Court for the Central District of California)
Date Filed: June 29, 2022
Date of Qualifying Judgment/Order: June 21, 2022
Notice No.:
2022-092
New
Action:
In the Matter of Stephen G. Waldis
Administrative Proceeding File No.: 3-20888
Date Filed: June 7, 2022
Date of Qualifying Judgment/Order: June 7, 2022
Notice No.:
2022-093
New
Action:
In the Matter of Equitable Financial Life Insurance Company
Administrative Proceeding File No.: 3-20931
Date Filed: July 18, 2022
Date of Qualifying Judgment/Order: July 18, 2022
Notice No.:
2022-094
New
Action:
In the Matter of Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc.
Administrative Proceeding File No.: 3-20897
Date Filed: June 13, 2022
Date of Qualifying Judgment/Order: June 13, 2022
Notice No.:
2022-095
New
Action:
SEC v. Alex Duain Forester; Michael Robert Hicks; Yarden Moshe Mony Krampf; Christopher Byungin Lee; Sean Andrew O’Neal, Michael Roy Raynor; Lee Sobel
Case Number: 20-cv-09813 (United States District Court for the Central District of California)
Date Filed: October 26, 2020
Date of Qualifying Judgment/Order: July 18, 2022
Notice No.:
2022-064
Action:
SEC v. Christopher W. Burns, Investus Advisers LLC d/b/a Dynamic Money LLC, Investus Financial LLC, and Peer Connect LLC
Case Number: 20-cv-04620 (United States District Court for the Northern District of Georgia)
Date Filed: November 12, 2020
Date of Qualifying Judgment/Order: May 25, 2022
Notice No.:
2022-065
Action:
SEC v. Patrick Churchville, Clearpath Wealth Management, LLC
Case Number: 15-cv-00191 (United States District Court for the District of Rhode Island)
Date Filed: May 7, 2015
Date of Qualifying Judgment/Order: June 1, 2022
Notice No.:
2022-067
Action:
SEC v. Frederick L. Sharp, Zhiying Yvonne Gasarch, Courtney Kelln, Mike K. Veldhuis, Paul Sexton, Jackson T. Friesen, William T. Kaitz, Avtar S. Dhillon, and Graham R. Taylor
Case Number: 21-cv-11276 (United States District Court for the District of Massachusetts)
Date Filed: August 5, 2021
Date of Qualifying Judgment/Order: May 12, 2022
Notice No.:
2022-068
Action:
In the Matter of Wells Fargo Clearing Services, LLC
Administrative Proceeding File No.: 3-20866
Date Filed: May 20, 2022
Date of Qualifying Judgment/Order: May 20, 2022
Notice No.:
2022-069
Action:
SEC v. Kenneth W. Crumbley, Jr. and Sedona Oil & Gas Corporation
Case Number: 16-cv-00172 (United States District Court for the Northern District of Texas)
Date Filed: January 21, 2016
Date of Qualifying Judgment/Order: May 12, 2022
Notice No.:
2022-070
Action:
In the Matter of Petroteq Energy, Inc., and Aleksandr Blyumkin
Administrative Proceeding File No.: 3-20898
Date Filed: June 13, 2022
Date of Qualifying Judgment/Order: June 13, 2022
Notice No.:
2022-071
Action:
SEC v. Morningstar Credit Ratings, LLC
Case Number: 21-cv-01359 (United States District Court for the Southern District of New York)
Date Filed: February 16, 2021
Date of Qualifying Judgment/Order: June 7, 2022
Notice No.:
2022-072
Action:
In the Matter of Tenaris S.A.
Administrative Proceeding File No.: 3-20875
Date Filed: June 2, 2022
Date of Qualifying Judgment/Order: June 2, 2022
Notice No.:
2022-073
Action:
In the Matter of CohnReznick LLP
Administrative Proceeding File No.: 3-20891
Date Filed: June 8, 2022
Date of Qualifying Judgment/Order: June 8, 2022
Notice No.:
2022-074
Action:
In the Matter of Egan-Jones Ratings Company and Sean Egan
Administrative Proceeding File No.: 3-20902
Date Filed: June 21, 2022
Date of Qualifying Judgment/Order: June 21, 2022
Notice No.:
2022-075
Action:
In the Matter of Ernst & Young LLP
Administrative Proceeding File No.: 3-20911
Date Filed: June 28, 2022
Date of Qualifying Judgment/Order: June 28, 2022
Notice No.:
2022-076
Action:
In the Matter of Weiss Asset Management LP
Administrative Proceeding File No.: 3-20899
Date Filed: June 14, 2022
Date of Qualifying Judgment/Order: June 14, 2022
Notice No.:
2022-077
Action:
SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla
Case Number: 21-cv-09384 (United States District Court for the Central District of California)
Date Filed: December 3, 2021
Date of Qualifying Judgment/Order: June 14, 2022
Notice No.:
2022-078
Action:
SEC v. Carl Jensen and Stephen W. Gold
Case Number: 21-cv-06817
Date Filed: August 24, 2021
Date of Qualifying Judgment/Order: May 23, 2022
Notice No.:
2022-079
Action:
In the Matter of Synchronoss Technologies, Inc.
Administrative Proceeding File No.: 3-20883
Date Filed: June 7, 2022
Date of Qualifying Judgment/Order: June 7, 2022
Notice No.:
2022-080
Action:
In the Matter of Kahn Brothers Advisors, LLC and Thomas Kahn
Administrative Proceeding File No.: 3-20880
Date Filed: June 6, 2022
Date of Qualifying Judgment/Order: June 6, 2022
Notice No.:
2022-081
Action:
In the Matter of Garrison Point Capital, LLC
Administrative Proceeding File No.: 3-20876
Date Filed: June 3, 2022
Date of Qualifying Judgment/Order: June 3, 2022
Notice No.:
2022-082
Action:
SEC v. United Health Products, Inc., Douglas Beplate, and Louis Schiliro
Case Number: 22-cv-03612 (United States District Court for the District of New Jersey)
Date Filed: June 8, 2022
Date of Qualifying Judgment/Order: June 15, 2022
Notice No.:
2022-063
Action:
SEC v. Donald E. MacCord, Jr., Shannon D. Doyle, and Digi Outdoor Media, Inc.
Case Number: 17-cv-01809 (United States District Court for the Western District of Washington)
Date Filed: December 4, 2017
Date of Qualifying Judgment/Order: May 18, 2022
Notice No.:
2022-052
Action:
In the Matter of BNY Mellon Investment Adviser, Inc.
Administrative Proceeding File No.: 3-20867
Date Filed: May 23, 2022
Date of Qualifying Order/Judgment: May 23, 2022
Notice No.:
2022-053
Action:
In the Matter of First Republic Investment Management, Inc.
Administrative Proceeding File No.: 3-20865
Date Filed: May 19, 2022
Date of Qualifying Judgment/Order: May 19, 2022
Notice No.:
2022-054
Action:
SEC v. Bernard L. Compton
Case Number: 22-cv-10791 (United States District Court for the Eastern District of Michigan)
Date Filed: April 13, 2022
Date of Qualifying Judgment/Order: April 19, 2022
Notice No.:
2022-055
Action:
In the Matter of Kimberly D. Butler, Prosperity Economics Partners, LLC, and Partners for Prosperity, LLC
Administrative Proceeding File No.: 3-20454
Date Filed: May 19, 2022
Date of Qualifying Judgment/Order: May 19, 2022
Notice No.:
2022-056
Action:
In the Matter of RiverSource Distributors, Inc.
Administrative Proceeding File No.: 3-20871
Date Filed: May 25, 2022
Date of Qualifying Judgment/Order: May 25, 2022
Notice No.:
2022-057
Action:
In the Matter of Virtua Capital Management, LLC, Quynh Palomino, Jack D. Rose, and Derek Uldricks
Administrative Proceeding File No.: 3-20869
Date Filed: May 23, 2022
Date of Qualifying Judgment/Order: May 23, 2022
Notice No.:
2022-058
Action:
In the Matter of Allianz Global Investors U.S. LLC
Administrative Proceeding File No.: 3-20855
Date Filed: May 17, 2022
Date of Qualifying Judgment/Order: May 17, 2022
Notice No.:
2022-059
Action:
In the Matter of NVIDIA Corporation
Administrative Proceeding File No.: 3-20844
Date Filed: May 6, 2022
Date of Qualifying Judgment/Order: May 6, 2022
Notice No.:
2022-060
Action:
SEC v. Sohrab (“Sam”) Sharma, Robert Farkas, and Raymond Trapani
Case Number: 18-cv-2909 (United States District Court for the Southern District of New York)
Date Filed: April 2, 2018
Date of Qualifying Judgment/Order: May 17, 2022
Notice No.:
2022-061
Action:
In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube
Administrative Proceeding File No.: 3-20836
Date Filed: April 28, 2022
Date of Qualifying Judgment/Order: April 28, 2022
Notice No.:
2022-062
Action:
SEC v. Michael A. Liberty, Brittany Liberty; Paul Hess; Richard Liberty; George Marcus, Esq.; Mozido Invesco, LLC; Family Mobile, LLC; BRTMDO, LLC Brentwood Financial, LLC; and, TL Holdings Group, LLC
Case Number: 06-cv-01030 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: March 8, 2006
Date of Qualifying Judgment/Order: May 25, 2022
Notice No.:
2022-039
Action:
SEC v. Joseph A. Meyer, Jr. and Statim Holdings, Inc.
Case Number: 18-cv-05868 (United States District Court for the Norther District of Georgia)
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: April 18, 2022
Notice No.:
2022-040
Action:
Roger Knox, Wintercap SA, Michael T. Gastauer, WB21 US Inc., Silverton SA Inc., WB21 NA Inc., C Capital Corp.,, Wintercap SA Inc. and B2 Cap Inc.
Case Number: 18-cv-12058 (United States District Court for the District of Massachusetts)
Date Filed: October 2, 2018
Date of Qualifying Judgment/Order: March 23, 2022
Notice No.:
2022-041
Action:
SEC v. Chatfield PCS Ltd., GO ECO Manufacturing, Inc., and Trajay Scarlett
Case Number: 21-cv-00641 (United States District Court for the District of Colorado)
Date Filed: March 3, 2021
Date of Qualifying Judgment/Order: March 30, 2022
Notice No.:
2022-042
Action:
SEC v. Alan H. New, David N. Knuth, Synergy Investment Services, LLC
Case Number:18-cv-03975 (United States District Court for the Southern District of Indiana)
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: April 26, 2022
Notice No.:
2022-043
Action:
In the Matter of Stericycle, Inc.
Administrative Proceeding File No.: 3-20826
Date Filed: April 20, 2022
Date of Qualifying Judgment/Order: April 20, 2022
Notice No.:
2022-044
Action:
SEC v. Airborne Wireless Network, Kalistratos Kabilafkas, Timoleon Kabilafkas, Chrysilios Chrysiliou, Panagiotis Bolovis, Jack Edward Daniels, Eric Scheffey, and Moshe Rabin
Case Number: 21-cv-1772 (United States District Court for the Southern District of New York)
Date Filed: March 2, 2021
Date of Qualifying Judgment/Order: April 4, 2022
Notice No.:
2022-045
Action:
SEC v. Nanotech Engineering, Inc., Michael James Sweaney, David Sweaney, and Jeffrey Gange
Case Number: 19-cv-03633 (United States District Court for the District of Columbia)
Date Filed: December 5, 2019
Date of Qualifying Judgment/Order: April 5, 2022
Notice No.:
2022-046
Action:
In the Matter of Rollins, Inc., and Paul Edward Northen
Administrative Proceeding File No.: 3-20824
Date Filed: April 18, 2022
Date of Qualifying Judgment/Order: April 18, 2022
Notice No.:
2022-047
Action:
SEC v. Alexander C. Burns and Andrew B. Scherr
Case Number: 18-cv-09477 (United States District Court for the Southern District of New York)
Date Filed: October 16, 2018
Date of Qualifying Judgment/Order: March 31, 2022
Notice No.:
2022-048
Action:
SEC v. Eric C. Malley and MG Capital Management, LP
Case Number: 21-cv-00237 (United States District Court for Southern District of New York)
Date Filed: January 1, 2021
Date of Qualifying Judgment/Order: March 14, 2022
Notice No.:
2022-049
Action:
SEC v. Phillip W. Conley
Case Number: 20-cv-00070 (United States District Court for the Northern District of West Virginia)
Date Filed: April 16, 2020
Date of Qualifying Judgment/Order: April 6, 2022
Notice No.:
2022-050
Action:
SEC v. Jose Luis Casero Sanchez
Case Number: 21-cv-08085 (United States District Court for the Southern District of Nw York)
Date Filed: September 29, 2021
Date of Qualifying Judgment/Order: April 7, 2022
Notice No.:
2022-051
Action:
SEC v. Benja Incorporated and Andrew J. Chapin
Case Number: 20-cv-08238 (United States District Court for the Northern District of California)
Date Filed: November 23, 2020
Date of Qualifying Judgment/Order: April 11, 2022
Notice No.:
2022-029
Action:
In the Matter of Educators Financial Services, Inc.
Administrative Proceeding File No.: 3-20792
Date Filed: March 4, 2022
Date of Qualifying Judgment/Order: March 4, 2022
Notice No.:
2022-030
Action:
In the Matter of Ameritas Advisory Services, LLC
Administrative Proceeding File No.: 3-20784
Date Filed: February 25, 2022
Date of Qualifying Judgment/Order: February 25, 2022
Notice No.:
2022-031
Action:
SEC v. Brothers Investment Group International, Inc. n/k/a Brothers International Group Inc., and Anson Jean-Pierre
Case Number: 20-cv-24842 (United States District Court for the Southern District of Florida)
Date Filed: November 24, 2020
Date of Qualifying Judgment: March 7, 2022
Notice No.:
2022-032
Action:
SEC v. Ronnie Lee Moss, Jr., Genesis E&P, Inc., Royal Oil, LLC, and Catalyst Operating, LLC
Case Number: 20-cv-00972 (United States District Court for the Eastern District of Texas)
Date Filed: December 23, 2020
Date of Qualifying Judgment: March 11, 2022
Notice No.:
2022-033
Action:
In the Matter of Mark Alan Bourgeois
Administrative Proceeding File No.: 3-20786
Date Filed: March 2, 2022
Date of Qualifying Judgment/Order: March 2, 2022
Notice No.:
2022-034
Action:
In the Matter of City National Rochdale, LLC
Administrative Proceeding File No.: 3-20789
Date Filed: March 3, 2022
Date of Qualifying Judgment/Order: March 3, 2022
Notice No.:
2022-035
Action:
SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness
Case Number: 21-cv-01507 (United States District Court for the District of Arizona)
Date Filed: September 2, 2021
Date of Qualifying Judgment/Order: September 7, 2021
Notice No.:
2022-036
Action:
SEC v. Martin Shkreli, Evan Greebel, MSMB Capital Management LLC, and MSMB Healthcare Management LLC
Case Number: 15-cv-07175 (United States District Court for the Eastern District of New York)
Date Filed: December 17, 2015
Date of Qualifying Judgment/Order: February 23, 2022
Notice No.:
2022-037
Action:
SEC v. Global Investment Strategy UK Ltd. and John William Gunn
Case Number: 20-cv-10838 (United States District Court for the Southern District of New York)
Date Filed: December 22, 2020
Date of Qualifying Judgment/Order: March 22, 2022
Notice No.:
2022-038
Action:
SEC v. Stefan Qin, Virgil Technologies LLC, Montgomery Technologies LLC, Virgil Quantitative Research LLC, Virgil Capital LLC, and VQR Partners LLC
Case Number: 20-cv-10849 (United States District Court for the Southern District of New York)
Date Filed: December 22, 2020
Date of Qualifying Judgment/Order: March 2, 2022
Notice No.:
2022-018
Action:
SEC v. Ryan Gilbertson, Thomas Howells, and Douglas Hoskins
Case Number: 16-cv-03779 (United States District Court for the District of Minnesota)
Date Filed: October 31, 2016
Date of Qualifying Judgment/Order: January 26, 2022
Notice No.:
2022-019
Action:
SEC v. Seyed Taher Kameli, Chicagoland Foreign Investment Group, LLC, and American Enterprise Pioneers, Inc.
Case Number: 17-cv-04686 (United States District Court for the Northern District of Illinois)
Date Filed: June 22, 2017
Date of Qualifying Judgment/Order: January 24, 2022
Notice No.:
2022-020
Action:
SEC v. George S. Blakenbaker, StarGrower Commercial Bridge Loan Fund 1 LLC, StarGrower Asset Management LLC, Blankenbaker Investments Fund 17 LLC
Case Number: 21-cv-00790 (United States District Court for the Southern District of Indiana)
Date Filed: March 31, 2021
Date of Qualifying Judgment/Order: January 21, 2022
Notice No.:
2022-021
Action:
In the Matter of Baxter International Inc.
Administrative Proceeding File No.: 3-20781
Date Filed: February 22, 2022
Date of Qualifying Judgment/Order: February 22, 2022
Notice No.:
2022-022
Action:
SEC v. Viktor Gjonaj
Case Number: 21-cv-10199 (United States District Court for the Eastern District of Michigan)
Date Filed: January 28, 2021
Date of Qualifying Judgment/Order: January 24, 2022
Notice No.:
2022-023
Action:
SEC v. Thunderbird Power Corp., Richard Hinds, Anthony Goldstein, and John Alexander Van Arem
Case Number: 20-cv-22901 (United States District Court for the Southern District of Florida)
Date Filed: July 14, 2020
Date of Qualifying Judgment/Order: January 21, 2022
Notice No.:
2022-025
Action:
In the Matter of KT Corporation
Administrative Proceeding File No.: 3-20780
Date Filed: February 17, 2022
Date of Qualifying Judgment/Order: February 17, 2022
Notice No.:
2022-026
Action:
SEC v. Ofer Abarbanel, Victor Chilelli, Income Collecting 1-3 Monts T-Bills Mutual Fund
Case Number: 21-cv-05429 (United States District Court for the Southern District of New York)
Date Filed: June 21, 2021
Date of Qualifying Judgment/Order: February 25, 2022
Notice No.:
2022-027
Action:
In the Matter of BlockFi Lending LLC
Administrative Proceeding File No.: 3-20758
Date Filed: February 14, 2022
Date of Qualifying Judgment/Order: February 14, 2022
Notice No.:
2022-028
Action:
SEC v. Dawn J. Bennett, Bradley Mascho, and DJB Holdings, LLC
Case Number: 17-cv-02453 (United States District Court for the District of Maryland)
Date Filed: August 25, 2017
Date of Qualifying Judgment/Order: January 31, 2022
Notice No.:
2022-013
Action:
SEC v. Phillip Michael Carter, d/b/a North Forty Development Capital Account, Bobby Eugene Guess Richard Gregory TIlford, North-Forty Development LLC, North Forty Development, LLC, Texas Cash Cow, LLC, f/k/a Texas Cash Cow Investments LLC, and Texas First Financial, LLC
Case Number: 19-cv-00206 (United States District Court for the Eastern District of Texas)
Date Filed: January 25, 2019
Date of Qualifying Judgment/Order: January 18, 2022
Notice No.:
2022-017
Action:
SEC v. Justin Robert King and Elevate Investments LLC
Case Number: 20-cv-02398 (United States District Court for the Central District of California
Date Filed: December 21, 2020
Date of Qualifying Judgment/Order: January 18, 2022
Notice No.:
2022-014
Action:
SEC v. Timothy Burroughs, Jay Holstine, John Griffin, and Michael Oswald Williams
Case Number: 21-cv-00994 (United States District Court for the Eastern District of Texas)
Date Filed: December 27, 2021
Date of Qualifying Judgment/Order: January 7, 2022
Notice No.:
2022-015
Action:
In the Matter of O.N. Investment Management Company
Administrative Proceeding File No.: 3-20701
Date Filed: January 11, 2022
Date of Qualifying Judgment/Order: January 11, 2022
Notice No.:
2022-016
Action:
SEC v. VerdeGroup Investment Partners, Inc.; Thomas Gaffney; and Lisa Gordon
Case Number: 21-cv-07663 (United States District Court for the Central District of California)
Date Filed: September 27, 2021
Date of Qualifying Judgment/Order: January 20, 2022
Notice No.:
2022-002
Action:
SEC v. James Siniscalchi
Case Number: 19-cv-03792 (United States District Court for the Southern District of New York)
Date Filed: April 29, 2019
Date of Qualifying Judgment/Order: December 21, 2021
Notice No.:
2022-001
Action:
In the Matter of Wedbush Securities Inc.
Administrative Proceeding File No.: 3-20679
Date Filed: December 15, 2021
Date of Qualifying Judgment/Order: December 15, 2021
Notice No.:
2022-003
Action:
SEC v. Gary F. Pryor, ZipRemit, Inc., and Lendaily, Inc.
Case Number: 20-cv-01782 (United States District Court for the District of Arizona)
Date Filed: September 14, 2020
Date of Qualifying Judgment: December 1, 2021
Notice No.:
2022-004
Action:
SEC v. Robert Samuel Shumake, Jr., Willard L. Jackson, Nicole T. Birch, 420 Real Estate, LLC, Vicent Petrescu aka Vincent Petrescu, and TruCrow, Inc. dba Fundanna
Case Number: 21-cv-12193 (United States District Court for the Eastern District of Michigan)
Date Filed: September 20, 2021
Date of Qualifying Judgment/Order: December 23, 2021
Notice No.:
2022-005
Action:
In the Matter of 1st Global Advisors, Inc., now known as Avantax Advisory Services, Inc.
Administrative Proceeding File No.: 3-20685
Date Filed: December 20, 2021
Date of Qualifying Judgment/Order: December 20, 2021
Notice No.:
2022-006
Action:
SEC v. Ivan Acevedo and Dane R. Roseman a/k/a Dayne R. Roseman
Case Number: 19-cv-21380 (United States District Court for the Southern District of Florida)
Date Filed: April 11, 2019
Date of Qualifying Judgment/Order: December 14, 2021
Notice No.:
2022-007
Action:
In the Matter of Nikola Corporation
Administrative Proceeding File No.: 3-20687
Date Filed: December 21, 2021
Date of Qualifying Judgment/Order: December 21, 2021
Notice No.:
2022-008
Action:
SEC v. Peter Baker, Prestige Global Trading, Ltd., Elizabeth Oharriz, Diversified Initiatives Consulting & Logistics, Inc., and Sienna Business Group, Inc.
Case Number: 19-cv-02565 (United States District Court for the Northern District of Georgia
Date Filed: June 4, 2019
Date of Qualifying Judgment/Order: November 9, 2021
Notice No.:
2022-009
Action:
SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher and Karen J. Smith
Case Number: 21-cv-10366 (United States District Court for the Southern District of New York)
Date Filed: December 6, 2021
Date of Qualifying Judgment/Order: December 8, 2021
Notice No.:
2022-010
Action:
In the Matter of Steven Turner
Administrative Proceeding File No.: 3-20668
Date Filed: December 6, 2021
Date of Qualifying Judgment/Order: December 6, 2021
Notice No.:
2022-011
Action:
In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-20681
Date Filed: December 17, 2021
Date of Qualifying Judgment/Order: December 17, 2021
Notice No.:
2022-012
Action:
In the Matter of Global Infrastructure Management, LLC
Administrative Proceeding File No.: 3-20683
Date Filed: December 20, 2021
Date of Qualifying Judgment/Order: December 20, 2021
Notice No.:
2021-129
Action:
SEC v. Edward L. Wooten, Lee S. Rose, John L. Krcil, and Black Lion Investment Partners, Inc.
Case Number: 21-cv-00270 (United States District Court for the Middle District of Georgia)
Date Filed: July 30, 2021
Date of Qualifying Judgment/Order: November 2, 2021
Notice No.:
2021-130
Action:
SEC v. Kevin R. Kuhnash and Jason P. Jimerson
Case Number: 19-cv-00028 (United States District Court for the Southern District of Indiana)
Date Filed: February 12, 2019
Date of Qualifying Judgment/Order: November 24, 2021
Notice No.:
2021-131
Action:
SEC v. Isaiah Goodman
Case Number: 21-cv-00365 (United States District Court for the District of Minnesota)
Date Filed: February 8, 2021
Date of Qualifying Judgment/Order: November 22, 2021
Notice No.:
2021-132
Action:
SEC v. Ann M. Vick
Case Number: 21-cv-02870 (United States District Court for the District of Colorado)
Date Filed: October 25, 2021
Date of Qualifying Judgment/Order: October 27, 2021
Notice No.:
2021-133
Action:
SEC v. Andres Fernandez and Edison Denizard
Case Number: 19-cv-01843 (United States District Court for the Middle District of Florida)
Date Filed: September 25, 2019
Date of Qualifying Judgment/Order: October 28, 2021
Notice No.:
2021-134
Action:
SEC v. Andrew Dale Ledbetter
Case Number: 20-cv-61972 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2020
Date of Qualifying Order/Judgment: November 23, 2021
Notice No.:
2021-135
Action:
In the Matter of United States Commodity Funds LLC and United States Oil Fund, LP
Administrative Proceeding File No.: 3-20648
Date Filed: November 8, 2021
Date of Qualifying Judgment/Order: November 8, 2021
Notice No.:
2021-136
Action:
SEC v. Akazoo S.A.
Case Number: 20-cv-08101 (United States District Court for the Southern District of New York)
Date Filed: September 30, 2020
Date of Qualifying Judgment/Order: October 21, 2021
Notice No.:
2021-137
Action:
SEC v. Russell Craig and Onestep Financial Services, LLC
Case Number: 18-cv-04539 (United States District Court for the Northern District of Georgia)
Date Filed: October 1, 2018
Date of Qualifying Judgment/Order: November 9, 2021
Notice No.:
2021-138
Action:
SEC v. Guy Scott Griffithe and Robert William Russell
Case Number: 20-cv-00124 (United States District Court for the Central District of California)
Date Filed: January 21, 2020
Date of Qualifying Judgment/Order: November 19, 2021
Notice No.:
2021-139
Action:
SEC v. Denis Georgiyevich Sotnikov, Adaptive Technology LLC, AGQ Business Group LLC, ATL Business Group LLC, BO&SA Corporation, DN Industrial LLC and Expert Digital LLC
Case Number: 20-cv-02784 (United States District Court for the District of New Jersey)
Date Filed: March 13, 2020
Date of Qualifying Judgment/Order: October 15, 2021
Notice No.:
2021-140
Action:
SEC v. Richard Vu Nguyen, a/k/a Nguyen Thanh Vu, and NTV Financial Group, Inc.
Case Number: 19-cv-01174 (United States District Court for the Central District of California)
Date Filed: June 13, 2019
Date of Qualifying Judgment/Order: November 25, 2021
Notice No.:
2021-141
Action:
SEC v. Tomer Feingold and Dov Malnik
Case Number: 20-cv-01881 (United States District Court for the Southern District of New York)
Date Filed: March 3, 2020
Date of Qualifying Judgment/Order: November 22, 2021
Notice No.:
2021-142
Action:
In the Matter of Fixed Income Clearing Corporation
Administrative Proceeding File No.: 3-20638
Date Filed: October 29, 2021
Date of Qualifying Judgment/Order: October 29, 2021
Notice No.:
2021-143
Action:
In the Matter of MIO Partners, Inc.
Administrative Proceeding File No.: 3-20656
Date Filed: November 19, 2021
Date of Qualifying Judgment/Order: November 19, 2021
Notice No.:
2021-144
Action:
In the Matter of Michael Margiotta
Administrative Proceeding File No.: 3-20644
Date Filed: November 2, 2021
Date of Qualifying Judgment/Order: November 2, 2021
Notice No.:
2021-145
Action:
SEC v. Alexander Rowland
Case Number: 20-cv-05075 (United states District Court for the Eastern District of Pennsylvania)
Date Filed: October 13, 2020
Date of Qualifying Judgment/Order: October 21, 2021
Notice No.:
2021-146
Action:
SEC v. Stephen Scott Moleski, David Michael, and Erik Christian Jones
Case Number: 21-cv-01065 (United States District Court for the Central District of California)
Date Filed: February 5, 2021
Date of Qualifying Judgment/Order: November 24, 2021
Notice No.:
2021-119
Action:
SEC v. Marcus Boggs
Case Number: 19-cv-05672 (United States District Court for the Northern District of Illinois)
Date Filed: August 23, 2019
Date of Qualifying Judgment/Order: October 22, 2021
Notice No.:
2021-120
Action:
In the Matter of Adam Heimann, Michael Perinotti, EGM Firm Inc., and MIDAM Ventures LLC
Administrative Proceeding File No.: 3-20614
Date Filed: September 30, 2021
Date of Qualifying Judgment/Order: September 30, 2021
Notice No.:
2021-121
Action:
In the Matter of Robert D. Press
Administrative Proceeding File No.: 3-20610
Date Filed: September 30, 2021
Date of Qualifying Judgment/Order: September 30, 2021
Notice No.:
2021-122
Action:
In the Matter of Credit Suisse Group AG
Administrative Proceeding File No.: 3-20629
Date Filed: October 19, 2021
Date of Qualifying Judgment/Order: October 19, 2021
Notice No.:
2021-123
Action:
In the Matter of VTB Capital plc
Administrative Proceeding File No.: 3-20628
Date Filed: October 19, 2021
Date of Qualifying Judgment/Order: October 19, 2021
Notice No.:
2021-124
Action:
SEC v. Steven Pagartanis
Case Number: 18-cv-03150 (United States District Court for the Eastern District of New York)
Date Filed: May 30, 2018
Date of Qualifying Judgment/Order: October 4, 2021
Notice No.:
2021-125
Action:
In the Matter of Tradition Securities and Derivatives, LLC
Administrative Proceeding File No.: 3-20606
Date Filed: September 28, 2021
Date of Qualifying Judgment/Order: September 28, 2021
Notice No.:
2021-126
Action:
SEC v. DaRayl D. Davis
Case Number: 17-cv-09224 (United States District Court for the Northern District of Illinois)
Date Filed: December 22, 2017
Date of Qualifying Judgment/Order: September 20, 2021
Notice No.:
2021-127
Action:
In the Matter of Xuepeng Xie
Administrative Proceeding File No.: 3-20599
Date Filed: September 27, 2021
Date of Qualifying Judgment/Order: September 27, 2021
Notice No.:
2021-128
Action:
SEC v. Gregory Lamont Drake, Stephen Kenneth Grossman, Stephen Scott Moleski, Jason David St. Amour, and David Wolfson
Case Number: 20-cv-00405 (United States District Court for the Central District of California)
Date Filed: January 15, 2020
Date of Qualifying Judgment/Order: October 7, 2021
Notice No.:
2021-103
Action:
In the Matter of MML Investors Services, LLC
Administrative Proceeding File No.: 3-20536
Date Filed: September 10, 2021
Date of Qualifying Judgment/Order: September 10, 2021
Notice No.:
2021-104
Action:
In the Matter of Rothschild Investment Corporation
Administrative Proceeding File No.: 3-20541
Date Filed: September 13, 2021
Date of Qualifying Judgment/Order: September 13, 2021
Notice No.:
2021-105
Action:
SEC v. Thomas Gity, Sr., Thomas Gity, Jr., and Treasure Coast Property Enterprises, LLC
Case Number: 20-cv-14342 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2020
Date of Qualifying Judgment/Order: September 23, 2021
Notice No.:
2021-106
Action:
SEC v. Paul Gilman; Oil Migration Group, LLC, WaveTech29, LLC; and GilmanSound, LLC
Case Number: 18-cv-01421 (United States District Court for the Northern District of Texas)
Date Filed: June 4, 2018
Date of Qualifying Judgment/Order: September 9, 2021
Notice No.:
2021-107
Action:
In the Matter of WPP PLC
Administrative Proceeding File No.: 3-20595
Date Filed: September 24, 2021
Date of Qualifying Judgment/Order: September 24, 2021
Notice No.:
2021-108
Action:
SEC v. KRM Services, LLC and Roberto J. Clark, Jr.
Case Number: 19-cv-01424 (United States District Court for the Eastern District of Virginia)
Date Filed: November 8, 2019
Date of Qualifying Judgment/Order: September 15, 2021
Notice No.:
2021-109
Action:
SEC v. Todd Elliott Hitt, Kiddar Capital LLC, and Kiddar Group Holdings, Inc.
Case Number: 18-cv-01262 (United States District Court for the Eastern District of Virginia)
Date Filed: October 5, 2018
Date of Qualifying Judgment/Order: September 7, 2021
Notice No.:
2021-110
Action:
In the Matter of the Kraft Heinz Co., and Eduardo Pelleissone
Administrative Proceeding File No.: 3-20523
Date Filed: September 3, 2021
Date of Qualifying Judgment/Order: September 3, 2021
Notice No.:
2021-111
Action:
SEC v. Prosky, Inc. and Crystal A. Huang
Case Number: 21-cv-07568 (United States District Court for the Southern District of New York)
Date Filed: September 10, 2021
Date of Qualifying Judgment/Order: September 29, 2021
Notice No.:
2021-112
Action:
SEC v. Steven Fitzgerald Brown
Case Number: 20-cv-08058 (United States District Court for the Central District of California)
Date Filed: September 3, 2020
Date of Qualifying Judgment/Order: August 24, 2021
Notice No.:
2021-113
Action:
SEC v. Trevon Brown, Craig Grant, Joshua Jeppesen, Ryan Maasen, and Michael Noble
Case Number: 21-cv-04791 (United States District Court for the Southern District of New York)
Date Filed: May 28, 2021
Date of Qualifying Judgment/Order: August 12, 2021
Notice No.:
2021-114
Action:
In the Matter of Coda Markets, Inc. and Edward G. O’Malley
Administrative Proceeding File No.: 3-20576
Date Filed: September 20, 2021
Date of Qualifying Judgment/Order: September 20, 2021
Notice No.:
2021-115
Action:
In the Matter of GTV Media Group, Inc., Saraca Media Group, Inc., and Voice of Guo Media, Inc.
Administrative Proceeding File No.: 3-20537
Date Filed: September 13, 2021
Date of Qualifying Judgment/Order: September 13, 2021
Notice No.:
2021-116
Action:
In the Matter of App Annie Inc. and Bertrand Schmitt
Administrative Proceeding File No.: 3-20549
Date Filed: September 14, 2021
Date of Qualifying Judgment/Order: September 14, 2021
Notice No.:
2021-117
Action:
SEC v. Ibrahim Almagarby and Microcap Equity Group, LLC
Case Number: 17-cv-62255 (United States District Court for the Southern District of Florida)
Date Filed: November 17, 2017
Date of Qualifying Judgment/Order: September 29, 2021
Notice No.:
2021-118
Action:
SEC v. Hughe Duwayne Graham, Donald Lee Howard, and Larry Louis Matyas
Case Number: 20-cv-02505 (United States District Court for the Northern District of Ohio)
Date Filed: November 6, 2020
Date of Qualifying Judgment/Order: September 22, 2021
Notice No.:
2021-095
Action:
SEC v. Brian Davison, Barry M. Rybicki, Equialt LLC, Equialt Fund, LLC, Equialt Fund II, LLC, Equialt III, LLC, EA SIP, LLC
Case Number: 20-cv-00325 (United States District Court for the Middle District of Florida)
Date Filed: February 11, 2020
Date of Qualifying Judgment/Order: August 5, 2021
Notice No.:
2021-091
Action:
In the Matter of Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree
Administrative Proceeding File No.: 3-20453
Date Filed: August 6, 2021
Date of Qualifying Judgment/Order: August 6, 2021
Notice No.:
2021-092
Action:
In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-20401
Date Filed: July 19, 2021
Date of Qualifying Judgment/Order: July 19, 2021
Notice No.:
2021-093
Action:
In the Matter of Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc.
Administrative Proceeding File No.: 3-20475
Date Filed: August 25, 2021
Date of Qualifying Judgment/Order: August 25, 2021
Notice No.:
2021-094
Action:
Matter of First Heartland Consultants, Inc.
Administrative Proceeding File No.: 3-20448
Date Filed: August 2, 2021
Date of Qualifying Judgment/Order: August 2, 2021
Notice No.:
2021-096
Action:
SEC v. Oleksander Ieremenko, Spirit Trade, Ltd., Sungjin Cho, David Kwon, Igor Sabodakha, Victoria Vorochek, Ivan Olefir, Capyield Systems, Ltd., and Andrey Sarafanov
Case Number: 19-cv-00505 (United States District Court for the District of New Jersey)
Date Filed: January 15, 2019
Date of Qualifying Judgment/Order: July 29, 2021
Notice No.:
2021-097
Action:
In the Matter of Murchinson Ltd., Marc Bistricer, and Paul Zogala
Administrative Proceeding File No.: 3-20463
Date Filed: August 17, 2021
Date of Qualifying Judgment/Order: August 17, 2021
Notice No.:
2021-098
Action:
In the Matter of Healthcare Services Group, Inc., John C. Shea, CPA, and Derya D. Warner
Administrative Proceeding File No.: 3-20468
Date Filed: August 24, 2021
Date of Qualifying Judgment/Order: August 24, 2021
Notice No.:
2021-099
Action:
In the Matter of Ernst & Young LLP, James G. Herring, Jr., CPA, James A. Young, CPA, and Curt W. Fochtmann, CPA
Administrative Proceeding File No.: 3-20447
Date Filed: August 2, 2021
Date of Qualifying Judgment/Order: August 2, 2021
Notice No.:
2021-100
Action:
In the Matter of Poloniex, LLC
Administrative Proceeding File No.: 3-20455
Date Filed: August 9, 2021
Date of Qualifying Judgment/Order: August 9, 2021
Notice No.:
2021-101
Action:
In the Matter of Northwest Advisors, Inc.
Administrative Proceeding File No.: 3-20469
Date Filed: August 24, 2021
Date of Qualifying Judgment/Order: August 24, 2021
Notice No.:
2021-102
Action:
SEC v. Yellowstone Partners, LLC, David Henry Hansen, and Cameron G. High
Case Number: 19-cv-00374 (United States District Court for the District of Illinois)
Date Filed: September 30, 2019
Date of Qualifying Judgment/Order: August 17, 2021
Notice No.:
2021-076
Action:
SEC v. Westport Capital Markets, LLC and Christopher McClure
Case Number: 17-cv-02064 (United States District Court for the District of Connecticut)
Date Filed: December 11, 2017
Date of Qualifying Judgment/Order: July 6, 2021
Notice No.:
2021-077
Action:
In the Matter of St. Germain Investment Management, Inc.
Administrative Proceeding File No.: 3-20388
Date Filed: July 8, 2021
Date of Qualifying Judgment/Order: July 8, 2021
Notice No.:
2021-078
Action:
In the Matter of Kestra Advisory Services, LLC
Administrative Proceeding File No.: 3-20390
Date Filed: July 9, 2021
Date of Qualifying Judgment/Order: July 9, 2021
Notice No.:
2021-079
Action:
SEC v. Steven L. Brickner
Case Number: 20-cv-00921 (United States District Court for the Middle District of Florida)
Date Filed: April 21, 2020
Date of Qualifying Judgment/Order: July 20, 2021
Notice No.:
2021-080
Action:
SEC v. Frederick Alan Voight and Daystar Funding, LP
Case Number: 15-cv-02218 (United States District Court for the Southern District of Texas)
Date Filed: August 3, 2015
Date of Qualifying Judgment/Order: July 22, 2021
Notice No.:
2021-081
Action:
SEC v. Gerardo De Nicolás Gutierrez, Carlos Javier Moctezuma Velasco, Ramón Lafarga Bátiz, and Noe Corrales Reyes
Case Number: 17-cv-02086 (United States District Court for the Southern District of California)
Date Filed: October 11, 2017
Date of Qualifying Judgment/Order: June 29, 2021
Notice No.:
2021-082
Action:
In the Matter of AMEC Foster Wheeler Limited
Administrative Proceeding File No.: 3-20373
Date Filed: June 25, 2021
Date of Qualifying Judgment/Order: June 25, 2021
Notice No.:
2021-083
Action:
SEC v. Suneet Singal, First Capital Real Estate Trust, Inc, First Capital Real Estate Advisors, LP, and First Capital Real Estate Investments, LLC
Case Number: 19-cv-11452 (United States District Court for the Southern District New York)
Date Filed: December 13, 2019
Date of Qualifying Judgment/Order: July 13, 2021
Notice No.:
2021-084
Action:
SEC v. Peter Szatmari
Case Number: 19-cv-12028 (United States District Court for the District of Massachusetts)
Date Filed: September 27, 2019
Date of Qualifying Judgment/Order: July 8, 2021
Notice No.:
2021-085
Action:
In the Matter of TIAA-CREF Individual and Institutional Services, LLC
Administrative Proceeding File No.: 3-20392
Date Filed: July 13, 2021
Date of Qualifying Judgment/Order: July 13, 2021
Notice No.:
2021-086
Action:
In the Matter of Neovest, Inc.
Administrative Proceeding File No.: 3-20375
Date Filed: June 29, 2021
Date of Qualifying Judgment/Order: June 29, 2021
Notice No.:
2021-087
Action:
In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot
Administrative Proceeding File No.: 3-20393
Date Filed: July 13, 2021
Date of Qualifying Judgment/Order: July 13, 2021
Notice No.:
2021-088
Action:
In the Matter of Securities America Advisors, Inc.
Administrative Proceeding File No.: 3-20381
Date Filed: June 30, 2021
Date of Qualifying Judgment/Order: June 30, 2021
Notice No.:
2021-089
Action:
SEC v. Michael Barry Carter
Case Number: 20-cv-02112 (United States District Court for the District of Maryland)
Date Filed: July 20, 2020
Date of Qualifying Judgment/Order: June 30, 2021
Notice No.:
2021-090
Action:
SEC v. Daniel K. Boice and Trustify, Inc.
Case Number: 20-cv-00853 (United States District Court for the Eastern District of Virginia)
Date Filed: July 24, 2020
Date of Qualifying Judgment/Order: July 9, 2021
Notice No.:
2021-067
Action:
In the Matter of Loci, Inc. and John Wise
Administrative Proceeding File No.: 3-20369
Date Filed: June 22, 2021
Date of Qualifying Judgment/Order: June 22, 2021
Notice No.:
2021-071
Action:
SEC v. Savraj Gata-Aura (a/k/a Samuel Aura a/k/a Sam Aura) and Core Agents, Ltd. (d/b/a Core Agents International, Ltd.)
Case Number: 19-cv-04780 (United States District Court for the Southern District of New York)
Date Filed: May 23, 2019
Date of Qualifying Judgment/Order: June 23, 2021
Notice No.:
2021-069
Action:
In the Matter of Centaurus Financial, Inc.
Administrative Proceeding File No.: 3-20357
Date Filed: June 2, 2021
Date of Qualifying Judgment/Order: June 2, 2021
Notice No.:
2021-068
Action:
SEC v. Eric Pulier
Case Number: 17-cv-07124 (United States District Court for the Central District of California)
Date Filed: September 27, 2017
Date of Qualifying Judgment/Order: May 20, 2017
Notice No.:
2021-066
Action:
SEC v. The Owings Group, LLC, Owings-1, LLC, Owings Capital Group, LLC, Owings Capital Funds, LLC, Mark Johnson, Kevin Drost, Brian Koslow, David Waltzer
Case Number: 18-cv-02046 (United States District Court for the District of Maryland)
Date Filed: July 6, 2018
Date of Qualifying Judgment/Order: May 12, 2021
Notice No.:
2021-074
Action:
In the Matter of Gurprit Chandhoke and VII Peaks Capital, LLC
Administrative Proceeding File No.: 3-20359
Date Filed: June 4, 2021
Date of Qualifying Judgment/Order: June 4, 2021
Notice No.:
2021-075
Action:
SEC v. Hemp, Inc.; Bruce J. Perlowin; Barry K. Epling; Jed M. Perlowin; Ferris Holding, Inc.; Hobbes Equities Inc.; Diversified Investments LLC; and Quantum Economic Protocols LLC
Case Number: 16-cv-01413 (United States District Court for the District of Nevada)
Date Filed: June 20, 2016
Date of Qualifying Judgment/Order: June 1, 2021
Notice No.:
2021-073
Action:
In the Matter of Maxwell Drever
Administrative Proceeding File No: 3-20280
Date Filed: May 5, 2021
Date of Qualifying Judgment/Order: May 5, 2021
Notice No.:
2021-072
Action:
SEC v. Joseph Andrew Paul, John D. Ellis, Jr., James S. Quay, a/k/a “Stephen Jameson,” and Donald H. Ellison
Case Number: 16-cv-01326 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: April 1, 2016
Date of Qualifying Judgment/Order: May 28, 2021
Notice No.:
2021-065
Action:
SEC v. Emil Botvinnik
Case Number: 18-cv-08182 (United States District Court for the Southern District of New York)
Date Filed: September 10, 2018
Date of Qualifying Judgment/Order: May 21, 2021
Notice No.:
2021-064
Action:
SEC v. Sethi Petroleum, LLC and Sameer P. Sethi
Case Number: 15-cv-00338 (United States District Court for the Eastern District of Texas)
Date Filed: May 14, 2015
Date of Qualifying Judgment/Order: June 24, 2021
Notice No.:
2021-063
Action:
SEC v. The Legacy Group, Inc.; Colorado Ventures I, LLC; Radiant Holdings, LLC; Randy R. King; Matthew B. King; and Andrea S. Trout
Case Number: 21-cv-01404 (United States District Court for the District of Colorado)
Date Filed: May 24, 2021
Date of Qualifying Judgment/Order: June 11, 2021
Notice No.:
2021-070
Action:
In the Matter of Crown Capital Securities, L.P.
Administrative Proceeding File No.: 3-20371
Date Filed: June 24, 2021
Date of Qualifying Judgment/Order: June 24, 2021
Notice No.:
2021-062
Action:
In the Matter of Gateway One Lending & Finance, LLC
Administrative Proceeding File No.: 3-20372
Date Filed: June 24, 2021
Date of Qualifying Judgment/Order: June 24, 2021
Notice No.:
2021-061
Action:
In the Matter of S&P Dow Jones Indices LLC
Administrative Proceeding File No.: 3-20310
Date Filed: May 17, 2021
Date of Qualifying Judgment/Order: May 17, 2021
Notice No.:
2021-060
Action:
SEC v. Kai Christian Petersen; Gil Beserglik; and Raz Beserglik
Case Number: 19-cv-08334 (United States District Court for the Central District of California)
Date Filed: September 26, 2019
Date of Qualifying Judgment/Order: April 21, 2021
Notice No.:
2021-059
Action:
SEC v. Onix Capital LLC, and Alberto Chang-Rajii
Case Number: 16-cv-24678 (United States District Court for Southern District Florida)
Date Filed: November 8, 2016
Date of Qualifying Judgment/Order: April 21, 2021
Notice No.:
2021-058
Action:
In the Matter of GWFS Equities, Inc.
Administrative Proceeding File No.: 3-20298
Date Filed: May 12, 2021
Date of Qualifying Judgment/Order: May 12, 2021
Notice No.:
2021-057
Action:
SEC v. CapSource, Inc., Stephen J. Byrne, and Gregory P. Herlean
Case Number: 20-cv-02303 (United States District Court District of Nevada)
Date Filed: December 21, 2020
Date of Qualifying Judgment/Order: May 6, 2021
Notice No.:
2021-056
Action:
In the Matter of Under Armour, Inc.
Administrative Proceeding File No.: 3-20278
Date Filed: May 3, 2021
Date of Qualifying Judgment/Order: May 3, 2021
Notice No.:
2021-055
Action:
SEC v. John F. Thomas, et al.
Case Number: 19-cv-01515 (United States District Court for the District of Nevada)
Date Filed: August 30, 2019
Date of Qualifying Judgment / Order: April 8, 2021
Notice No.:
2021-054
Action:
SEC v. Imran Husain and Gregg Evan Jaclin
Case Number: 16-cv-03269 (United States District Court for the Central District of California)
Date Filed: May 12, 2016
Date of Qualifying Judgment / Order: April 5, 2021
Notice No.:
2021-053
Action:
SEC v. Kirbyjon Hines Caldwell and Gregory Alan Smith
Case Number: 18-cv-00434 (United States District Court for the District of Western Louisiana)
Date Filed: March 29, 2018
Date of Qualifying Judgment / Order: March 31, 2021
Notice No.:
2021-052
Action:
SEC v. William Skelley and Sohin S. Shah
Case Number: 18-cv-08803 (United States District Court for the Southern District of New York)
Date Filed: September 26, 2018
Date of Qualifying Judgment / Order: March 26, 2021
Notice No.:
2021-051
Action:
SEC v. Hai Khoa Dang
Case Number: 20-cv-01353 (United States District Court for the District of Connecticut)
Date Filed: September 10, 2020
Date of Qualifying Judgment / Order: April 19, 2021
Notice No.:
2021-050
Action:
SEC v. Clarence Dean Alford
Case Number: 20-cv-03164 (United States District Court for the Northern District of Georgia)
Date Filed: July 30, 2020
Date of Qualifying Judgment / Order: April 2, 2021
Notice No.:
2021-049
Action:
SEC v. Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC
Case Number: 17-cv-00630 (United States District Court for the Eastern District of North Carolina)
Date Filed: December 20, 2017
Date of Qualifying Judgment / Order: March 23, 2021
Notice No.:
2021-040
Action:
SEC v. Damon Elliott and Piptastic Limited
Case Number: 20-cv-10860 (United States District Court for the District of Massachusetts)
Date Filed: May 6, 2020
Date of Qualifying Judgment / Order: March 5, 2021
Notice No.:
2021-048
Action:
SEC v. Craig A. Zabala
Case Number: 20-cv-07880 (United States District Court for the Southern District of New York)
Date Filed: September 24, 2020
Date of Qualifying Judgment / Order: February 3, 2021
Notice No.:
2021-047
Action:
SEC v. Deborah Duffy
Case Number: 09-cv-06458 (United States District Court for the Southern District of New York)
Date Filed: July 21, 2009
Date of Qualifying Judgment / Order: March 25, 2021
Notice No.:
2021-046
Action:
SEC v. Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron) and JM Capital Holdings LLC
Case Number: 19-cv-05318 (United States District Court for the Eastern District of New York)
Date Filed: September 18, 2018
Date of Qualifying Judgment / Order: February 24, 2021
Notice No.:
2021-045
Action:
SEC v. AmeraTex Energy, Inc., Lewis Oil Corporation, Lewis Oil Company, Thomas A. Lewis, William R. Fort, Damon L. Fox, and Brian W. Bull
Case Number: 18-cv-00129 (United States District Court for the Eastern District of Texas)
Date Filed: February 27, 2018
Date of Qualifying Judgment / Order: March 18, 2021
Notice No.:
2021-044
Action:
SEC v. Christopher D. Dantin and Chris A. Dantin
Case Number: 21-cv-60588 (United States District Court for the Southern District of Florida)
Date Filed: March 17, 2021
Date of Qualifying Judgment / Order: March 17, 2021
Notice No.:
2021-043
Action:
SEC v. Craig V. Sizer and Miguel Mesa
Case Number: 16-cv-24106 (United States District Court for the Southern District of Florida)
Date Filed: September 26, 2016
Date of Qualifying Judgment / Order: March 5, 2021
Notice No.:
2021-042
Action:
In the Matter of William J. Sears
Administrative Proceeding File No.: 3-17547
Date Filed: February 22, 2021
Date of Qualifying Judgment / Order: February 22, 2021
Notice No.:
2021-041
Action:
SEC v. Jason R. Hyatt, Jay Johnson, and Hyatt Johnson Capital, LLC
Case Number: 08-cv-02224 (United States District Court for the Northern District of Illinois)
Date Filed: April 18, 2008
Date of Qualifying Judgment / Order: March 1, 2021
Notice No.:
2021-039
Action:
SEC v. Robert C. Morgan, Morgan Mezzanine Fund Manager LLC, and Morgan Acquisitions LLC
Case Number: 19-cv-00661 (United States District Court for the Western District of New York)
Date Filed: May 22, 2019
Date of Qualifying Judgment / Order: January 21, 2020
Notice No.:
2021-038
Action:
In the Matter of Joseph Jackson and Colm Callan
Administrative Proceeding File No.: 3-20217
Date Filed: February 2, 2021
Date of Qualifying Judgment / Order: February 2, 2021
Notice No.:
2021-037
Action:
SEC v. Premier Holding Corporation, Randall Letcavage, and Joseph Greenblatt
Case Number: 18-cv-00813 (United States District Court for the Southern District of New York)
Date Filed: December 4, 2017
Date of Qualifying Judgment / Order: January 21, 2021
Notice No.:
2021-036
Action:
SEC v. Anthony Todd Johnson (aka Todd Johnson), et. al.
Case Number: 20-cv-01493 (United States District Court for the Central District of California)
Date Filed: July 28, 2020
Date of Qualifying Judgment / Order: January 28, 2021
Notice No.:
2021-035
Action:
SEC v. Luckin Coffee, Inc.
Case Number: 20-cv-10631 (United States District Court for the Southern District of New York)
Date Filed: December 16, 2020
Date of Qualifying Judgment / Order: February 4, 2021
Notice No.:
2021-034
Action:
SEC v. Meta 1 Coin Trust, Robert Dunlap, Clear International Trust, Nicole Bowdler, and David A. Schmidt
Case Number: 20-cv-00273 (United States District Court for the Western District of Texas)
Date Filed: March 16, 2020
Date of Qualifying Judgment / Order: February 3, 2021
Notice No.:
2021-033
Action:
SEC v. Patrick O. Howard; Howard Capital Holdings, LLC; and Optimal Economics Capital Partners, LLC
Case Number: 17-cv-00420 (United States District Court for the Northern District of Texas)
Date Filed: February 14, 2017
Date of Qualifying Judgment / Order: February 9, 2021
Notice No.:
2021-032
Action:
SEC v. Minish “Joe” Hede and Kevin Graetz
Case Number: 20-cv-06724 (United States District Court for the Southern District of New York)
Date Filed: August 21, 2020
Date of Qualifying Judgment / Order: February 16, 2021
Notice No.:
2021-031
Action:
In the Matter of Winslow, Evans & Crocker, Inc.
Administrative Proceeding File No.:3-20223
Date Filed: February 12, 2021
Date of Qualifying Judgment / Order: February 12, 2021
Notice No.:
2021-030
Action:
SEC v. ConTXT, Inc., Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen
Case Number: 21-cv-00013 (United States District Court for the District of Utah)
Date Filed: January 7, 2021
Date of Qualifying Judgment / Order: January 13, 2021
Notice No.:
2021-029
Action:
SEC v. William J. Bowser, Christopher J. Ashby, Scott W. Beynon, and Jordan S. Nelson
Case Number: 20-cv-00918 (United States District Court for the District of Utah)
Date Filed: December 30, 2020
Date of Qualifying Judgment / Order: December 30, 2020
Notice No.:
2021-028
Action:
SEC v. Traffic Monsoon, LLC, and Charles David Scoville
Case Number: 16-cv-00832 (United States District Court for the District of Utah)
Date Filed: July 26, 2016
Date of Qualifying Judgment / Order: January 5, 2021
Notice No.:
2021-027
Action:
In the Matter of Deutsche Bank AG
Administrative Proceeding File No.: 3-20200
Date Filed: January 8, 2021
Date of Qualifying Judgment / Order: January 8, 2021
Notice No.:
2021-026
Action:
SEC v. Paul Andrews Rinfret and Plandome Partners LLC
Case Number: 19-cv-06037 (United States District Court for the Southern District of New York)
Date Filed: June 28, 2019
Date of Qualifying Judgment / Order: December 16, 2020
Notice No.:
2021-025
Action:
SEC v. Bruce J. Fixelle, Aurora Capital Management, LLC, and Genesis Advisory Services Corp.
Case Number:18-cv-15026 (United States District Court for the District of New Jersey)
Date Filed: October 16, 2018
Date of Qualifying Judgment / Order: January 7, 2021
Notice No.:
2021-024
Action:
In the Matter of Pruco Securities, LLC
Administrative Proceeding File No.: 3-20190
Date Filed: December 23, 2020
Date of Qualifying Judgment / Order: December 23, 2020
Notice No.:
2021-023
Action:
SEC v. Barry F. Connell
Case Number: 17-cv-00831 (United States District Court for the Southern District of New York)
Date Filed: February 3, 2017
Date of Qualifying Judgment / Order: December 30, 2020
Notice No.:
2021-022
Action:
SEC v. Joseph Taub and Elazar Shmalo
Case Number: 16-cv-01930 (United States District Court for the District of New Jersey)
Date Filed: December 12, 2016
Date of Qualifying Judgment / Order: December 29, 2020
Notice No.:
2021-021
Action:
SEC v. Benjamin Taylor, Darina Windsor, and Joseph Abdul Noor El-Khouri
Case Number: 19-cv-09744 (United States District Court for the Southern District of New York)
Date Filed: October 22, 2019
Date of Qualifying Judgment / Order: December 16, 2020
Notice No.:
2021-020
Action:
SEC v. Anthony J. Thompson Jr., Jay Fung, and Eric Van Nguyen
Case Number: 14-cv-09126 (United States District Court for the Southern District of New York)
Date Filed: November 27, 2014
Date of Qualifying Judgment / Order: December 30, 2020
Notice No.:
2021-019
Action:
SEC v. OwnZones Media Network, Inc., Daniel Goman and Joseph Goman
Case Number: 20-cv-01308 (United States District Court for the Central District of California)
Date Filed: April 2, 2020
Date of Qualifying Judgment / Order: January 14, 2021
Notice No.:
2021-018
Action:
In the Matter of Voya Financial Advisors, Inc.
Administrative Proceeding File No.: 3-20183
Date Filed: December 21, 2020
Date of Qualifying Judgment / Order: December 21, 2020
Notice No.:
2021-017
Action:
In the Matter of Covia Holdings Corp, and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC
Administrative Proceeding File No.: 3-20163
Date Filed: December 8, 2020
Date of Qualifying Judgment / Order: December 8, 2020
Notice No.:
2021-016
Action:
SEC v. RPM International Inc. and Edward W. Moore
Case Number: 16-cv-01803 (United States District Court for the District of Columbia)
Date Filed: September 9, 2016
Date of Qualifying Judgment / Order: December 22, 2020
Notice No.:
2021-015
Action:
SEC v. Paul R. Montgomery Jr., Michael D. Fisher, and James H. Willingham, Jr.
Case Number: 20-cv-00598 (United States District Court for the Western Division of Texas)
Date Filed: May 18, 2020
Date of Qualifying Judgment / Order: January 20, 2021
Notice No.:
2021-014
Action:
SEC v. Clinton Maurice Tucker II
Case Number.: 20-cv-00875 (United States District Court for the Central District of California)
Date Filed: May 11, 2020
Date of Qualifying Judgment / Order: November 17, 2020
Notice No.:
2021-013
Action:
In the Matter of Robinhood Financial, LLC
Administrative Proceeding File No.: 3-20171
Date Filed: December 17, 2020
Date of Qualifying Judgment / Order: December 17, 2020
Notice No.:
2021-012
Action:
SEC v. Bernard M. Parker
Case Number.: 15-cv-01535 (United States District Court for the Western District of Pennsylvania)
Date Filed: November 23, 2015
Date of Qualifying Judgment / Order: November 24, 2020
Notice No.:
2021-011
Action:
SEC v. Bryan Cohen and George Nikas
Case Number.: 19-cv-09645 (United States District Court for the Southern District of New York)
Date Filed: October 18, 2019
Date of Qualifying Judgment / Order: December 22, 2020
Notice No.:
2021-010
Action:
SEC v. Craig Rumbaugh, Rumbaugh Financial, Inc, and Desert Strategic Equity, LLC
Case Number.: 19-cv-01517 (United States District Court for the Central District of California)
Date Filed: August 14, 2019
Date of Qualifying Judgment / Order: November 20, 2020
Notice No.:
2021-009
Action:
In the Matter of ShipChain, Inc.
Administrative Proceeding File No.: 3-20185
Date Filed: December 21, 2020
Date of Qualifying Judgment / Order: December 21, 2020
Notice No.:
2021-008
Action:
In the Matter of BlueCrest Capital Management Limited
Administrative Proceeding File No.: 3-20162
Date Filed: December 8, 2020
Date of Qualifying Judgment / Order: December 8, 2020
Notice No.:
2021-007
Action:
In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P.
Administrative Proceeding File No.: 3-20173
Date Filed: December 17, 2020
Date of Qualifying Judgment / Order: December 17, 2020
Notice No.:
2021-006
Action:
SEC v. One or More Unknown Traders in the Securities of Bioverativ, Inc.
Case Number: 18-cv-00701 (United States District Court for the Southern District of New York)
Date Filed: January 26, 2018
Date of Qualifying Judgment / Order: December 2, 2020
Notice No.:
2021-005
Action:
In the Matter of ICE Data Pricing & Reference Data, LLC
Administrative Proceeding File No.: 3-20164
Date Filed: December 9, 2020
Date of Qualifying Judgment / Order: December 9, 2020
Notice No.:
2021-004
Action:
In the Matter of General Electric Company
Administrative Proceeding File No.: 3-20165
Date Filed: December 9, 2020
Date of Qualifying Judgment / Order: December 9, 2020
Notice No.:
2021-003
Action:
SEC v. Garrett M. O’Rourke and Michael J. Black
Case Number: 19-cv-04137 (United States District Court for the Eastern District of New York)
Date Filed: July 17, 2019
Date of Qualifying Judgment / Order: December 7, 2020
Notice No.:
2021-002
Action:
SEC v. Nelson Gomes, Michael Luckhoo-Bouche, Shane Schmidt, Douglas Roe, Kelly Warawa, FFS Capital Limited, Paifang Trading Limited, Artefactor Limited, Atlantean Management Corporation, Meadow Asia Limited, and Thyme International Limited
Case Number: 20-cv-11092 (United States District Court for the District of Massachusetts)
Date Filed: June 9, 2020
Date of Qualifying Judgment / Order: December 4, 2020
Notice No.:
2021-001
Action:
SEC v. Scana Corporation, Dominion Energy South Carolina, Inc (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Bryne
Case Number: 20-cv-00882 (United States District Court for the District of South Carolina)
Date Filed: February 27, 2020
Date of Qualifying Judgment / Order: December 3, 2020
Notice No.:
2020-146
Action:
SEC v. Revolution Lighting Technologies, Inc., Robert LaPenta, James DePalma, Daniel O’Neal, and Allen Garner
Case Number: 20-cv-01440 (United States District Court for the District of Connecticut)
Date Filed: September 24, 2020
Date of Qualifying Judgment / Order: October 9, 2020
Notice No.:
2020-153
Action:
SEC v. Laksha Bohra, Viky Bohra, and Gotham Bohra
Case Number: 20-cv-01434 (United States District Court for the Western District of Washington)
Date Filed: September 28, 2020
Date of Qualifying Judgment / Order: October 16, 2020
Notice No.:
2020-152
Action:
In the Matter of John G. Stumpf
Administrative Proceeding File No.: 3-20148
Date Filed: November 13, 2020
Date of Qualifying Judgment / Order: November 13, 2020
Notice No.:
2020-151
Action:
In the Matter of Alexandre S. Clug, Aurum Mining, LLC, Panam Terra, Inc., and The Corsair Group, Inc.
Administrative Proceeding File No.: 3-16318
Date Filed: November 9, 2020
Date of Qualifying Judgment / Order: November 9, 2020
Notice No.:
2020-150
Action:
SEC v. Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC
Case Number: 20-cv-01056 (United States District Court for the Central District of California)
Date Filed: May 19, 2020
Date of Qualifying Judgment / Order: October 19, 2020
Notice No.:
2020-149
Action:
SEC v. Kik Interactive, Inc
Case Number: 19-cv-05244 (United States District Court for the Southern District of New York)
Date Filed: June 4, 2019
Date of Qualifying Judgment / Order: October 21, 2020
Notice No.:
2020-148
Action:
SEC v. Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, Steven G. Patton
Case Number: 18-cv-00925 (United States District Court for the Central District of California)
Date Filed: May 30, 2018
Date of Qualifying Judgment / Order: October 26, 2020
Notice No.:
2020-147
Action:
SEC v. Daniel Rudden, Financial Visions Inc., Financial Visions West, LLC, Financial Visions West 1, LLC, and FV-2, LLC
Case Number: 18-cv-01842 (United States District Court for the District of Colorado)
Date Filed: July 19, 2018
Date of Qualifying Judgment / Order: October 15, 2020
Notice No.:
2020-145
Action:
Commission Deferred Prosecution Agreement with Tenaris, S.A.
Date: May 17, 2011
Notice No.:
2020-144
Action:
Commission Deferred Prosecution Agreement with The PBSJ Corporation
Date: January 21, 2015
Notice No.:
2020-143
Action:
Commission Deferred Prosecution with Regions Financial Corp.
Date: June 19, 2014
Notice No.:
2020-142
Action:
In the Matter of EDG Management Company, LLC
Administrative Proceeding File No.: 3-20133
Date Filed: October 22, 2020
Date of Qualifying Judgment / Order: October 22, 2020
Notice No.:
2020-141
Action:
In the Matter of J.P. Morgan Securities, LLC
Administrative Proceeding File No.: 3-20094
Date Filed: September 29, 2020
Date of Qualifying Judgment / Order: September 29, 2020
Notice No.:
2020-140
Action:
In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-20103
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020
Notice No.:
2020-139
Action:
In the Matter of BGC Partners, Inc
Administrative Proceeding File No.: 3-20107
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020
Notice No.:
2020-138
Action:
SEC v. Brian Weber and Bebida Beverage Co.
Case Number: 18-cv-05019 (United States District Court for the Eastern District of New York)
Date Filed: September 5, 2018
Date of Qualifying Judgment / Order: September 21, 2020
Notice No.:
2020-137
Action:
SEC v. Steven Fishoff, Deshan Govender, Winson Tang, Featherwood Capital, Inc., and JSF Investment Capital Inc.
Case Number: 18-cv-07685 (United States District Court for the Southern District of New York)
Date Filed: August 23, 2018
Date of Qualifying Judgment / Order: October 1, 2020
Notice No.:
2020-126
Action:
In the Matter of Transamerica Asset Management, Inc.
Administrative Proceeding File No.: 3-20105
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020
Notice No.:
2020-125
Action:
In the Matter of the Goldman Sachs Group, Inc.
Administrative Proceeding File No.: 3-20132
Date Filed: October 22, 2020
Date of Qualifying Judgment / Order: October 22, 2020
Notice No.:
2020-136
Action:
SEC v. Motty Mirzahi and MBIG Company
Case Number: 19-cv-02284 (United States District Court for the Central District of California)
Date Filed: March 27, 2019
Date of Qualifying Judgment / Order: October 7, 2020
Notice No.:
2020-135
Action:
SEC v. Remington Chase a/k/a William Westwood a/k/a William Elliot
Case Number: 20-cv-08343 (United States District Court for the Central District of California)
Date Filed: September 11, 2020
Date of Qualifying Judgment / Order: October 6, 2020
Notice No.:
2020-134
Action:
SEC v. Daniel Pacheco
Case Number: 19-cv-00958 (United States District Court for the Central District of California)
Date Filed: May 22, 2019
Date of Qualifying Judgment / Order: August 6, 2020
Notice No.:
2020-133
Action:
SEC v. Jeffrey Stebbins and Corbin Jones
Case Number: 13-cv-00755 (United States District Court for the District of Arizona)
Date Filed: April 16, 2013
Date of Qualifying Judgment / Order: September 24, 2020
Notice No.:
2020-132
Action:
In the Matter of Andeavor LLC
Administrative Proceeding File No.: 3-20125
Date Filed: October 15, 2020
Date of Qualifying Judgment / Order: October 15, 2020
Notice No.:
2020-131
Action:
In the Matter of J&F Investimentos, S.A., JBS, S.A. Joesley Batista, Wesley Batista
Administrative Proceeding File No.: 3-20124
Date Filed: October 14, 2020
Date of Qualifying Judgment / Order: October 14, 2020
Notice No.:
2020-130
Action:
In the Matter of HP Inc
Administrative Proceeding File No.: 3-20112
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020
Notice No.:
2020-129
Action:
In the Matter of Kroll Bond Rating Agency, LLC
Administrative Proceeding File No.: 3-20096
Date Filed: September 29, 2020
Date of Qualifying Judgment / Order: September 29, 2020
Notice No.:
2020-128
Action:
SEC v. Verley Lee Sembritzky, Jr., Bounty of the Ocean Inc., and Ocean Harvest LLC
Case Number: 20-cv-03287 (United States District Court for the Southern District of Texas)
Date Filed: September 22, 2020
Date of Qualifying Judgment / Order: September 24, 2020
Notice No.:
2020-127
Action:
SEC v. Gary S. Wylke a/k/a Gary S. Wyckel and Alejandro Cortes
Case Number: 20-cv-23616 (United States District Court for the Southern District of Florida)
Date Filed: August 31, 2020
Date of Qualifying Judgment / Order: September 30, 2020
Notice No.:
2020-124
Action:
In the Matter of Gilder Gagnon Howe & Co. LLC, and Bonnie M. Haupt
Administrative Proceeding File No: 3-20014
Date Filed: September 17, 2020
Date of Qualifying Judgment/Order: September 17, 2020
Notice No.:
2020-123
Action:
SEC v. John Geraci
Case Number: 18-cv-06432 (United States District Court for the Southern District of New York)
Date Filed: July 17, 2018
Date of Qualifying Judgment/Order: September 10, 2020
Notice No.:
2020-122
Action:
SEC v. Mark P. Frissora
Case Number: 20-cv-10453 (United States District Court for the District of New Jersey)
Date Filed: August 13, 2020
Date of Qualifying Judgment/Order: August 26, 2020
Notice No.:
2020-121
Action:
SEC v. James M. Farinella, Integrated Capital Partners, Inc., Anthony Amado, Equities Awareness Group, LLC, and Carlo Palomino
Case Number: 17-cv-04538 (United States District Court for the District of New Jersey)
Date Filed: June 21, 2017
Date of Qualifying Judgment/Order: August 28, 2020
Notice No.:
2020-120
Action:
In the Matter of John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC, and George R. Jarkesy, Jr.
Administrative Proceeding File No: 3-15255
Date Filed: September 4, 2020
Date of Qualifying Judgment/Order: September 4, 2020
Notice No.:
2020-119
Action:
In the Matter of Bayerische Motoren Werke Aktiengesslschaft, BMW of North America, LLC, and BMW US Capital, LLC
Administrative Proceeding File No: 3-20060
Date Filed: September 24, 2020
Date of Qualifying Judgment/Order: September 24, 2020
Notice No.:
2020-118
Action:
In the Matter of Unikrn, Inc.
Administrative Proceeding File No: 3-20003
Date Filed: September 15, 2020
Date of Qualifying Judgment/Order: September 15, 2020
Notice No.:
2020-117
Action:
In the Matter of Precigen, Inc. (f/k/a Intrexon Corporation)
Administrative Proceeding File No: 3-20069
Date Filed: September 25, 2020
Date of Qualifying Judgment/Order: September 25, 2020
Notice No.:
2020-116
Action:
In the Matter of National Financial Services LLC
Administrative Proceeding File No: 3-19958
Date Filed: September 3, 2020
Date of Qualifying Judgment/Order: September 3, 2020
Notice No.:
2020-115
Action:
In the Matter of Fulton Financial Corporation
Administrative Proceeding File No: 3-20084
Date Filed: September 28, 2020
Date of Qualifying Judgment/Order: September 28, 2020
Notice No.:
2020-114
Action:
In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA
Administrative Proceeding File No: 3-20085
Date Filed: September 28, 2020
Date of Qualifying Judgment/Order: September 28, 2020
Notice No.:
2020-113
Action:
SEC v. Anton Senderov and Lior Babazara a/k/a Lior Bar
Case Number: 19-cv-05242 (United States District Court for the Eastern District of Washington)
Date Filed: October 9, 2019
Date of Qualifying Judgment/Order: August 27, 2020
Notice No.:
2020-112
Action:
SEC v. Francisco Abellan Vilena, Guillermo Ciupiak, James B, Panther, Jr., and Faiyaz Dean
Case Number: 18-cv-04309 (United States District Court for the Southern District of New York)
Date Filed: May 15, 2018
Date of Qualifying Judgment/Order: September 11, 2020
Notice No.:
2020-111
Action:
In the Matter of Platinum Wealth Partners, Inc. and David L. Potter
Administrative Proceeding File No: 3-20067
Date Filed: September 24, 2020
Date of Qualifying Judgment/Order: September 24, 2020
Notice No.:
2020-110
Action:
SEC v. Richard M. Kirsch and Adam Terris
Case Number: 20-cv-61830 (United States District Court for the Southern District of Florida)
Date Filed: September 10, 2020
Date of Qualifying Judgment/Order: September 16, 2020
Notice No.:
2020-109
Action:
In the Matter of Power Solutions International, Inc.
Administrative Proceeding File No: 3-20062
Date Filed: September 24, 2020
Date of Qualifying Judgment/Order: September 24, 2020
Notice No.:
2020-108
Action:
In the Matter of Fiat Chrysler Automobiles N.V.
Administrative Proceeding File No: 3-20092
Date Filed: September 28, 2020
Date of Qualifying Judgment/Order: September 28, 2020
Notice No.:
2020-107
Action:
In the Matter of Hancock Whitney Investment Services, Inc.
Administrative Proceeding File No: 3-20074
Date Filed: September 25, 2020
Date of Qualifying Judgment/Order: September 25, 2020
Notice No.:
2020-106
Action:
In the Matter of Roosevelt & Cross, Inc.
Administrative Proceeding File No: 3-19996
Date Filed: September 14, 2020
Date of Qualifying Judgment/Order: September 14, 2020
Notice No.:
2020-105
Action:
In the Matter of Charles Liang
Administrative Proceeding File No.: 3-19929
Date Filed: August 25, 2020
Date of Qualifying Judgment/Order: August 25, 2020
Notice No.:
2020-104
Action:
In the Matter of VALIC Financial Advisors, Inc.
Administrative Proceeding File No.: 3-19894
Date Filed: July 28, 2020
Date of Qualifying Judgment/Order: July 28, 2020
Notice No.:
2020-103
Action:
In the Matter of Kelvin Boon, LLC, and Rajesh Pavithran
Administrative Proceeding File No.: 3-19913
Date Filed: August 13, 2020
Date of Qualifying Judgment/Order: August 13, 2020
Notice No.:
2020-102
Action:
In the Matter of Interactive Brokers LLC
Administrative Proceeding File No.: 3-19907
Date Filed: August 10, 2020
Date of Qualifying Judgment/Order: August 10, 2020
Notice No.:
2020-101
Action:
In the Matter of Herbalife Nutrition, LTD.
Administrative Proceeding File No.: 3-19948
Date Filed: August 28, 2020
Date of Qualifying Judgment/Order: August 28, 2020
Notice No.:
2020-100
Action:
SEC v. WG Trading Investors, L.P., WG Trading Company, Limited Partnership, Westridge Capital Management, Inc., Paul Greenwood and Stephen Walsh
Case Number: 09-cv-01750 (United States District Court for the Southern District of New York)
Date Filed: February 25, 2009
Date of Qualifying Judgment/Order: June 9, 2020
Notice No.:
2020-099
Action:
In the Matter of NPB Financial Group, LLC
Administrative Proceeding File No: 3-19918
Date Filed: August 20, 2020
Date of Qualifying Judgment/Order: August 20, 2020
Notice No.:
2020-098
Action:
SEC v. Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street
Case Number: 18-cv-00264 (United States District Court for the District of Hawaii)
Date Filed: July 9, 2019
Date of Qualifying Judgment/Order: July 1, 2020
Notice No.:
2020-097
Action:
In the Matter of World Acceptance Corporation
Administrative Proceeding File No: 3-19905
Date Filed: August 6, 2020
Date of Qualifying Judgment/Order: August 6, 2020
Notice No.:
2020-096
Action:
SEC v. David Sims, Mario Procopio, Ralph C. Greaves, ALC Holdings, LLC, El Cether-Eloyown, and Sims Equities, Inc.
Case Number: 19-cv-00995 (United States District Court for the Central District of California)
Date Filed: May 23, 2019
Date of Qualifying Judgment/Order: July 2, 2020
Notice No.:
2020-095
Action:
In the Matter of Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies Inc.
Administrative Proceeding File No: 3-19899
Date Filed: July 31, 2020
Date of Qualifying Judgment/Order: July 31, 2020
Notice No.:
2020-094
Action:
In the Matter of Super Micro Computer, Inc
Administrative Proceeding File No: 3-19927
Date Filed: August 25, 2020
Date of Qualifying Judgment/Order: August 25, 2020
Notice No.:
2020-093
Action:
In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No: 3-19866
Date Filed: July 20, 2020
Date of Qualifying Judgment/Order: July 20, 2020
Notice No.:
2020-092
Action:
SEC v. Matthew S. Hilliard, Hilliard Oil Ventures, Inc. a/k/a Delta Western Company, Hilliard Helium Company, LLC, and Hilliard Land and Energy Corp.
Case Number: 20-cv-00929 (United States District Court for the Northern District of Texas)
Date Filed: April 16, 2020
Date of Qualifying Judgment/Order: August 17, 2020
Notice No.:
2020-091
Action:
In the Matter of Scott M. Dittman, CPA
Administrative Proceeding File No: 3-17546
Date Filed: August 5, 2020
Date of Qualifying Judgment/Order: August 5, 2020
Notice No.:
2020-090
Action:
SEC v. Zvi Feiner, FNR Healthcare, LLC, and Erez Baver
Case Number: 19-cv-06269 (United States District court for the Northern District of Illinois)
Date Filed: September 19, 2019
Date of Qualifying Judgment/Order: October 7, 2019
Notice No.:
2020-089
Action:
SEC v. Telegram Group Inc. and TON Issuer Inc.
Case Number: 19-cv-09439 (United States District Court for the Southern District of New York)
Date Filed: October 11, 2019
Date of Qualifying Judgment/Order: June 26, 2020
Notice No.:
2020-088
Action:
SEC v. Commodore Financial Corporation, Christopher Schlegel, M&G Cap Services, and Andres Calvo
Case Number: 15-cv-01567 (United States District Court for the Central District of California)
Date Filed: September 30, 2015
Date of Qualifying Judgment/Order: June 24, 2020
Notice No.:
2020-087
Action:
In the Matter of Alexion Pharmaceuticals, Inc.
Administrative Proceeding File No: 3-19852
Date Filed: July 2, 2020
Date of Qualifying Judgment/Order: July 2, 2020
Notice No.:
2020-086
Action:
In the Matter of VALIC Financial Advisors, Inc.
Administrative Proceeding File No: 3-19895
Date Filed: July 28, 2020
Date of Qualifying Judgment/Order: July 28, 2020
Notice No.:
2020-085
Action:
SEC v. Kevin G. White, KGW Capital Management, LLC, Revelation Forex Fund, L.P., and RFF GP, LLC
Case Number: 13-cv-00383 (United States District Court for the Eastern District of Texas)
Date Filed: July 9, 2013
Date of Qualifying Judgment/Order: June 29, 2020
Notice No.:
2020-084
Action:
SEC v. Temenos Advisory, Inc., and George L. Taylor
Case Number: 18-cv-01180 (United States District Court for the District of Connecticut)
Date Filed: July 18, 2018
Date of Qualifying Judgment/Order: June 30, 2020
Notice No.:
2020-083
Action:
In the Matter of BitClave PTE Ltd.
Administrative Proceeding File No.: 3-19816
Date Filed: May 28, 2020
Date of Qualifying Judgment/Order: May 28, 2020
Notice No.:
2020-082
Action:
In the Matter of SG Americas Securities, LLC
Administrative Proceeding File No.: 3-19833
Date Filed: June 24, 2020
Date of Qualifying Judgment/Order: June 24, 2020
Notice No.:
2020-081
Action:
SEC v. Lisa Bershan, Barry B. Schwartz, and Joel J. Margulies
Case Number: 17-cv-07793 (United States District Court for the Southern District of New York)
Date Filed: October 11, 2017
Date of Qualifying Judgment/Order: April 17, 2020
Notice No.:
2020-080
Action:
In the Matter of VEREIT, Inc.
Administrative Proceeding File No.:3-19831
Date Filed: June 23, 2020
Date of Qualifying Judgment/Order: June 23, 2020
Notice No.:
2020-079
Action:
SEC v. Robert Cortez Marshall
Case Number: 17-cv-02189 (United States District Court for the District of Nevada)
Date Filed: August 15, 2017
Date of Qualifying Judgment/Order: June 8, 2020
Notice No.:
2020-078
Action:
In the Matter of Novartis AG
Administrative Proceeding File No.: 3-19835
Date Filed: June 25, 2020
Date of Qualifying Judgment/Order: June 25, 2020
Notice No.:
2020-077
Action:
SEC v. Giga Entertainment Media, Inc., Gary S. Nerlinger, Lawrence W. Silver, Alfred R. Colucci, Charles G. Noska, and Jarret M. Streiner
Case Number: 18-cv-06511 (United States District Court for the Eastern District of New York)
Date Filed: November 15, 2018
Date of Qualifying Judgment/Order: June 3, 2020
Notice No.:
2020-076
Action:
SEC v. Todd Lahr and Thomas Megas
Case Number: 20-cv-01593 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: March 23, 2020
Date of Qualifying Judgment/Order: June 23, 2020
Notice No.:
2020-075
Action:
SEC v. PowerTradersPress.com, Inc., et al.
Case Number: 17-cv-04133 (United States District Court for the Eastern District of New York)
Date Filed: July 12, 2017
Date of Qualifying Judgment/Order: June 15, 2020
Notice No.:
2020-074
Action:
SEC v. Amtrust Financial Services, Inc. and Ronald E. Pipoly, Jr.
Case Number: 20-cv-04652 (United States District Court for the Southern District of New York)
Date Filed: June 17, 2020
Date of Qualifying Judgment/Order: June 19, 2020
Notice No.:
2020-073
Action:
SEC v. Stiefel Laboratories Inc. and Charles W. Stiefel
Case Number: 11-cv-24438 (United States District Court for the Southern District of Florida)
Date Filed: December 12, 2011
Date of Qualifying Judgment/Order: June 5, 2020
Notice No.:
2020-072
Action:
In the Matter of US Bancorp Investments, Inc.
Administrative Proceeding File No.: 3-19818
Date Filed: June 1, 2020
Date of Qualifying Judgment/Order: June 1, 2020
Notice No.:
2020-071
Action:
SEC v. Douglas Leighton, Bass Point Capital, LLC, Azure Capital Corp., Michael Sullivan, David Hall, Zachary Harvey, Paul Dutra, Jason Harman, and Jessica Geran
Case Number: 20-cv-10686 (United States District Court for the District of Massachusetts)
Date Filed: April 7, 2020
Date of Qualifying Judgment/Order: June 3, 2020
Notice No.:
2020-070
Action:
SEC v. Steve M. Bajic, et al.
Case Number: 20-cv-00007 (United States District Court for the Southern District of New York)
Date Filed: January 2, 2020
Date of Qualifying Judgment/Order: May 7, 2020
Notice No.:
2020-069
Action:
SEC v. Navellier & Associates, Inc., and Louis Navellier
Case Number: 17-cv-11633 (United States District Court for the District of Massachusetts)
Date Filed: August 31, 2017
Date of Qualifying Judgment/Order: June 2, 2020
Notice No.:
2020-067
Action:
SEC v. Aequitas Management, LLC; Aequitas Holdings, LLC; Aequitas Commercial Finance, LLC; Aequitas Capital Management, Inc.; Aequitas Investment Management, LLC; Robert J. Jesenik; Brian A. Oliver; and N. Scott Gillis
Case Number: 16-cv-00438 (United States District Court for the District of Oregon)
Date Filed: March 10, 2016
Date of Qualifying Judgment/Order: April 13, 2020
Notice No.:
2020-066
Action:
In the Matter of Bloomberg Tradebook LLC
Administrative Proceeding File No.: 3-19785
Date Filed: May 6, 2020
Date of Qualifying Judgment/Order: May 6, 2020
Notice No.:
2020-065
Action:
In the Matter of Morgan Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-19793
Date Filed: May 12, 2020
Date of Qualifying Judgment/Order: May 12, 2020
Notice No.:
2020-064
Action:
SEC v. Brian Robert Sodi, Capital Financial Media, LLC, and List Data Solutions LLC
Case Number: 18-cv-00313 (United States District Court for the Northern District of Alabama)
Date Filed: February 26, 2018
Date of Qualifying Judgment/Order: April 16, 2020
Notice No.:
2020-063
Action:
SEC v. Renew Spinal Care, Inc., Laserscopic Medical Clinic, LLC, Joe Samuel Bailey, Barry Edward Mitchell, Laurence Grossnickle, and Charles Clement Goubert, Jr.
Case Number: 20-cv-03676 (United States District Court for the Central District of California)
Date Filed: April 22, 2020
Date of Qualifying Judgment/Order: May 12, 2020
Notice No.:
2020-062
Action:
In the Matter of Everest Capital LLC and Marko Dimitrijevic
Administrative Proceeding File No.: 3-19777
Date Filed: April 30, 2020
Date of Qualifying Judgment/Order: April 30, 2020
Notice No.:
2020-061
Action:
In the Matter of Morningstar Credit Ratings, LLC
Administrative Proceeding File No.: 3-19802
Date Filed: May 15, 2020
Date of Qualifying Judgment/Order: May 15, 2020
Notice No.:
2020-068
Action:
In the Matter of Tim Leissner
Administrative Proceeding File No.: 3-19619
Date Filed: December 16, 2019
Date of Qualifying Judgment/Order: December 16, 2019
Notice No.:
2020-060
Action:
In the Matter of Cantor Fitzgerald & Co.
Administrative Proceeding File No: 3-19743
Date Filed: April 6, 2020
Date of Qualifying Judgment/Order: April 6, 2020
Notice No.:
2020-059
Action:
SEC v. Marvin Mychal-Christopher Kendricks, a/k/a “Mychal Kendricks,” and Damilare Sonoiki
Case Number: 18-cv-03695 (United States District Court for the Pennsylvania)
Date Filed: August 29, 2018
Date of Qualifying Judgment/Order: March 18, 2020
Notice No.:
2020-058
Action:
SEC v. International Investment Group, LLC.
Case Number: 19-cv-10796 (United States District Court for the Southern District of New York)
Date Filed: November 21, 2019
Date of Qualifying Judgment/Order: March 30, 2020
Notice No.:
2020-057
Action:
In the Matter of Monomoy Capital Management, L.P.
Administrative Proceeding File No: 3-19764
Date Filed: April 22, 2020
Date of Qualifying Judgment/Order: April 22, 2020
Notice No.:
2020-056
Action:
In the Matter of RBC Capital Markets LLC
Administrative Proceeding File No: 3-19769
Date Filed: April 24, 2020
Date of Qualifying Judgment/Order: April 24, 2020
Notice No.:
2020-055
Action:
SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat At Joe’s, LTD. n/k/a SPYR, Inc.
Case Number: 18-cv-05474 (United States District Court for the Southern District of New York)
Date Filed: June 18, 2018
Date of Qualifying Judgment/Order: April 14, 2020
Notice No.:
2020-054
Action:
In the Matter of Eni S.p.A.
Administrative Proceeding File No: 3-19751
Date Filed: April 17, 2020
Date of Qualifying Judgment/Order: April 17, 2020
Notice No.:
2020-053
Action:
SEC v. Ronald L. Blackburn, Andrew V. Reid, Bruce A. Gwyn, Michael A. Mulshine, Lee C. Schlesinger, Samuel E. Whitley, and Treaty Energy Corporation
Case Number: 15-cv-02451 (United States District Court for the Eastern District of Louisiana)
Date Filed: December 15, 2014
Date of Qualifying Judgment/Order: April 8, 2020
Notice No.:
2020-052
Action:
SEC v. Castleberry Financial Services Group, LLC, T. Jonathon Turner, f/k/a/ “Jon Barri Brothers,” and Norman M. Strell
Case Number: 19-cv-80244 (United States District Court for the Southern District of Florida)
Date Filed: February 19, 2019
Date of Qualifying Judgment/Order: March 31, 2020
Notice No.:
2020-051
Action:
SEC v. Scott O. Hirsch and Kenneth L. Friedman
Case Number: 20-cv-80435 (United States District Court for the Southern District of Florida)
Date Filed: March 17, 2020
Date of Qualifying Judgment/Order: March 19, 2020
Notice No.:
2020-050
Action:
SEC v. The End of the Rainbow Partners, LLC., the Estate of Michael F. Anderson
Case Number: 17-cv-02670 (United States District Court for the District of Colorado)
Date Filed: November 8, 2017
Date of Qualifying Judgment/Order: February 10, 2020
Notice No.:
2020-049
Action:
SEC v. Jeffrey E. Wall and The Lighthouse Events, LLC
Case Number: 19-cv-00139 (United States District Court for the District of Maine)
Date Filed: April 4, 2019
Date of Qualifying Judgment/Order: March 31, 2020
Notice No.:
2020-048
Action:
SEC v. Philip E. Riehl
Case Number: 20-cv-00510 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: January 29, 2020
Date of Qualifying Judgment/Order: January 31, 2020
Notice No.:
2020-047
Action:
SEC v. PTG Capital Partners LTD, PST Capital Group LTD, Nedko Nedev, Strategic Capital Partners Muster Limited, and Strategic Wealth Investments, Inc.
Case Number: 15-cv-04290 (United States District Court for the Southern District of New York)
Date Filed: June 4, 2015
Date of Qualifying Judgment/Order: March 2, 2020
Notice No.:
2020-046
Action:
SEC v. Evegenii Zavodchiko, Extra Trading Company, Andrey Bokarev, Radion Panko, Green Road Corporation, Natalia Andreevna Alepko, Solar Line Inc., Anton Maslov, Tarek Investors Inc.
Case Number: 16-cv-00845 (United States District Court for the District of New Jersey)
Date Filed: February 17, 2016
Date of Qualifying Judgment/Order: February 11, 2020
Notice No.:
2020-045
Action:
SEC v. Henry Ford f/k/a Cleothus Lefty Jackson and Fallcatcher, Inc.
Case Number: 19-cv-02214 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: May 22, 2019
Date of Qualifying Judgment/Order: February 26, 2020
Notice No.:
2020-044
Action:
SEC v. Gregory T. Dean and Donald J. Fowler
Case Number: 17-cv-00139 (United States District Court for the Southern District of New York)
Date Filed: January 9, 2017
Date of Qualifying Judgment/Order: February 28, 2020
Notice No.:
2020-043
Action:
SEC v. ICOBox and Nikolay Evdokimov
Case Number: 19-cv-08066 (United States District Court for the Central District of California)
Date Filed: September 18, 2019
Date of Qualifying Judgment/Order: March 5, 2020
Notice No.:
2020-042
Action:
SEC v. Neil Burkholz, Frank Bianco, Palm Financial Management, LLC, and Shore Management Systems, LLC
Case Number: 19-cv-24713 (United States District Court for the Southern District of Florida)
Date Filed: November 14, 2019
Date of Qualifying Judgment/Order: February 25, 2020
Notice No.:
2020-041
Action:
In the Matter of Cardinal Health, Inc.
Administrative Proceeding File No: 3-19718
Date Filed: February 28, 2020
Date of Qualifying Judgment/Order: February 28, 2020
Notice No.:
2020-040
Action:
In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-19714
Date Filed: February 27, 2020
Date of Qualifying Judgment/Order: February 27, 2020
Notice No.:
2020-039
Action:
SEC v. Francis J. van Steenberge and Nicolas Zanen
Case Number: 15-cv-01469 (United States District Court for the District of Connecticut)
Date Filed: October 9, 2015
Date of Qualifying Judgment/Order: March 4, 2020
Notice No.:
2020-038
Action:
SEC v. Alexander Charles White and Paul Douglas Vandivier
Case Number.: 18-cv-61870 (United States District Court for the Southern District of Florida)
Date Filed: August 13, 2018
Date of Qualifying Judgment/Order: February 25, 2020
Notice No.:
2020-037
Action:
SEC v. Gregg D. Caplitz and Insight Onsite Strategic Management, LLC
Case Number: 13-cv-10612 (United States District Court for the District of Massachusetts)
Date Filed: March 15, 2013
Date of Qualifying Judgment/Order: February 14, 2020
Notice No.:
2020-036
Action:
In the Matter of Wells Fargo & Company
Administrative Proceeding File No.: 3-19704
Date Filed: February 21, 2020
Date of Qualifying Judgment/Order: February 21, 2020
Notice No.:
2020-035
Action:
SEC v. James W. Self, Jr., and Stephen R. Goldfield
Case Number: 10-cv-04430 (Eastern District of Pennsylvania)
Date Filed: September 1, 2010
Date of Qualifying Judgment/Order: October 22, 2010
Notice No.:
2020-034
Action:
SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong
Case Number: 19-cv-05718 (United States District Court for the Southern District of New York
Date Filed: June 19, 2019
Date of Qualifying Judgment/Order: February 11, 2020
Notice No.:
2020-033
Action:
SEC v. Nicholas Lattanzio, Black Diamond Investments, LP, Black Diamond GP, LLC, Black Diamond Investments LLC, and Black Diamond Capital Appreciation Fund, L.P.
Case Number: 15-cv-03883 (United States District Court for the District of New Jersey)
Date Filed: June 10, 2015
Date of Qualifying Judgment/Order: February 3, 2020
Notice No.:
2020-032
Action:
SEC v. Christopher Freeman Brogdon
Case Number: 15-cv-08173 (United States District Court District of New Jersey)
Date Filed: November 20, 2015
Date of Qualifying Judgment/Order: January 19, 2020
Notice No.:
2020-031
Action:
SEC v. Robert A. Ferrante and Marilyn R. Thomassen
Case Number: 18-cv-01758 (United States District Court for the Central District of California)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: February 13, 2020
Notice No.:
2020-030
Action:
In the Matter of Diageo, plc.
Administrative Proceeding File No.: 3-19701
Date Filed: February 19, 2020
Date of Qualifying Judgment/Order: February 19, 2020
Notice No.:
2020-029
Action:
In the Matter of Catalyst Capital Advisors, LLC and Jerry Szilagyi
Administrative Proceeding File No.: 3-19674
Date Filed: January 27, 2020
Date of Qualifying Judgment/Order: January 27, 2020
Notice No.:
2020-028
Action:
SEC v. John Abio, also known as Tre Brandenberg, and Abio Financial Group, Inc.
Case Number.: 17-cv-00411 (United States District Court for the Northern District of Texas)
Date Filed: February 13, 2017
Date of Qualifying Judgment/Order: January 29, 2020
Notice No.:
2020-027
Action:
SEC v. Tennstar Energy, Inc. f/k/a Black Gold Resources, Inc. David R. Greenlee, David A. Stewart, Jr., and Richard “Ric” P. Underwood
Case Number: 17-cv-00151 (United States District Court for the Southern District of Georgia)
Date Filed: August 11, 2017
Date of Qualifying Judgment/Order: January 15, 2020
Notice No.:
2020-025
Action:
SEC v. Scott Charles Messier and Jay Zola Scoratow
Case Number: 20-cv-00105 (United States District Court for the Southern District of California)
Date Filed: January 15, 2020
Date of Qualifying Judgment/Order: January 22, 2020
Notice No.:
2020-026
Action:
SEC v. Landon M. Smith
Case Number: 19-cv-00519 (United States District Court for the District of Utah)
Date Filed: June 23, 2019
Date of Qualifying Judgment/Order: January 16, 2020
Notice No.:
2020-024
Action:
SEC v. James B. Catledge, Derek F. C. Elliot, EMI Resorts (S.V.G) INC., EMI Sun Village, Inc., Sun Village Juan Dolio, Inc.
Case Number: 12-cv-00887 (United States District Court for the District of Nevada)
Date Filed: May 24, 2012
Date of Qualifying Judgment/Order: December 16, 2019
Notice No.:
2020-023
Action:
SEC v. Michael B. Rothenberg, and Rothenberg Ventures LLC (f/k/a Frontier Technology Venture Capital LLC and Rothenberg Ventures Management Company, LLC)
Case Number: 18-cv-05080 (United States District Court for the Northern District of California)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: December 20, 2019
Notice No.:
2020-022
Action:
In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-19639
Date Filed: January 9, 2020
Date of Qualifying Judgment/Order: January 9, 2020
Notice No.:
2020-021
Action:
SEC v. Carlos Ghosn and Gregory L. Kelly
Case Number: 19-cv-08798 (United States District Court for the Southern District of New York)
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: December 26, 2019
Notice No.:
2020-020
Action:
SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC
Case Number: 18-cv-00529 (United States District Court for the Middle District of Tennessee)
Date Filed: March 5, 2018
Date of Qualifying Judgment/Order: December 5, 2019
Notice No.:
2020-019
Action:
SEC v. Jay Costa Kelter
Case Number: 17-cv-01441 (United States District Court for the District of Colorado)
Date Filed: November 9, 2017
Date of Qualifying Judgment/Order: January 6, 2020
Notice No.:
2020-018
Action:
SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano
Case Number: 17-cv-01600 (United States District Court for the Western District of Washington)
Date Filed: April 10, 2017
Date of Qualifying Judgment/Order: January 8, 2020
Notice No.:
2020-017
Action:
SEC v. Guardian Oil & Gas, Inc., Guardian Oil & Natural Gas, Inc., and Rick D. Mullins
Case Number: 14-cv-01533 (United States District Court for the Northern District of Texas)
Date Filed: April 25, 2014
Date of Qualifying Judgment/Order: December 20, 2019
Notice No.:
2020-016
Action:
SEC v. Ariel Darvasi and Amir Waldman
Case Number: 17-cv-02088 (United States District Court for the Southern District of New York)
Date Filed: March 23, 2017
Date of Qualifying Judgment/Order: December 17, 2019
Notice No.:
2020-015
Action:
SEC v. Robert G. Pearson and Illinois Stock Transfer Company (d/b/a IST Shareholder Services)
Case Number: 14-cv-03785 (United States District Court for the Northern District of Illinois)
Date Filed: May 22, 2014
Date of Qualifying Judgment/Order: January 8, 2020
Notice No.:
2020-014
Action:
SEC v. Loren W. Holzhueter, and ISC, Inc. (d/b/a Insurance Service Center)
Case Number: 15-cv-00045 (United States District Court for the Western District of Wisconsin)
Date Filed: January 21, 2015
Date of Qualifying Judgment/Order: December 21, 2016
Notice No.:
2020-013
Action:
SEC v. Richard Johnathan Eden and Christopher Michael Neumann
Case Number: 19-cv-09358 (United States District Court for the Central District of California)
Date Filed: October 31, 2019
Date of Qualifying Judgment/Order: December 13, 2019
Notice No.:
2020-012
Action:
SEC v. Richard T. Cunniffe
Case Number: 18-cv-06667 (United States District Court for the Southern District of New York)
Date Filed: July 25, 2018
Date of Qualifying Judgment/Order: August 15, 2018
Notice No.:
2020-011
Action:
In the Matter of MetLife, Inc.
Administrative Proceeding File No.: 3-19624
Date Filed: December 18, 2019
Date of Qualifying Judgment/Order: December 18, 2019
Notice No.:
2020-010
Action:
In the Matter of Jefferies LLC
Administrative Proceeding File No.: 3-19614
Date Filed: December 10, 2019
Date of Qualifying Judgment/Order: December 10, 2019
Notice No.:
2020-009
Action:
SEC v. Telefonaktiebolaget LM Ericsson
Case Number: 19-cv-11214 (United States District Court for the Southern District of New York)
Date Filed: December 6, 2019
Date of Qualifying Judgment/Order: December 20, 2019
Notice No.:
2020-008
Action:
SEC v. Iconix Brand Group, Inc.
Case Number: 19-cv-11150 (United States District Court for the Southern District of New York)
Date Filed: December 5, 2019
Date of Qualifying Judgment/Order: December 10, 2019
Notice No.:
2020-007
Action:
SEC v. John Special
Case Number: 19-cv-01152 (United States District Court for the Western District of Oklahoma)
Date Filed: December 12, 2019
Date of Qualifying Judgment/Order: December 13, 2019
Notice No.:
2020-006
Action:
SEC v. Michael E. Cone and Greenview Investment Partners, L.P.
Case Number: 18-cv-02349 (United States District Court for the Northern District of Texas)
Date Filed: September 5, 2018
Date of Qualifying Judgment/Order: January 2, 2020
Notice No.:
2020-005
Action:
SEC v. Natural Diamonds Investment Co., Eagle Financial Diamond Group Inc a/k/a Diamante Atelier, Argyle Coin, LLC, Jose Angel Aman, Harold Seigel, and Jonathan H. Seigel
Case Number: 19-cv-80633 (United States District Court for the Southern District of Florida)
Date Filed: May 13, 2019
Date of Qualifying Judgment/Order: December 11, 2019
Notice No.:
2020-004
Action:
In the Matter of Kornitzer Capital Management, Inc. and John C. Kornitzer
Administrative Proceeding File No.: 3-19615
Date Filed: December 10, 2019
Date of Qualifying Judgment/Order: December 10, 2019
Notice No.:
2020-003
Action:
SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken
Case Number: 19-cv-10927 (United States District Court for the Southern District of New York)
Date Filed: November 26, 2019
Date of Qualifying Judgment/Order: December 4, 2019
Notice No.:
2020-002
Action:
SEC v. Micheal A. Skerry
Case Number: 17-cv-00415 (United States District Court for the Northern District of Indiana)
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: December 26, 2019
Notice No.:
2020-001
Action:
SEC v. Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley
Case Number: 16-cv-09829 (United States District Court for the Southern District of New York)
Date Filed: December 21, 2016
Date of Qualifying Judgment/Order: December 23, 2019
Notice No.:
2019-204
Action:
SEC v. Zhunrize, Inc., and Jeff Pan
Case Number: 14-cv-03030 (United States District Court for the Northern District of Georgia)
Date Filed: September 22, 2014
Date of Qualifying Judgment/Order: November 14, 2019
Notice No.:
2019-210
Action:
In the Matter of Morgan Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-19599
Date Filed: November 7, 2019
Date of Qualifying Judgment/Order: November 7, 2019
Notice No.:
2019-209
Action:
SEC v. Toon Goggles, Inc., and Ira Warkol
Case Number: 19-cv-07687 (United States District Court for the Central District of California)
Date Filed: September 5, 2019
Date of Qualifying Judgment/Order: October 29, 2019
Notice No.:
2019-211
Action:
SEC v. Reginald (“Reggie”) Middleton, Veritaseum, Inc., and Veritaseum, LLC
Case Number: 19-cv-04625 (United States District Court for the Eastern District of New York)
Date Filed: August 12, 2019
Date of Qualifying Judgment/Order: November 1, 2019
Notice No.:
2019-208
Action:
SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez
Case Number: 19-cv-04348 (United States District Court for the Central District of California)
Date Filed: May 20, 2019
Date of Qualifying Judgment/Order: November 4, 2019
Notice No.:
2019-207
Action:
SEC v. David Sechovicz
Case Number: 19-cv-12027 (United States District Court for the District of Massachusetts)
Date Filed: September 27, 2019
Date of Qualifying Judgment/Order: November 4, 2019
Notice No.:
2019-206
Action:
In the Matter of Bethany Liou and Golden California Regional Center, LLC
Administrative Proceeding File No.: 3-19597
Date Filed: November 4, 2019
Date of Qualifying Judgment/Order: November 4, 2019
Notice No.:
2019-205
Action:
SEC v. Palm House Hotel LLLP, South Atlantic Regional Center, LLC, Joseph J. Walsh, Sr., and Robert V. Matthews
Case Number: 18-cv-81038 (United States District Court for the Southern District of Florida)
Date Filed: August 3, 2018
Date of Qualifying Judgment/Order: November 20, 2019
Notice No.:
2019-203
Action:
SEC v. The Nutmeg Group, LLC, Randall Goulding, and David Goulding
Case Number: 09-cv-01775 (United States District Court for the Northern District of Illinois)
Date Filed: March 23, 2009
Date of Qualifying Judgment/Order: November 12, 2019
Notice No.:
2019-172
Action:
SEC v. Earl D. Miller, 5 Star Commercial, LLC, and 5 Star Capital Fund, LLC
Case Number: 15-cv-00519 (United States District Court for the Northern District of Indiana)
Date Filed: November 5, 2015
Date of Qualifying Judgment / Order: September 12, 2019
Notice No.:
2019-202
Action:
In the Matter of Mid Atlantic Financial Management, Inc.
Administrative Proceeding File No.: 3-19554
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019
Notice No.:
2019-201
Action:
In the Matter of Founders Financial Securities, LLC
Administrative Proceeding File No.: 3-19570
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019
Notice No.:
2019-200
Action:
In the Matter of IC Advisory Services, Inc.
Administrative Proceeding File No.: 3-19549
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019
Notice No.:
2019-199
Action:
In the Matter of Block.one
Administrative Proceeding File No.: 3-19568
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019
Notice No.:
2019-198
Action:
SEC v. PlexCorps (a/k/a and d/b/a PlexCoin and Sidepay.ca), Dominic Lacroix and Sabrina Paradis-Royer
Case Number: 17-cv-07007 (United States District Court for the Eastern District of New York)
Date Filed: December 1, 2017
Date of Qualifying Judgment / Order: October 2, 2019
Notice No.:
2019-197
Action:
In the Matter of Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC)
Administrative Proceeding File No.: 3-19542
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019
Notice No.:
2019-196
Action:
SEC v. Sandy J. Masselli, J.R., Carlyle Gaming & Entertainment Ltd., Intercapital Partners Ltd. (a/k/a Intercapital Partners Ltd. Liability Companyand Intercapital Partners, LLC), Intercapital Management Ltd., and Appnostiq Interactive Ltd.
Case Number: 18-cv-13269 (United States District Court for the District of New Jersey)
Date Filed: August 28, 2018
Date of Qualifying Judgment / Order: October 8, 2019
Notice No.:
2019-195
Action:
In the Matter of GFI Securities LLC
Administrative Proceeding File No.: 3-19546
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019
Notice No.:
2019-194
Action:
SEC v. American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Howard J. Allen III and Kerri L. Wasserman
Case Number: 16-cv-00828 (United States District Court for the Southern District of New York)
Date Filed: February 3, 2016
Date of Qualifying Judgment / Order: October 1, 2019
Notice No.:
2019-193
Action:
In the Matter of Herbalife Nutrition, Ltd.
Administrative Proceeding File No.: 3-19536
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019
Notice No.:
2019-192
Action:
In the Matter of Independent Financial Group LLC
Administrative Proceeding File No.: 3-19550
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019
Notice No.:
2019-191
Action:
In the Matter of Wedbush Securities
Administrative Proceeding File No.: 3-19553
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019
Notice No.:
2019-190
Action:
In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty
Administrative Proceeding File No.: 3-19543
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019
Notice No.:
2019-189
Action:
In the Matter of Essex Financial Services, Inc.
Administrative Proceeding File No.: 3-19559
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019
Notice No.:
2019-188
Action:
In the Matter of Bill Few Associates, Inc.
Administrative Proceeding File No.: 3-19555
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019
Notice No.:
2019-187
Action:
SEC v. Mylan N.V.
Case Number: 19-cv-02904 (United States District Court for the District of Columbia)
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: October 1, 2019
Notice No.:
2019-186
Action:
In the Matter of FCA US LLC and Fiat Chrysler Automobiles N.V.
Administrative Proceeding File No.: 3-19541
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019
Notice No.:
2019-185
Action:
In the Matter of Serge Matta
Administrative Proceeding File No.: 3-19500
Date Filed: September 24, 2019
Date of Qualifying Judgment / Order: September 24, 2019
Notice No.:
2019-184
Action:
In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp.
Administrative Proceeding File No.: 3-19545
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019
Notice No.:
2019-183
Action:
SEC v. Lek Securities Corporation, Samuel Lek, Vali Managemtn Partners dba Avalon FA Ltd, Nathan Fayyer, and Sergey Pustelnik a/k/a Serge Pustelnik
Case Number: 17-cv-01789 (United States District Court for the Southern District of New York)
Date Filed: March 10, 2017
Date of Qualifying Judgment / Order: October 1, 2019
Notice No.:
2019-182
Action:
SEC v. Victory Ho
Case Number: 17-cv-00895 (United States District Court for the Western District of Louisiana)
Date Filed: July 11, 2017
Date of Qualifying Judgment / Order: October 15, 2019
Notice No.:
2019-181
Action:
In the Matter of Barclays PLC
Administrative Proceeding File No.: 3-19537
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019
Notice No.:
2019-180
Action:
In the Matter of Leonardo Cornide and Jorge Falcon
Administrative Proceeding File No.: 3-19511
Date Filed: September 25, 2019
Date of Qualifying Judgment / Order: September 25, 2019
Notice No.:
2019-179
Action:
In the Matter of Tyler T. Tysdal, Grant M. Carter, Impact Opportunities Fund Management, LLC, TitleCard Capital Group, LLC, and TitleCard Capital Management, LLC
Administrative Proceeding File No.: 3-19463
Date Filed: September 17, 2019
Date of Qualifying Judgment / Order: September 17, 2019
Notice No.:
2019-178
Action:
SEC v. Alpine Securities Corporation
Case Number: 17-cv-04179 (United States District Court for the Southern District of New York)
Date Filed: June 5, 2017
Date of Qualifying Judgment / Order: October 9, 2019
Notice No.:
2019-177
Action:
SEC v. Taj Jerry Mahabub, GenAudio, Inc., and Astound Holdings, Inc.
Case Number: 15-cv-02118 (United States District Court for the District of Colorado)
Date Filed: September 25, 2015
Date of Qualifying Judgment / Order: September 16, 2019
Notice No.:
2019-176
Action:
In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC)
Administrative Proceeding File No.: 3-19563
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019
Notice No.:
2019-175
Action:
In the Matter of Gary F. Pryor and The Pinnacle Companies, LLC
Administrative Proceeding File No.: 3-19540
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019
Notice No.:
2019-174
Action:
SEC v. Equitybuild, Inc., Equitybuild Finance, LLC, Jerome H. Cohen, and Shaun D. Cohen
Case Number: 18-cv-05587 (United States District Court for the Northern District of Illinois)
Date Filed: August 15, 2018
Date of Qualifying Judgment / Order: September 24, 2019
Notice No.:
2019-173
Action:
SEC v. Scott Stacy Phelps and James Michael Harper
Case Number: 18-cv-00122 (United States District Court for the Western District of Kentucky)
Date Filed: August 30, 2018
Date of Qualifying Judgment / Order: October 4, 2019
Notice No.:
2019-152
Action:
SEC v. Samuel DelPresto, MLF Group, LLC, Donald Toomer, Jr., and Darren Goodrich
Case Number: 15-cv-08656 (United States District Court for the District of New Jersey)
Date Filed: December 21, 2015
Date of Qualifying Judgment/Order: September 17, 2019
Notice No.:
2019-154
Action:
SEC v. Strategic Capital Management, LLC and Michael J. Breton
Case Number: 17-cv-10125 (United States District Court for the District of Massachusetts)
Date Filed: January 25, 2017
Date of Qualifying Judgment/Order: September 6, 2019
Notice No.:
2019-155
Action:
In the Matter of Kenneth Wruk
Administrative Proceeding File No.: 3-19427
Date Filed: September 9, 2019
Date of Qualifying Judgment/Order: September 9, 2019
Notice No.:
2019-156
Action:
SEC v. John C. Maccoll
Case Number: 18-cv-12473 (United States District Court for the Eastern District of Michigan)
Date Filed: August 9, 2018
Date of Qualifying Judgment/Order: September 3, 2019
Notice No.:
2019-157
Action:
In the Matter of Raymond James & Associates Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc.
Administrative Proceeding File No.: 3-19464
Date Filed: September 17, 2019
Date of Qualifying Judgment/Order: September 17, 2019
Notice No.:
2019-158
Action:
In the Matter of TechnipFMC, plc
Administrative Proceeding Fine No.: 3-19493
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: September 23, 2019
Notice No.:
2019-159
Action:
In the Matter of PricewaterhouseCoopers LLP
Administrative Proceeding No.: 3-19490
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: September 23, 2019
Notice No.:
2019-160
Action:
In the Matter of The Bancorp, Inc.
Administrative Proceeding No.: 3-19477
Date Filed: September 20, 2019
Date of Qualifying Judgment/Order: September 20, 2019
Notice No.:
2019-161
Action:
In the Matter of Marvell Technology Group, Ltd.
Administrative Proceeding No.: 3-19454
Date Filed: September 16, 2019
Date of Qualifying Judgment/Order: September 16, 2019
Notice No.:
2019-162
Action:
In the Matter of Comscore, Inc.
Administrative Proceeding No.: 3-19499
Date Filed: September 24, 2019
Date of Qualifying Judgment/Order: September 24, 2019
Notice No.:
2019-164
Action:
In the Matter of Quad/Graphics, Inc.
Administrative Proceeding No.: 3-19531
Date Filed: September 26, 2019
Date of Qualifying Judgment/Order: September 26, 2019
Notice No.:
2019-165
Action:
In the Matter of Sigma Planning Corp.
Administrative Proceeding No.: 3-19472
Date Filed: September 19, 2019
Date of Qualifying Judgment/Order: September 19, 2019
Notice No.:
2019-166
Action:
SEC v. Longfin Corp., and Venkata S. Meenavalli
Case Number: 19-cv-05296 (United States District Court for the Southern District of New York)
Date Filed: June 5, 2019
Date of Qualifying Judgment/Order: September 26, 2019
Notice No.:
2019-167
Action:
In the Matter of Nissan Motor Co., LTD.
Administrative Proceeding No.: 3-19492
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: September 23, 2019
Notice No.:
2019-168
Action:
In the Matter of AST Investment Services, Inc. and PGIM Investments LLC
Administrative Proceeding No.: 3-19455
Date Filed: September 16, 2019
Date of Qualifying Judgment/Order: September 16, 2019
Notice No.:
2019-169
Action:
In the Matter of BMO Capital Markets Corp.
Administrative Proceeding No.: 3-19457
Date Filed: September 16, 2019
Date of Qualifying Judgment/Order: September 16, 2019
Notice No.:
2019-170
Action:
In the Matter of Stifel, Nicolaus & Company, Incorporated
Administrative Proceeding No.: 3-19458
Date Filed: September 16, 2019
Date of Qualifying Judgment/Order: September 16, 2019
Notice No.:
2019-171
Action:
SEC v. Daniel Rivas, James Moodhe, Roberto Rodriquez, Rodolfo Sablon, Jhonatan Zoquier, Michael Siva, and Jeffert Rogiers
Case Number: 17-cv-06192 (United States District Court for the Southern District of New York)
Date Filed: August 16, 2017
Date of Qualifying Judgment/Order: September 23, 2019
Notice No.:
2019-163
Action:
In the Matter of TMC Bonds LLC
Administrative Proceeding No.: 3-19501
Date Filed: September 24, 2019
Date of Qualifying Judgment/Order: September 24, 2019
Notice No.:
2019-151
Action:
In the Matter of Juniper Networks, Inc.
Administrative Proceeding File No.: 3-19397
Date Filed: August 29, 2019
Date of Qualifying Judgment/Order: August 29, 2019
Notice No.:
2019-150
Action:
In the Matter of Deutsche Bank AG
Administrative Proceeding File No.: 3-19373
Date Filed: August 22, 2019
Date of Qualifying Judgment/Order: August 22, 2019
Notice No.:
2019-149
Action:
SEC v. Facebook, Inc.
Case Number: 19-cv-04241 (United States District Court for the Northern District of California)
Date Filed: July 24, 2019
Date of Qualifying Judgment/Order: August 22, 2019
Notice No.:
2019-148
Action:
In the Matter of Brixmor Property Group Inc.
Administrative Proceeding File No.: 3-19300
Date Filed: August 1, 2019
Date of Qualifying Judgment/Order: August 1, 2019
Notice No.:
2019-147
Action:
In the Matter of BMO Capital Markets Corporation
Administrative Proceeding File No.: 3-19356
Date Filed: August 16, 2019
Date of Qualifying Judgment/Order: August 16, 2019
Notice No.:
2019-146
Action:
SEC v. Equal Earth, Inc., Andrew J. Duggan, and Ghassan Hamade a/k/a Mark Hamade
Case Number: 19-cv-01138 (United States District Court for the Southern District of California)
Date Filed: June 17, 2019
Date of Qualifying Judgment/Order: August 2, 2019
Notice No.:
2019-145
Action:
SEC v. Andrew I. Farmer, Eddie D. Austin, Jr., Scott R. Sieck, Carolyn P. Austin, and John D. Brotherton
Case Number: 19-cv-01774 (United States District Court for the Southern District of Texas)
Date Filed: May 15, 2019
Date of Qualifying Judgment/Order: July 31, 2019
Notice No.:
2019-144
Action:
SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc. and Global Transition Solutions, LLC
Case Number: 16-cv-04291 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: August 8, 2016
Date of Qualifying Judgment/Order: July 22, 2019
Notice No.:
2019-143
Action:
SEC v. BitQyck, Inc., Bruce E. Bise, and Samuel J. Mendez
Case Number: 19-cv-02059 (United States District Court for the Northern District of Texas)
Date Filed: August 29, 2019
Date of Qualifying Judgment/Order: August 30, 2019
Notice No.:
2019-142
Action:
In the Matter of Alfred C. Teran
Administrative Proceeding File No.: 3-18098
Date Filed: September 5, 2019
Date of Qualifying Judgment/Order: September 5, 2019
Notice No.:
2019-141
Action:
SEC v. 1 Global Capital LLC, and Carl Ruderman
Case Number: 18-cv-61991 (United States District Court for the Southern District of Florida)
Date Filed: August 23, 2018
Date of Qualifying Judgment/Order: August 13, 2019
Notice No.:
2019-140
Action:
SEC v. Henry J. Wieniewitz, and Wieniewitz Financial, LLC
Case Number: 19-cv-61738 (United States District Court for the Southern District of Florida)
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: August 14, 2019
Notice No.:
2019-139
Action:
In the Matter of Lefavi Wealth Management, Inc.
Administrative Proceeding File No.: 3-19411
Date Filed: September 3, 2019
Date of Qualifying Judgment/Order: September 3, 2019
Notice No.:
2019-138
Action:
In the Matter of The Options Clearing Corporation
Administrative Proceeding File No.: 3-19416
Date Filed: September 4, 2019
Date of Qualifying Judgment/Order: September 4, 2019
Notice No.:
2019-137
Action:
SEC v. Sean Kelly; Lion’s Share & Associates, Inc; Lionsshare Tax Services, LLC; and Lion’s Share Financial of East Cobb, Inc.
Case Number: 18-cv-04939 (United States District Court for the Northern District of Georgia)
Date Filed: October 25, 2018
Date of Qualifying Judgment/Order: July 12, 2019
Notice No.:
2019-136
Action:
SEC v. Donald Watkins Sr., Esq., Watkins Pencor, LLC, Masada Resource Group, LLC
Case Number: 16-cv-03298 (United States District Court for the Northern District of Georgia)
Date Filed: September 1, 2016
Date of Qualifying Judgment/Order: July 11, 2019
Notice No.:
2019-135
Action:
SEC v. Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
Case Number: 18-cv-00293 (United States District Court for the Central District of California)
Date Filed: February 20, 2018
Date of Qualifying Judgment/Order: August 21, 2019
Notice No.:
2019-134
Action:
SEC v. Terminus Energy, Inc. Danny B. Pratte, Joseph L. Pittera, George Doumanis, Emanuel Pantelakis, and Joseph Alborano
Case Number: 17-cv-01117 (United States District Court for the Southern District of New York)
Date Filed: February 14, 2017
Date of Qualifying Judgment/Order: August 5, 2019
Notice No.:
2019-133
Action:
In the Matter of Microsoft Corporation
Administrative Proceeding File No.: 3-19260
Date Filed: July 22, 2019
Date of Qualifying Judgment/Order: July 22, 2019
Notice No.:
2019-132
Action:
In the Matter of Nomura Securities International, Inc.
Administrative Proceeding File No.: 3-19249
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: July 15, 2019
Notice No.:
2019-131
Action:
SEC v. AR Capital, LLC, Nicholas S. Schorsch, and Brian S. Block
Case Number: 19-cv-06603 (United States District Court for the Southern District of New York)
Date Filed: July 16, 2019
Date of Qualifying Judgment/Order: July 17, 2019
Notice No.:
2019-130
Action:
SEC v. Robert Donald Bruce Genovese, B.G. Capital Group, LTD., Abraham “Avi” Mirman
Case Number: 17-cv-05821 (United States District Court for the Southern District of New York)
Date Filed: August 1, 2017
Date of Qualifying Judgment/Order: July 1, 2019
Notice No.:
2019-129
Action:
SEC v. Conn’s, Inc. and Michael J. Poppe
Case Number: 19-cv-02534 (United States District Court for the Southern District of Texas)
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: July 16, 2019
Notice No.:
2019-128
Action:
In the Matter of Robert L. Baker, Jacob B. Herrera, Michael D. Bowen, and Terrence A. Ballard
Administrative Proceeding File No.: 3-17716
Date Filed: July 24, 2019
Date of Qualifying Judgment/Order: July 24, 2019
Notice No.:
2019-127
Action:
SEC v. Thomas H. Laws
Case Number: 18-cv-01063 (United States District Court for the District of New Mexico)
Date Filed: November 15, 2018
Date of Qualifying Judgment/Order: June 28, 2019
Notice No.:
2019-126
Action:
SEC v. Ernest J. Romer, III
Case Number: 18-cv-12927 (United States District Court for the Eastern District of Michigan)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: July 17, 2019
Notice No.:
2019-125
Action:
SEC v. Ronald Van Den Heuvel, and Green Box NA Detroit, LLC
Case Number: 17-cv-01261 (United States District Court for the Eastern District of Wisconsin)
Date Filed: September 19, 2017
Date of Qualifying Judgment/Order: July 18, 2019
Notice No.:
2019-124
Action:
In the Matter of Nomura Securities International, Inc.
Administrative Proceeding File No.: 3-19248
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: July 15, 2019
Notice No.:
2019-122
Action:
SEC v. Amit Kanodia and Iftikar Ahmed
Case Number: 15-cv-13042 (United States District Court for the District of Massachusetts)
Date Filed: April 2, 2015
Date of Qualifying Judgment/Order: July 8, 2019
Notice No.:
2019-115
Action:
In the Matter of Industrial and Commercial Bank of China Financial Services LLC
Administrative Proceeding File No.: 3-19202
Date Filed: June 14, 2019
Date of Qualifying Judgment/Order: June 14, 2019
Notice No.:
2019-114
Action:
In the Matter of Wedbush Securities, Inc.
Administrative Proceeding File No.: 3-19205
Date Filed: June 18, 2019
Date of Qualifying Judgment/Order: June 18, 2019
Notice No.:
2019-113
Action:
SEC v. Carol Ann Pedersen
Case Number: 19-cv-02069 (United States District Court for the Central District of California)
Date Filed: March 20, 2019
Date of Qualifying Judgment/Order: April 1, 2019
Notice No.:
2019-112
Action:
SEC v. Ralph T. Iannelli and Essex Capital Corporation
Case Number: 18-cv-05008 (United States District Court for the Central District of California)
Date Filed: June 5, 2018
Date of Qualifying Judgment/Order: June 6, 2019
Notice No.:
2019-111
Action:
SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, and Dorababu Penumarthi
Case Number: 18-cv-02977 (United States District Court for the Southern District of New York)
Date Filed: April 4, 2018
Date of Qualifying Judgment/Order: June 7, 2019
Notice No.:
2019-110
Action:
SEC v. James E. Hocker
Case Number: 18-cv-01251 (United States District Court for the Middle District of Pennsylvania)
Date Filed: June 21, 2018
Date of Qualifying Judgment/Order: May 31, 2019
Notice No.:
2019-109
Action:
SEC v. Edward Lee Moody, Jr. and CM Capital Management, LLC
Case Number: 18-cv-00442 (United States District Court for the Eastern District of Virginia)
Date Filed: June 27, 2018
Date of Qualifying Judgment/Order: June 13, 2019
Notice No.:
2019-108
Action:
In the Matter of KPMG LLP
Administrative Proceeding File No.: 3-19203
Date Filed: June 17, 2019
Date of Qualifying Judgment/Order: June 17, 2019
Notice No.:
2019-107
Action:
In the Matter of Walmart Inc.
Administrative Proceeding File No.: 3-19207
Date Filed: June 20, 2019
Date of Qualifying Judgment/Order: June 20, 2019
Notice No.:
2019-106
Action:
SEC v. Jose G. Ramirez, Jr.
Case Number: 15-cv-02365 (United States District Court for the District of Puerto Rico)
Date Filed: September 29, 2015
Date of Qualifying Judgment/Order: June 28, 2019
Notice No.:
2019-104
Action:
SEC v. Celadon Group, Inc.
Case Number: 19-cv-01659 (United States District Court for the Southern District of Indiana)
Date Filed: April 25, 2019
Date of Qualifying Judgment/Order: July 1, 2019
Notice No.:
2019-103
Action:
SEC v. Daniel H. Glick and Financial Management Strategies, Inc.
Case Number: 17-cv-02251 (United States District Court for the Northern District of Illinois)
Date Filed: March 23, 2017
Date of Qualifying Judgment/Order: January 4, 2019
Notice No.:
2019-102
Action:
SEC v. Kimberly Pine Kitts
Case Number: 18-cv-11507 (United States District Court for the District of Massachusetts)
Date Filed: July 19, 2018
Date of Qualifying Judgment/Order: June 3, 2019
Notice No.:
2019-101
Action:
SEC v. Zev Saltsman, Menachem Eitan, Martin E. Weisberg, Edward G. Newman, Steven A. Newman, and Andrew Brown
Case Number: 07-cv-04370 (United States District Court for the Eastern District of New York)
Date Filed: October 19, 2007
Date of Qualifying Judgment/Order: June 5, 2019
Notice No.:
2019-100
Action:
SEC v. Timothy J. Atkinson, Jay Passerino, All In Publishing, LLC, William E. Berry, Berry MediaWorks, LLC, and Shmuel Pollen
Case Number: 18-cv-23993 (United States District Court for the Southern District of Florida)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: June 5, 2019
Notice No.:
2019-99
Action:
Wealth Strategy Partners, LLP, Harvey Altholtz, Stevens Resources Group, LLC, George Q. Stevens, and Wealth Strategy Partners, LC
Case Number: 14-cv-02427 (United States District Court for the Middle District of Florida)
Date Filed: September 25, 2014
Date of Qualifying Judgment/Order: June 17, 2019
Notice No.:
2019-98
Action:
In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-19221
Date Filed: June 27, 2019
Date of Qualifying Judgment/Order: June 27, 2019
Notice No.:
2019-121
Action:
In the Matter of Fieldstone Financial Management Group, LLC and Kristofor R. Behn
Administrative Proceeding File No.: 3-19227
Date Filed: July 1, 2019
Date of Qualifying Judgment/Order: July 1, 2019
Notice No.:
2019-120
Action:
SEC v. Amrit J. S. Chahal
Case Number: 18-cv-00426 (United States District Court for the Eastern District of Virginia)
Date Filed: April 12, 2018
Date of Qualifying Judgment/Order: June 21, 2019
Notice No.:
2019-119
Action:
SEC v. Donald Milne III and Instaprin Pharmaceuticals, Inc.
Case Number: 19-cv-13024 (United States District Court for the District of New Jersey)
Date Filed: May 29, 2019
Date of Qualifying Judgment/Order: June 6, 2019
Notice No.:
2019-118
Action:
SEC v. Matthew A. Krimm and Krimm Financial Services, LLC
Case Number: 17-cv-00464 (United States District Court for the District of Delaware )
Date Filed: April 25, 2017
Date of Qualifying Judgment/Order: May 28, 2019
Notice No.:
2019-117
Action:
In the Matter of Deer Park Road Management Company, LP, and Scott E. Burg
Administrative Proceeding File No.: 3-19190
Date Filed: June 4, 2019
Date of Qualifying Judgment/Order: June 4, 2019
Notice No.:
2019-116
Action:
SEC v. Devon D. Archer, Bevan T. Cooney, Hugh Dunkerley, Jason W. Galanis, John P. Galanis, Gary T. Hirst, Michelle A. Morton, and Francisco Martin
Case Number: 16-cv-03505 (United States District Court for the Southern District of New York )
Date Filed: May 11, 2016
Date of Qualifying Judgment/Order: May 28, 2019
Notice No.:
2019-87
Action:
In the Matter of Telefônica Brasil S.A.
Administrative Proceeding File No.: 3-19162
Date Filed: May 9, 2019
Date of Qualifying Judgment/Order: May 9, 2019
Notice No.:
2019-86
Action:
SEC v. Jeffrey D. Martin, Thomas L. Tedrow, Christian T. Tedrow, Tyler T. Tedrow, Beaufort Capital Partners LLC, and Robert P. Marino
Case Number: 17-cv-01385 (United States District Court for the Middle District of Florida)
Date Filed: July 27, 2017
Date of Qualifying Judgment/Order: October 31, 2018
Notice No.:
2019-85
Action:
SEC v. Sonya D. Camarco
Case Number: 17-cv-02027 (United States District Court for the District of Colorado)
Date Filed: August 23, 2017
Date of Qualifying Judgment/Order: April 9, 2019
Notice No.:
2019-84
Action:
SEC v. Cash Capital, LLC, America’s Strategic Ore Properties, LLC, and Robert W. Wilson
Case Number: 17-cv-01536 (United States District Court for the Southern District of California)
Date Filed: July 28, 2017
Date of Qualifying Judgment/Order: April 25, 2019
Notice No.:
2019-83
Action:
SEC v. Kristine L. Johnson, Tory A. Barnes, and Work with Troy Barnes, Inc. (d/b/a The Achieve Community)
Case Number: 15-cv-00299 (United States District Court for the District of Colorado)
Date Filed: February 12, 2015
Date of Qualifying Judgment/Order: May 10, 2019
Notice No.:
2019-82
Action:
SEC v. DFRF Enterprises LLC, DFRF Enterprises, LLC; Daniel Fernandes Rojo Filho, Wanderley M. Dalman, Gaspar C. Jesus, Eduardo N. Da Silva, Heriberto C. Perez Valdes, Jeffrey A. Feldman and Romildo Da Cunha
Case Number: 15-cv-12857 (United States District Court for the District of Massachusetts)
Date Filed: June 30, 2015
Date of Qualifying Judgment/Order: May 14, 2019
Notice No.:
2019-97
Action:
SEC v. Blackbird Capital Partners, LLC, Andrew D. Kelley, and Paul H. Shumway
Case Number: 16-cv-01199 (United States District Court for the District of Utah)
Date Filed: November 28, 2016
Date of Qualifying Judgment/Order: March 29, 2019
Notice No.:
2019-96
Action:
SEC v. Daniel Mattes
Case Number: 19-cv-01689 (United States District Court for the Northern District of California)
Date Filed: April 2, 2019
Date of Qualifying Judgment/Order: May 15, 2019
Notice No.:
2019-95
Action:
SEC v. Howard M. Appel
Case Number: 18-cv-03200 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: July 27, 2018
Date of Qualifying Judgment/Order: May 10, 2019
Notice No.:
2019-94
Action:
SEC v. James Thomas Bramlette; The Pelorus Group, LLC; Anthony Mark Hartman; Private Placement Capital Notes II, LLC; Stone Mountain Equities, LLC; Travis Kozlowski, Entelecus Fund, LLC; Aaron John Wernli
Case Number: 18-cv-00761 (United States District Court for the District of Utah)
Date Filed: September 26, 2018
Date of Qualifying Judgment/Order: April 29, 2019
Notice No.:
2019-93
Action:
SEC v. Carol J. Wayland, John C. Mueller, Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership, HP Operations, LLC, C.A.R. Leasing, LLC, Mitchell B. Dow, Barry Liss, and Steve G. Blasko
Case Number: 17-cv-01156 (United States District Court for the Central District of California)
Date Filed: July 6, 2017
Date of Qualifying Judgment/Order: May 8, 2019
Notice No.:
2019-91
Action:
SEC v. Walter C. Little and Andrew M. Berke
Case Number: 17-cv-03536 (United States District Court for the Southern District of New York)
Date Filed: May 11, 2017
Date of Qualifying Judgment/Order: February 22, 2019
Notice No.:
2019-90
Action:
SEC v. Harry Craig Dees
Case Number: 17-cv-00532 (United States District Court for the Eastern District of Tennessee)
Date Filed: December 12, 2017
Date of Qualifying Judgment/Order: May 28, 2019
Notice No.:
2019-89
Action:
SEC v. Home Solutions of America, Inc. Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O’Brien, Stephen C. Gingrich, Thomas L. Davis, and Jeffrey T. Craft
Case Number: 09-cv-02269 (United States District Court for the Northern District of Texas)
Date Filed: November 30, 2009
Date of Qualifying Judgment/Order: December 20, 2018
Notice No.:
2019-92
Action:
SEC v. Nationwide Automated Systems, Inc., Joel Gillis, and Edward Wishner
Case Number: 14-cv-07249 (United States District Court for the Central District of California)
Date Filed: September 17, 2014
Date of Qualifying Judgment/Order: April 25, 2019
Notice No.:
2019-75
Action:
In the Matter of Fresenius Medical Care AG & Co. KGaA
Administrative Proceeding File No.: 3-19126
Date Filed: March 29, 2019
Date of Qualifying Judgment/Order: March 29, 2019
Notice No.:
2019-74
Action:
In the Matter of Next Financial Group, Inc.
Administrative Proceeding File No.: 3-19066
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-73
Action:
In the Matter of Prosper Funding LLC
Administrative Proceeding File No.: 3-19148
Date Filed: April 19, 2019
Date of Qualifying Judgment/Order: April 19, 2019
Notice No.:
2019-72
Action:
SEC v. Craig H. Carton, Joseph G. Meli, Advance Entertainment, LLC, Advancem LTD, Misoluki, Inc., Misoluki, LLC, Ticket Jones LLC, and Tier One Tickets, LLC
Case Number: 17-cv-06764 (United States District Court for the Southern District of New York)
Date Filed: September 6, 2017
Date of Qualifying Judgment/Order: April 11, 2019
Notice No.:
2019-71
Action:
SEC v. Timothy S. Batchelor
Case Number: 18-cv-00650 (United States District Court for the Northern District of Georgia)
Date Filed: February 13, 2018
Date of Qualifying Judgment/Order: February 5, 2019
Notice No.:
2019-70
Action:
SEC v. Michael T. Rand
Case Number: 09-cv-01780 (United States District Court for the Northern District of Georgia)
Date Filed: July 1, 2009
Date of Qualifying Judgment/Order: April 1, 2019
Notice No.:
2019-81
Action:
SEC v. Michael Allen Duke, Martin Delaine Lewis, Mark Christopher Parman, Kenneth Edward Shelton, and Billy Ray Statham, Jr.
Case Number: 19-cv-00857 (United States District Court for the Northern District of Texas)
Date Filed: April 8, 2019
Date of Qualifying Judgment/Order: April 25, 2019
Notice No.:
2019-80
Action:
In the Matter of Dennis Gibbs and Sweetwater Investments, Inc.
Administrative Proceeding File No.: 3-19123
Date Filed: March 28, 2019
Date of Qualifying Judgment/Order: March 28, 2019
Notice No.:
2019-79
Action:
In the Matter of Stephens Inc.
Administrative Proceeding File No.: 3-19099
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-78
Action:
SEC v. Edward Durante, Abida Khan, Larry Werbel, Christopher Cervino, Walter Reissman, Kenneth Wise, and Evolution Partners Wealth Management LLC
Case Number: 15-cv-09874 (United States District Court for the Southern District of New York)
Date Filed: January 6, 2016
Date of Qualifying Judgment/Order: March 20, 2019
Notice No.:
2019-77
Action:
SEC v. North Star Finance LLC, Thomas G. Ellis, Yasuo Oda, Thomas H. Vetter, Michael K. Martin, Sharon L. Salinas, Capital Source Funding LLC, and Capital Source Lending LLC
Case Number: 15-cv-01339 (United States District Court for the District of Maryland)
Date Filed: May 11, 2015
Date of Qualifying Judgment/Order: February 7, 2019
Notice No.:
2019-76
Action:
SEC v. Adam C. Derbyshire
Case Number: 18-cv-08891 (United States District Court for the Southern District of New York)
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: April 4, 2019
Notice No.:
2019-52
Action:
In the Matter of Summit Financial Group, Inc.
Administrative Proceeding File No.: 3-19071
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-51
Action:
SEC v. Ronald C. Montano, Travis Stephenson, Antonio Giacca and Michael Wright
Case Number: 18-cv-01606 (United States District Court for the Middle District of Florida)
Date Filed: September 27, 2019
Date of Qualifying Judgment/Order: March 5, 2019
Notice No.:
2019-50
Action:
In the Matter of Mobile TeleSystems PJSC
Administrative Proceeding File No.: 3-19022
Date Filed: March 6, 2019
Date of Qualifying Judgment/Order: March 6, 2019
Notice No.:
2019-49
Action:
SEC v. Pedro Fort Berbel, Fort Marketing Group LLC
Case Number: 17-cv-23572 (United States District Court for the Southern District of Florida)
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: March 19, 2019
Notice No.:
2019-48
Action:
In the Matter of Ameritas Investment Corp.
Administrative Proceeding File No.: 3-19058
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-47
Action:
SEC v. Chad C. McGinnis and Sergey Pugach
Case Number: 14-cv-00006 (United States District Court for the District of Vermont)
Date Filed: July 24, 2013
Date of Qualifying Judgment/Order: February 22, 2019
Notice No.:
2019-46
Action:
In the Matter of Principal Securities, Inc.
Administrative Proceeding File No.: 3-19057
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-45
Action:
In the Matter of Benjamin F. Edwards & Co., Inc.
Administrative Proceeding File No.: 3-19054
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-44
Action:
In the Matter of Transamerica Financial Advisors, Inc.
Administrative Proceeding File No.: 3-19053
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-43
Action:
In the Matter of Robert W. Baird & Co. Incorporated
Administrative Proceeding File No.: 3-19051
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-42
Action:
In the Matter of Cambridge Investment Research Advisors, Inc.
Administrative Proceeding File No.: 3-19045
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-41
Action:
SEC v. John Gregory Schmidt
Case Number: 18-cv-00320 (United States District Court for the Southern District of Ohio)
Date Filed: September 25, 2018
Date of Qualifying Judgment/Order: February 19, 2019
Notice No.:
2019-40
Action:
In the Matter of Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.
Administrative Proceeding File No.: 3-19040
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-39
Action:
In the Matter of LPL Financial LLC
Administrative Proceeding File No.: 3-19039
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-38
Action:
In the Matter of Commonwealth Equity Services, LLC
Administrative Proceeding File No.: 3-19035
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-56
Action:
In the Matter of AXA Advisors, LLC
Administrative Proceeding File No.: 3-19078
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-69
Action:
In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-19102
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-55
Action:
In the Matter of SSN Advisory, Inc.
Administrative Proceeding File No.: 3-19031
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-68
Action:
In the Matter of M Holdings Securities, Inc.
Administrative Proceeding File No.: 3-19096
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-67
Action:
In the Matter of First Republic Investment Management, Inc.
Administrative Proceeding File No.: 3-19095
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-66
Action:
In the Matter of Stifel, Nicolaus & Company, Incorporated
Administrative Proceeding File No.: 3-19092
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-65
Action:
In the Matter of Kestra Advisory Services, LLC
Administrative Proceeding File No.: 3-19088
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-63
Action:
In the Matter of BB&T Securities, LLC
Administrative Proceeding File No.: 3-19020
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-62
Action:
In the Matter of RBC Capital Markets, LLC
Administrative Proceeding File No.: 3-19101
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-61
Action:
SEC v. Scott Newsholme
Case Number: 17-cv-06813 (United States District Court for the District of New Jersey)
Date Filed: September 6, 2017
Date of Qualifying Judgment/Order: March 22, 2019
Notice No.:
2019-60
Action:
In the Matter of Lumber Liquidators Holdings, Inc.
Administrative Proceeding File No.: 3-19104
Date Filed: March 12, 2019
Date of Qualifying Judgment/Order: March 12, 2019
Notice No.:
2019-59
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-19114
Date Filed: March 22, 2019
Date of Qualifying Judgment/Order: March 22, 2019
Notice No.:
2019-37
Action:
In the Matter of ProEquities, Inc.
Administrative Proceeding File No.: 3-19028
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-36
Action:
In the Matter of Raymond James Financial Services Advisors, Inc.
Administrative Proceeding File No.: 3-19029
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-64
Action:
In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-19100
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-58
Action:
SEC v. Robert P. DePalo, Joshua B. Gladtke, Gregg A. Lerman, Pangaea Trading Partners LLC, Arjent LLC, Arjent Limited, and Excalibur Asset Management LLC
Case Number: 15-cv-03877 (United States District Court for the Southern District of New York)
Date Filed: May 20, 2015
Date of Qualifying Judgment/Order: February 5, 2019
Notice No.:
2019-57
Action:
In the Matter of PlanMember Securities Corporation
Administrative Proceeding File No.: 3-19080
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-54
Action:
In the Matter of Woodbury Financial Services, Inc.
Administrative Proceeding File No.: 3-19077
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-53
Action:
In the Matter of TIAA-CREF Individual & Institutional Services, LLC
Administrative Proceeding File No.: 3-19032
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019
Notice No.:
2019-35
Action:
SEC v. Jersey Consulting LLC, Marc Andrew Tager, Matthew Earl Mangum, Suzanne Aileen Gagnier, Kenneth Stephen Gross, Jeffrey Rowland Lebarton, Jonathan Edward Shoucair, Edward Dean Goss, Dana Kenton Harrloe, and Nicholi Mandracken
Case Number: 18-cv-00155 (United States District Court for the District of Utah)
Date Filed: February 20, 2018
Date of Qualifying Judgment/Order: January 2, 2019
Notice No.:
2019-34
Action:
SEC v. Michael Scronic
Case Number: 17-cv-07615 (United States District Court for the Southern District of New York)
Date Filed: October 5, 2017
Date of Qualifying Judgment/Order: February 11, 2019
Notice No.:
2019-31
Action:
SEC v. Troy Joseph Flowers, Sean Paul Nevett, and Fruition, Inc. (f/k/a Seacoast Advisors, Inc.)
Case Number: 17-cv-01456 (United States District Court for the Southern District of California)
Date Filed: July 19, 2017
Date of Qualifying Judgment/Order: January 10, 2019
Notice No.:
2019-30
Action:
In the Matter of Cognizant Technology Solutions Corporation
Administrative Proceeding File No.: 3-19000
Date Filed: February 15, 2019
Date of Qualifying Judgment/Order: February 15, 2019
Notice No.:
2019-29
Action:
In the Matter of Andrew F. Nicoletta, Bella Industries LLC, Cranberry Rock Investments, Inc., and J.J. Newport Group, Inc.
Administrative Proceeding File No.: 3-18941
Date Filed: December 19, 2018
Date of Qualifying Judgment/Order: December 19, 2018
Notice No.:
2019-28
Action:
In the Matter of Deloitte Touche Tohmatsu LLC, Futomichi Amano, and Yuji Itagaki
Administrative Proceeding File No.: 3-18997
Date Filed: February 13, 2019
Date of Qualifying Judgment/Order: February 13, 2019
Notice No.:
2019-27
Action:
In the Matter of Crowe Horwath LLP, Joseph C. Macina, CPA, and Kevin V. Wydra, CPA
Administrative Proceeding File No.: 3-18953
Date Filed: December 21, 2018
Date of Qualifying Judgment/Order: December 21, 2018
Notice No.:
2019-26
Action:
SEC v. AriseBank, Jared Rice Sr., and Stanley Ford
Case Number: 18-cv-00186 (United States District for the Northern District of Texas)
Date Filed: January 25, 2018
Date of Qualifying Judgment/Order: December 11, 2018
Notice No.:
2019-25
Action:
SEC v. Tycoon Energy, Inc. and Matthew Dee Nerbonne
Case Number: 16-cv-00693 (United States District Court for the Eastern District of Texas)
Date Filed: September 9, 2016
Date of Qualifying Judgment/Order: December 12, 2018
Notice No.:
2019-24
Action:
SEC v. Barry M. Kornfeld, Ferne Kornfeld, FEK Enterprises, Inc., d/b/a First Financial Tax Group, Andrew G. Costa, Costa Financial Insurance Services, Corp., Albert D. Klager, and Atlantic Insurance & Financial Services, Inc.
Case Number: 18-cv-23369 (United States District Court for the Southern District of Florida)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: January 14, 2019
Notice No.:
2019-22
Action:
SEC v. Robert Yang, Claudia Kano, Suncor Fontana, LLC, Suncor Hesperia, LLC, and Suncor Care Lynwood, LLC
Case Number: 15-cv-02387 (United States District Court for the Central District of California)
Date Filed: November 19, 2015
Date of Qualifying Judgment/Order: January 9, 2019
Notice No.:
2019-10
Action:
In the Matter of Agria Corporation
Administrative Proceeding File No.: 3-18917
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018
Notice No.:
2019-11
Action:
In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-18931
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018
Notice No.:
2019-12
Action:
In the Matter of Yucaipa Master Manager, LLC
Administrative Proceeding File No.: 3-18930
Date Filed: December 13, 2018
Date of Qualifying Judgment/Order: December 13, 2018
Notice No.:
2019-5
Action:
In the Matter of Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randal “Randy” Hartley
Administrative Proceeding File No.: 3-18952
Date Filed: December 21, 2018
Date of Qualifying Judgment/Order: December 21, 2018
Notice No.:
2019-6
Action:
In the Matter of Santander Consumer USA Holdings, Inc.
Administrative Proceeding File No.: 3-18932
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018
Notice No.:
2019-7
Action:
SEC v. David H. Brooks
Case Number: 07-cv-61526 (United States District Court for the Southern District of Florida)
Date Filed: October 25, 2007
Date of Qualifying Judgment/Order: December 12, 2018
Notice No.:
2019-8
Action:
In the Matter of Centrais Elétricas Brasileiras S.A.
Administrative Proceeding File No.: 3-18962
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: December 26, 2018
Notice No.:
2019-9
Action:
SEC v. Jordan E. Goodman
Case Number: 18-cv-25303 (United States District Court for the Southern District of Florida)
Date Filed: December 18, 2018
Date of Qualifying Judgment/Order: December 21, 2018
Notice No.:
2019-21
Action:
In the Matter of Polycom, Inc.
Administrative Proceeding File No.: 3-18964
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: December 26, 2018
Notice No.:
2019-20
Action:
SEC v. John Afriyie and Lawrencia Afriyie
Case Number: 16-cv-02777 (United States District Court for the Southern District of New York)
Date Filed: April 13, 2016
Date of Qualifying Judgment/Order: November 27, 2018
Notice No.:
2019-19
Action:
SEC v. Sunwest Management, Inc. Canyon Creek Development, Inc., Canyon Creek Financial, LLC and Jon M. Harder
Case Number: 09-cv- 06056 (United States District Court for the District of Oregon)
Date Filed: March 2, 2009
Date of Qualifying Judgment/Order: December 7, 2018
Notice No.:
2019-18
Action:
SEC v. James V. Mazzo, David L. Parker, and Eddie C. Murray
Case Number: 12-cv-01327 (United States District Court for the Central District of California)
Date Filed: August 17, 2012
Date of Qualifying Judgment/Order: December 7, 2018
Notice No.:
2019-17
Action:
In the Matter of NB Alternatives Advisers LLC
Administrative Proceeding File No.: 3-18935
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018
Notice No.:
2019-16
Action:
In the Matter of American Portfolios Advisors, Inc.
Administrative Proceeding File No.: 3-18946
Date Filed: December 20, 2018
Date of Qualifying Judgment/Order: December 20, 2018
Notice No.:
2019-15
Action:
In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation
Administrative Proceeding File No.: 3-18965
Date Filed: December 31, 2018
Date of Qualifying Judgment/Order: December 31, 2018
Notice No.:
2019-14
Action:
In the Matter of JP Morgan Chase Bank, N.A.
Administrative Proceeding File No.: 3-18963
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: December 26, 2018
Notice No.:
2019-13
Action:
In the Matter of Bank of New York Mellon
Administrative Proceeding File No.: 3-18933
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018
Notice No.:
2019-1
Action:
In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC
Administrative Proceeding File No.: 3-18927
Date Filed: December 12, 2018
Date of Qualifying Judgment/Order: December 12, 2018
Notice No.:
2019-2
Action:
In the Matter of Citadel Securities LLC
Administrative Proceeding File No.: 3-18915
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018
Notice No.:
2019-3
Action:
In the Matter of Natixis Securities Americas LLC
Administrative Proceeding File No.: 3-18916
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018
Notice No.:
2019-4
Action:
In the Matter of MUFG Securities Americas Inc.
Administrative Proceeding File No.: 3-18914
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018
Notice No.:
2018-162
Action:
SEC v. Douglas P. Simanski
Case Number: 18-cv-00221 (United States District Court for the Western District of Pennsylvania)
Date Filed: November 2, 2018
Date of Qualifying Judgment/Order: November 6, 2018
Notice No.:
2018-161
Action:
SEC v. Keenan Gracey
Case Number: 18-cv-03872 (United States District Court for the Central District of California)
Date Filed: May 10, 2018
Date of Qualifying Judgment/Order: November 6, 2018
Notice No.:
2018-160
Action:
SEC v. Edward Chen, Jean Chen, Home Paradise Investment Center LLC, GH Investment LP, GH Design Group, LLC, Golden Galaxy LP, and Mega Home, LLC
Case Number: 17-cv-06929 (United States District Court for the Central District of California)
Date Filed: September 20, 2017
Date of Qualifying Judgment/Order: November 20, 2018
Notice No.:
2018-159
Action:
SEC v. Eric Lesak, Global Research, LLC (PA), and Global Research, LLC (NY)
Case Number: 18-cv- 01951 (United States District Court for the District of Columbia)
Date Filed: August 21, 2018
Date of Qualifying Judgment/Order: October 29, 2018
Notice No.:
2018-154
Action:
SEC v. Charles A. Banks, IV
Case Number: 16-cv-03399 (United States District Court for the Northern District of Georgia)
Date Filed: September 9, 2016
Date of Qualifying Judgment/Order: November 1, 2018
Notice No.:
2018-155
Action:
SEC v. John Sherman Jumper, Alluvion Securities, LLC, American Investments Fund, II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC
Case Number: 18-cv-02259 (United States District Court for the Western District of Tennessee)
Date Filed: April 17, 2018
Date of Qualifying Judgment/Order: November 1, 2018
Notice No.:
2018-156
Action:
In the Matter of Vantage Drilling International
Administrative Proceeding File No.: 3-18899
Date Filed: November 19, 2018
Date of Qualifying Judgment/Order: November 19, 2018
Notice No.:
2018-157
Action:
SEC v. Steve Qi and Law Offices of Steve Qi & Associates, A Professional Corporation
Case Number: 17-cv-08856 (United States District Court for the Central District of California)
Date Filed: December 8, 2017
Date of Qualifying Judgment/Order: November 5, 2018
Notice No.:
2018-158
Action:
In the Matter of Fifth Street Management, LLC
Administrative Proceeding File No.: 3-18909
Date Filed: December 3, 2018
Date of Qualifying Judgment/Order: December 3, 2018
Notice No.:
2018-153
Action:
SEC v. Tesla, Inc.
Case Number: 18-cv- 08947 (United States District Court for the Southern District of New York)
Date Filed: September 29, 2018
Date of Qualifying Judgment/Order: October 16, 2018
Notice No.:
2018-152
Action:
SEC v. Elon Musk
Case Number: 18-cv-08865 (United States District Court for the Southern District of New York)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: October 16, 2018
Notice No.:
2018-151
Action:
In the Matter of ITG Inc. and AlterNet Securities, Inc.
Administrative Proceeding File No.: 3-18887
Date Filed: November 7, 2018
Date of Qualifying Judgment/Order: November 7, 2018
Notice No.:
2018-150
Action:
SEC v. Lawrence P. Schmidt; Futuregen Company d/b/a Futuregen Capital Commercial Equity Partners, LTD.; FGC Distressed Assets Investment #1, LLC; Futuregen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC
Case Number: 14-cv-01002 (United States District Court for the District of Columbia)
Date Filed: June 12, 2014
Date of Qualifying Judgment/Order: October 3, 2018
Notice No.:
2018-149
Action:
In the Matter of Citibank, N.A.
Administrative Proceeding File No.: 3-18886
Date Filed: November 7, 2018
Date of Qualifying Judgment/Order: November 7, 2018
Notice No.:
2018-148
Action:
SEC v. Lawrence E. Penn, III, Michael St. Altura Ewers, Camelot Acquisitions Secondary Opportunities Management, LLC, The Camelot Group International, LLC, and Ssecurion, LLC
Case Number: 14-cv- 00581 (United States District Court for the Southern District of New York)
Date Filed: January 30, 2014
Date of Qualifying Judgment/Order: October 1, 2018
Notice No.:
2018-138
Action:
SEC v. Tangoe, Inc., Albert R. Subbloie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach
Case Number: 18-cv-01479 (United States District Court for the District of Connecticut)
Date Filed: September 4, 2018
Date of Qualifying Judgment/Order: October 10, 2018
Notice No.:
2018-139
Action:
SEC v. William M. Apostelos, WMA Enterprises, LLC, Midwest Green Resources, LLC, and Ovo Wealth Management, LLC
Case Number: 15-cv-00699 (United States District Court for the Southern District of Ohio)
Date Filed: October 29, 2015
Date of Qualifying Judgment/Order: October 1, 2018
Notice No.:
2018-140
Action:
SEC v. Iftikar Ahmed
Case Number: 15-cv-00675 (United States District Court for the District of Connecticut)
Date Filed: May 6, 2015
Date of Qualifying Judgment/Order: September 27, 2018
Notice No.:
2018-141
Action:
SEC v. SeaWorld Entertainment, Inc., and James Atchison
Case Number: 18-cv-08480 (United States District Court for the Southern District of New York)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: October 4, 2018
Notice No.:
2018-142
Action:
SEC v. Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC
Case Number: 18-cv-61234 (United States District Court for the Southern District of Florida)
Date Filed: June 4, 2018
Date of Qualifying Judgment/Order: October 29, 2018
Notice No.:
2018-143
Action:
SEC v. Matthew Carl Griffin and William Daniel Griffin
Case Number: 16-cv-00902 (United States District Court for the Eastern District of Texas)
Date Filed: November 23, 2016
Date of Qualifying Judgment/Order: October 9, 2018
Notice No.:
2018-144
Action:
SEC v. Thurman P. Bryant, III, and Bryant United Capital Funding, Inc.
Case Number: 17-cv-00336 (United States District Court for the Eastern District of Texas)
Date Filed: May 15, 2017
Date of Qualifying Judgment/Order: October 9, 2018
Notice No.:
2018-146
Action:
SEC v. Jason McDiarmid, Kenneth George Cedric Telford and Stop Sleep Go. Inc., fka Interactive Multi-Media Auction Corp.
Case Number: 17-cv-07201 (United States District Court for the Central District of California)
Date Filed: September 29, 2017
Date of Qualifying Judgment/Order: November 19, 2018
Notice No.:
2018-137
Action:
SEC v. Peter C. Chang
Case Number: 17-cv-05438 (United States District Court for the Northern District of California)
Date Filed: September 20, 2017
Date of Qualifying Judgment/Order: September 17, 2018
Notice No.:
2018-135
Action:
In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA
Administrative Proceeding File No.: 3-18806
Date Filed: September 20, 2018
Date of Qualifying Judgment/Order: September 20, 2018
Notice No.:
2018-134
Action:
In the Matter of Capital Analysts, LLC
Administrative Proceeding File No.: 3-18765
Date Filed: September 14, 2018
Date of Qualifying Judgment/Order: September 14, 2018
Notice No.:
2018-133
Action:
SEC v. Dennis Wayne Hamilton
Case Number: 16-cv-00192 (United States District Court for the District of Connecticut)
Date Filed: February 5, 2016
Date of Qualifying Judgment/Order: September 25, 2018
Notice No.:
2018-132
Action:
In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC
Administrative Proceeding File No.: 3-18766
Date Filed: September 14, 2018
Date of Qualifying Judgment/Order: September 14, 2018
Notice No.:
2018-131
Action:
In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-18857
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018
Notice No.:
2018-130
Action:
In the Matter of Stryker Corporation
Administrative Proceeding File No.: 3-18853
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018
Notice No.:
2018-129
Action:
SEC v. Sharone Perlstein, Aric Yerusalem Swartz a/k/a Eric Yerusalem Swartz and Hadas Miriam Yaron
Case Number: 18-cv-01026 (United States District Court for the Eastern District of New York)
Date Filed: February 16, 2018
Date of Qualifying Judgment/Order: September 27, 2018
Notice No.:
2018-127
Action:
SEC v. NL Technology, LLC, Jonny Ngo, and Donato Baca, Jr.
Case Number: 18-cv-02253 (United States District Court for the Southern District of California)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: September 28, 2018
Notice No.:
2018-126
Action:
In the Matter of Convergex Execution Solutions, LLC, now known as Cowen Execution Services LLC
Administrative Proceeding File No.: 3-18761
Date Filed: September 13, 2018
Date of Qualifying Judgment/Order: September 13, 2018
Notice No.:
2018-125
Action:
In the Matter of Petróleo Brasileiro S.A. – Petrobras
Administrative Proceeding File No.: 3-18843
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: September 27, 2018
Notice No.:
2018-124
Action:
In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr
Administrative Proceeding File No.: 3-18819
Date Filed: September 21, 2018
Date of Qualifying Judgment/Order: September 21, 2018
Notice No.:
2018-123
Action:
SEC v. Steve H. Karroum a/k/a Mustapha Karroum, and FX & Beyond Corporation
Case Number: 17-cv-00187 (United States District Court for the Eastern District of Virginia)
Date Filed: February 21, 2017
Date of Qualifying Judgment/Order: September 10, 2018
Notice No.:
2018-122
Action:
In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon
Administrative Proceeding File No.: 3-18850
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018
Notice No.:
2018-121
Action:
In the Matter of United Technologies Corporation
Administrative Proceeding File No.: 3-18745
Date Filed: September 12, 2018
Date of Qualifying Judgment/Order: September 12, 2018
Notice No.:
2018-120
Action:
In the Matter of Sanofi
Administrative Proceeding File No.: 3-18708
Date Filed: September 4, 2018
Date of Qualifying Judgment/Order: September 4, 2018
Notice No.:
2018-119
Action:
SEC v. Commodities Online, LLC and Commodities Online Management, LLC
Case Number: 11-cv-60702 (United States District Court for the Southern District of Florida)
Date Filed: April 1, 2011
Date of Qualifying Judgment/Order: September 24, 2018
Notice No.:
2018-118
Action:
In the Matter of Mark R. Graham, Blue Capital Management, Inc., and Blue Alternative Asset Management, LLC
Administrative Proceeding File No.: 3-18724
Date Filed: September 6, 2018
Date of Qualifying Judgment/Order: September 6, 2018
Notice No.:
2018-117
Action:
In the Matter of LendingClub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud LaPlanche
Administrative Proceeding File No.: 3-18855
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018
Notice No.:
2018-116
Action:
SEC v. Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast
Case Number:18-cv-02381 (United States District Court for the District of Colorado)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: September 19, 2018
Notice No.:
2018-115
Action:
In the Matter of Putnam Investment Management, LLC and Zachary Harrison
Administrative Proceeding File No.: 3-18844
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: September 27, 2018
Notice No.:
2018-114
Action:
SEC v. Hope Advisors, LLC, and Karen Bruton
Case Number: 16-cv-01752 (United States District Court for the Northern District of Georgia)
Date Filed: May 31, 2016
Date of Qualifying Judgment/Order: September 14, 2018
Notice No.:
2018-113
Action:
SEC v. CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin
Case Number: 15-cv-01068 (United States District Court for the Middle District of North Carolina)
Date Filed: December 16, 2015
Date of Qualifying Judgment/Order: September 26, 2018
Notice No.:
2018-112
Action:
SEC v. Intertech Solutions, Inc., William Scott Marshall, and David Michael Naylor
Case Number: 18-cv-01566 (United States District Court for the District of Nevada)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: August 23, 2018
Notice No.:
2018-111
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18651
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: August 20, 2018
Notice No.:
2018-110
Action:
In the Matter of Citigroup Global Markets Inc. and Citigroup Inc.
Administrative Proceeding File No.: 3-18647
Date Filed: August 16, 2018
Date of Qualifying Judgment/Order: August 16, 2018
Notice No.:
2018-109
Action:
In the Matter of Citigroup, Inc.
Administrative Proceeding File No.: 3-18646
Date Filed: August 16, 2018
Date of Qualifying Judgment/Order: August 16, 2018
Notice No.:
2018-108
Action:
SEC v. Jason W. Galanis, John P. Galanis, Jared M. Galanis, Derek M. Galanis, Gary T. Hirst, and Gavin L. Hamels
Case Number: 15-cv-07547 (United States District Court for the Southern District of New York)
Date Filed: September 24, 2015
Date of Qualifying Judgment/Order: August 9, 2018
Notice No.:
2018-107
Action:
SEC v. David A. Harbour
Case Number: 18-cv-02401 (United States District Court for the District of Arizona)
Date Filed: July 31, 2018
Date of Qualifying Judgment/Order: August 9, 2018
Notice No.:
2018-106
Action:
SEC v. William Z. (“Billy”) McFarland, Frye Media, Inc., Magnises, Inc., Grant Margolin, and Daniel Simon
Case Number: 18-cv-06634 (United States District Court for the Southern District of New York)
Date Filed: July 25, 2018
Date of Qualifying Judgment/Order: August 1, 2018
Notice No.:
2018-105
Action:
In the Matter of Moody’s Investors Service, Inc.
Administrative Proceeding File No.: 3-18689
Date Filed: August 28, 2018
Date of Qualifying Judgment/Order: August 28, 2018
Notice No.:
2018-104
Action:
In the Matter of Ribbon Communications Inc., Mark Greenquist, and Michael Swade
Administrative Proceeding File No.: 3-18624
Date Filed: August 7, 2018
Date of Qualifying Judgment/Order: August 7, 2018
Notice No.:
2018-103
Action:
In the Matter of Moody’s Investors Service, Inc.
Administrative Proceeding File No.: 3-18688
Date Filed: August 28, 2018
Date of Qualifying Judgment/Order: August 28, 2018
Notice No.:
2018-101
Action:
SEC v. Core Performance Management, LLC, James P. Scherr, Deborah B. Dora, Sharlene F. Mesite, James O’Neil, and Anadel R. Pinzon
Case Number: 18-cv-81081 (United States District Court for the Southern District of Florida)
Date Filed: August 14, 2018
Date of Qualifying Judgment/Order: August 16, 2018
Notice No.:
2018-100
Action:
In the Matter of Ameriprise Financial Services, Inc.
Administrative Proceeding File No.: 3-18642
Date Filed: August 15, 2018
Date of Qualifying Judgment/Order: August 15, 2018
Notice No.:
2018-99
Action:
In the Matter of Jinesh P. Brahmbhatt
Administrative Proceeding File No.: 3-18635
Date Filed: August 9, 2018
Date of Qualifying Judgment/Order: August 9, 2018
Notice No.:
2018-98
Action:
SEC v. Mieka Energy Corporation, Vadda Energy Corporation, Daro Ray Blankenship, Robert William Myers, Jr., and Stephen Romo
Case Number: 15-cv-00300 (United States District Court for the Northern District of Texas)
Date Filed: April 10, 2015
Date of Qualifying Judgment/Order: August 6, 2018
Notice No.:
2018-97
Action:
SEC v. Lynette M. Robbins and Knowles Systems, Inc.
Case Number: 18-cv-23368 (United States District Court for the Southern District of Florida)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: August 24, 2018
Notice No.:
2018-96
Action:
In the Matter of AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc.
Administrative Proceeding File No.: 3-18681
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018
In the Matter of Bradley J. Beman
Administrative Proceeding File No.: 3-18682
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018
In the Matter of Kevin A. Giles
Administrative Proceeding File No.: 3-18683
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018
Notice No.:
2018-95
Action:
SEC v. Gary S. Williky
Case Number: 15-cv-00357 (United States District Court for the Southern District of Indiana)
Date Filed: March 2, 2015
Date of Qualifying Judgment/Order: August 6, 2018
Notice No.:
2018-94
Action:
In the Matter of Massachusetts Financial Services Company
Administrative Proceeding File No.: 3-18704
Date Filed: August 31, 2018
Date of Qualifying Judgment/Order: August 31, 2018
Notice No.:
2018-93
Action:
In the Matter of Hari K. Ravichandran
Administrative Proceeding File No.: 3-18653
Date Filed: August 21, 2018
Date of Qualifying Judgment/Order: August 21, 2018
In the Matter of Waruna Tivanka Ellawala
Administrative Proceeding File No.: 3-18654
Date Filed: August 21, 2018
Date of Qualifying Judgment/Order: August 21, 2018
Notice No.:
2018-92
Action:
In the Matter of Legg Mason, Inc.
Administrative Proceeding File No.: 3-18684
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018
Notice No.:
2018-91
Action:
SEC v. Medient Studios, Inc., FONU2, Inc., Manu Kumaran, Joel A. “Jake” Shapiro, and Roger Miguel
Case Number: 16-cv-00253 (United States District Court for the Southern District of Georgia)
Date Filed: September 23, 2016
Date of Qualifying Judgment/Order: August 3, 2018
Notice No.:
2018-90
Action:
SEC v. T.J. Jesky, Esq. and Mark DeStefano
Case Number: 18-cv-05980 (United States District Court for the Southern District of New York)
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 9, 2018
Notice No.:
2018-89
Action:
SEC v. Paul Z. Singer and Singer Financial Corp.
Case Number: 17-cv-05053 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: November 9, 2017
Date of Qualifying Judgment/Order: July 24, 2018
Notice No.:
2018-87
Action:
In the Matter of Deutsche Bank Trust Company Americas
Administrative Proceeding File No.: 3-18605
Date Filed: July 20, 2018
Date of Qualifying Judgment/Order: July 20, 2018
Notice No.:
2018-86
Action:
In the Matter of BGC Financial, L.P.
Administrative Proceeding File No.: 3-18598
Date Filed: July 17, 2018
Date of Qualifying Judgment/Order: July 17, 2018
Notice No.:
2018-85
Action:
SEC v. Charles Schwab & Co. Inc.
Case Number: 18-cv-03942 (United States District Court for the Northern District of California)
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 9, 2018
Notice No.:
2018-84
Action:
In the Matter of Advanced Drainage Systems, Inc. and Mark B Sturgeon, CPA
Administrative Proceeding File No.: 3-18582
Date Filed: July 10, 2018
Date of Qualifying Judgment/Order: July 10, 2018
Notice No.:
2018-83
Action:
In the Matter of Mizuho Securities USA LLC
Administrative Proceeding File No.: 3-18069
Date Filed: July 23, 2018
Date of Qualifying Judgment/Order: July 23, 2018
Notice No.:
2018-82
Action:
SEC v. Robert Gadimian (a/k/a Robert Ghadimian)
Case Number: 16-cv-11955 (United States District Court for the District of Massachusetts)
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: July 19, 2018
Notice No.:
2018-81
Action:
SEC v. James VanBlaricum, Rodney L. Pope, Chet Inglis, Matthew Leaverton, William Hill, Erik Rhodes, and Robert Gilliam
Case Number: 18-cv-00518 (United States District Court for the Northern District of Texas)
Date Filed: June 26, 2018
Date of Qualifying Judgment/Order: July 6, 2018
Notice No.:
2018-80
Action:
SEC v. Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies
Case Number: 15-cv-02767 (United States District Court for the Southern District of Texas)
Date Filed: September 22, 2015
Date of Qualifying Judgment/Order: July 5, 2018
Notice No.:
2018-79
Action:
SEC v. United Development Funding III, LP; United Development Funding IV; Hollis M. Greenlaw; Benjamin L. Wissink; Theodore F. Etter; Cara D. Obert; and David A. Hanson
Case Number: 18-cv-01735 (United States District Court for the Northern District of Texas)
Date Filed: July 3, 2018
Date of Qualifying Judgment/Order: July 31, 2018
Notice No.:
2018-78
Action:
SEC v. Erick Laszlo Mathe and Ashif Jiwa
Case Number: 14-cv-23573 (United States District Court for the Southern District of Florida)
Date Filed: September 26, 2014
Date of Qualifying Judgment/Order: July 3, 2018
Notice No.:
2018-77
Action:
In the Matter of The Dow Chemical Company
Administrative Proceeding File No.: 3-18570
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 2, 2018
Notice No.:
2018-76
Action:
SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell
Case Number: 16-cv-01877 (United States District Court for the District of Minnesota)
Date Filed: June 7, 2016
Date of Qualifying Judgment/Order: July 11, 2018
Notice No.:
2018-75
Action:
SEC v. Yasuna Murakami; Avi Chiat; MC2 Capital Management, LLC; MC2 Canada Capital Management, LLC
Case Number: 17-cv-10928 (United States District Court for the District of Massachusetts)
Date Filed: May 22, 2017
Date of Qualifying Judgment/Order: August 6, 2018
Notice No.:
2018-74
Action:
SEC v. Joseph Meli, Matthew Harriton, 875 Holdings, LLC, 127 Holdings LLC, Advance Entertainment, LLC, and Advance Entertainment II, LLC
Case Number: 17-cv-00632 (United States District Court for the Southern District of New York)
Date Filed: January 27, 2017
Date of Qualifying Judgment/Order: July 13, 2018
Notice No.:
2018-73
Action:
In the Matter of THL Managers V, LLC and THL Managers VI, LLC
Administrative Proceeding File No.: 3-18565
Date Filed: June 29, 2018
Date of Qualifying Judgment/Order: June 29, 2018
Notice No.:
2018-88
Action:
In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-18606
Date Filed: July 20, 2018
Date of Qualifying Judgment/Order: July 20, 2018
Notice No.:
2018-71
Action:
In the Matter of Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-18566
Date Filed: June 29, 2018
Date of Qualifying Judgment/Order: June 29, 2018
Notice No.:
2018-70
Action:
In the Matter of deVere USA, Inc.
Administrative Proceeding File No.: 3-18527
Date Filed: June 4, 2018
Date of Qualifying Judgment/Order: June 4, 2018
Notice No.:
2018-69
Action:
In the Matter of Cantor Fitzgerald & Co.
Administrative Proceeding File No.: 3-18560
Date Filed: June 29, 2018
Date of Qualifying Judgment/Order: June 29, 2018
Notice No.:
2018-68
Action:
SEC v. Pacific West Capital Group, Inc.; Andrew B Calhoun IV; PWCG Trust; Brenda Christine Barry; Bak West, Inc.; Andrew B Calhoun Jr.; Eric Christopher Cannon; Century Point, LLC; Michael Wayne Dotta; and Caleb Austin Moody (dba Sky Stone)
Case Number: 15-cv-02563 (United States District Court for Central District of California)
Date Filed: April 7, 2015
Date of Qualifying Judgment/Order: June 18, 2018
Notice No.:
2018-67
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18549
Date Filed: June 19, 2018
Date of Qualifying Judgment/Order: June 19, 2018
Notice No.:
2018-66
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18538
Date Filed: June 12, 2018
Date of Qualifying Judgment/Order: June 12, 2018
Notice No.:
2018-65
Action:
In the Matter of Beam Inc., n/k/a Beam Suntory Inc.
Administrative Proceeding File No.: 3-18568
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 2, 2018
Notice No.:
2018-64
Action:
SEC v. Texas Coastal Energy Company, LLC and Jefferey A. Gordon
Case Number: 18-cv-01587 (United States District Court for the Northern District of Texas)
Date Filed: June 19, 2018
Date of Qualifying Judgment/Order: June 28, 2018
Notice No.:
2018-63
Action:
In the Matter of KBR, Inc.
Administrative Proceeding File No.: 3-18569
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 2, 2018
Notice No.:
2018-62
Action:
SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon
Case Number: 17-cv-01894 (United States District Court for the Western District of Washington)
Date Filed: December 19, 2017
Date of Qualifying Judgment/Order: June 7, 2018
Notice No.:
2018-61
Action:
SEC v. David Howard Welch, Marc Jay Bryant, John Charles Knight, Perry Douglas West, Bio-Global Resources, Inc., Diversified Equities, Inc., Diversified Equities Development, Inc., and New Global Energy, Inc.
Case Number: 17-cv-01968 (United States District Court for the Central District of California)
Date Filed: September 27, 2017
Date of Qualifying Judgment/Order: June 18, 2018
Notice No.:
2018-60
Action:
SEC v. Quadrant 4 System Corp., Nandu Thondavadi, and Dhru Desai
Case Number: 17-cv-04883 (United States District Court for the Northern District of Illinois)
Date Filed: June 29, 2017
Date of Qualifying Judgment/Order: June 25, 2018
Notice No.:
2018-59
Action:
In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-18556
Date Filed: June 25, 2018
Date of Qualifying Judgment/Order: June 25, 2018
Notice No.:
2018-58
Action:
In the Matter of Constant Contact, Inc. and Endurance International Group Holdings, Inc.
Administrative Proceeding File No.: 3-18531
Date Filed: June 5, 2018
Date of Qualifying Judgment/Order: June 5, 2018
Notice No.:
2018-57
Action:
In the Matter of Credit Suisse Group AG
Administrative Proceeding File No.: 3-18571
Date Filed: July 5, 2018
Date of Qualifying Judgment/Order: July 5, 2018
Notice No.:
2018-56
Action:
In the Matter of Visium Asset Management, LP
Administrative Proceeding File No.: 3-18473
Date Filed: May 8, 2018
Date of Qualifying Judgment/Order: May 8, 2018
Notice No.:
2018-55
Action:
SEC v. SW Argyll Investments, LLC (d/b/a Argyll Investments, LLC), James T. Miceli, Douglas A. McClain, Jr., Amerifund Capital Finance, LLC, and Jeffrey Spanier
Case Number: 12-cv-00646 (United States District Court for the Southern District of California)
Date Filed: March 15, 2012
Date of Qualifying Judgment/Order: April 26, 2018
Notice No.:
2018-54
Action:
SEC v. GC Resources, LLC and Brian J. Polito
Case Number: 15-cv-01048 (United States District Court for the Northern District of Texas)
Date Filed: April 6, 2015
Date of Qualifying Judgment/Order: May 7, 2018
Notice No.:
2018-53
Action:
In the Matter of Altaba Inc., f/d/b/a Yahoo! Inc.
Administrative Proceeding File No.: 3-18448
Date Filed: April 24, 2018
Date of Qualifying Judgment/Order: April 24, 2018
Notice No.:
2018-52
Action:
In the Matter of PNC Investments LLC
Administrative Proceeding File No.: 3-18426
Date Filed: April 6, 2018
Date of Qualifying Judgment/Order: April 6, 2018
Notice No.:
2018-51
Action:
SEC v. Merrill Robertson, Jr., Sherman C. Vaughn, Jr., and Cavalier Union Investments, LLC
Case Number: 16-cv-00667 (United States District Court for the Eastern District of Virginia)
Date Filed: August 10, 2016
Date of Qualifying Judgment/Order: April 3, 2018
Notice No.:
2018-50
Action:
SEC v. Capital Cover Bancorp LLC; Christopher M. Less aka Rashid K. Khalfani
Case Number: 15-cv-00980 (United States District Court for the Central District of California)
Date Filed: June 19, 2015
Date of Qualifying Judgment/Order: March 22, 2018
Notice No.:
2018-49
Action:
In the Matter of The Dun & Bradstreet Corporation
Administrative Proceeding File No.: 3-18446
Date Filed: April 23, 2018
Date of Qualifying Judgment/Order: April 23, 2018
Notice No.:
2018-48
Action:
In the Matter of Panasonic Corporation
Administrative Proceeding File No.: 3-18459
Date Filed: April 30, 2018
Date of Qualifying Judgment/Order: April 30, 2018
Notice No.:
2018-47
Action:
In the Matter of Geneos Wealth Management, Inc.
Administrative Proceeding File No.: 3-18425
Date Filed: April 6, 2018
Date of Qualifying Judgment/Order: April 6, 2018
Notice No.:
2018-46
Action:
In the Matter of Securities America Advisors, Inc.
Administrative Proceeding File No.: 3-18424
Date Filed: April 6, 2018
Date of Qualifying Judgment/Order: April 6, 2018
Notice No.:
2018-45
Action:
SEC v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan
Case Number: 15-cv-00053 (United States District Court for the District of North Dakota)
Date Filed: May 5, 2015
Date of Qualifying Judgment/Order: April 25, 2018
Notice No.:
2018-44
Action:
SEC v. Lucita A. Zamoras
Case Number: 17-cv-02528 (United States District Court for the Northern District of Illinois)
Date Filed: April 3, 2017
Date of Qualifying Judgment/Order: March 9, 2018
Notice No.:
2018-43
Action:
SEC v. McKinley Mortgage Co. LLC, McKinley Mortgage Company, LLC, Tobias J. Preston, Charles G. Preston, Caleb J. Preston, and Laura A. Sanford
Case Number: 18-cv-00616 (United States District Court for the Eastern District of California)
Date Filed: March 22, 2018
Date of Qualifying Judgment/Order: March 27, 2018
Notice No.:
2018-42
Action:
In the Matter of Voya Investments, LLC and Direct Services LLC
Administrative Proceeding File No.: 3-18393
Date Filed: March 8, 2018
Date of Qualifying Judgment/Order: March 8, 2018
Notice No.:
2018-41
Action:
In the Matter of Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. DeWitt, Jr., CPA
Administrative Proceeding File No.: 3-18408
Date Filed: March 27, 2018
Date of Qualifying Judgment/Order: March 27, 2018
Notice No.:
2018-40
Action:
In the Matter of Steven Zoernack and EquityStar Capital Management, LLC
Administrative Proceeding File No.: 3-17157
Date Filed: March 8, 2016
Date of Qualifying Judgment/Order: February 26, 2018
Notice No.:
2018-39
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18392
Date Filed: March 8, 2018
Date of Qualifying Judgment/Order: March 8, 2018
Notice No.:
2018-38
Action:
Matthew W. Fox and Wayne Energy, LLC
Case Number: 17-cv-00271 (United States District Court for the Eastern District of Texas)
Date Filed: April 19, 2017
Date of Qualifying Judgment/Order: March 8, 2018
Notice No.:
2018-37
Action:
SEC v. Howard B. Present
Case Number: 14-cv-14692 (United States District Court for the District of Massachusetts)
Date Filed: December 22, 2014
Date of Qualifying Judgment/Order: March 22, 2018
Notice No.:
2018-36
Action:
SEC v. James Hugh Brennan III; Douglas Albert Dyer; and Broad Street Ventures, LLC
Case Number:16-cv-00307 (United States District Court for the Eastern District of Tennessee)
Date Filed: July 20, 2016
Date of Qualifying Judgment/Order: February 20, 2018
Notice No.:
2018-35
Action:
SEC v. Revolutions Medical Corp. and Rondald L. Wheet
Case Number: 12-cv-03298 (United States District Court for the Northern District of Georgia)
Date Filed: September 21, 2012
Date of Qualifying Judgment/Order: March 16, 2018
Notice No.:
2018-34
Action:
SEC v. JSG Capital Investments, LLC, JSG Capital, LLC, JSG Capital, LLC, JSG Enterprises, LLC, Jaswants S. Gill, and Javier Rios
Case Number: 16-cv-02814 (United States District Court for the Northern District of California)
Date Filed: May 25, 2015
Date of Qualifying Judgment/Order: September 12, 2017
Notice No.:
2018-33
Action:
SEC v. Kevin J. Amell
Case Number: 17-cv-10707 (United States District Court for the District of Massachusetts)
Date Filed: April 24, 2017
Date of Qualifying Judgment/Order: February 2, 2018
Notice No.:
2018-32
Action:
In the Matter of New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.
Administrative Proceeding File No.: 3-18388
Date Filed: March 6, 2018
Date of Qualifying Judgment/Order: March 6, 2018
Notice No.:
2018-31
Action:
In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon
Administrative Proceeding File No.: 3-18367
Date Filed: February 12, 2018
Date of Qualifying Judgment/Order: February 12, 2018
Notice No.:
2018-30
Action:
SEC v. James P. Griffin, John Wolle, 54Freedom Inc., 54Freedom Securities Inc., 54Freedom Tele Inc., MoneyIns Inc., 54Freedom Foundation Inc., 5 Ledyard Avenue LLC, 5 Ledyard Corporation, and IICNet LLC
Case Number: 15-cv-00927 (United States District Court for the Northern District of New York)
Date Filed: July 30, 2015
Date of Qualifying Judgment/Order: February 23, 2018
Notice No.:
2018-29
Action:
SEC v. Steven Ventre, Dedicated Sound and Audio, Inc., Eric Lovy f/k/a Eric Beltran, and Choice Equity
Case Number: 18-cv-00323 (United States District Court for the Central District of California)
Date Filed: February 26, 2018
Date of Qualifying Judgment/Order: March 2, 2018
Notice No.:
2018-28
Action:
In the Matter of Wedbush Securities Inc.
Administrative Proceeding File No.: 3-18357
Date Filed: February 5, 2018
Date of Qualifying Judgment/Order: February 5, 2018
Notice No.:
2018-27
Action:
SEC v. Matthew D. Sample
Case Number: 14-cv-01218 (United States District Court for the Northern District of Texas)
Date Filed: April 4, 2014
Date of Qualifying Judgment/Order: February 2, 2018
Notice No.:
2018-26
Action:
SEC v. LottoNet Operating Corp., David Gray, Joseph Vitale a/k/a Donovan Kelly
Case Number: 17-cv-21033 (United States District Court for the Southern District of Florida)
Date Filed: March 20, 2017
Date of Qualifying Judgment/Order: February 26, 2018
Notice No.:
2018-25
Action:
SEC v. Daniel P. McKelvey, Alvin S. Mirman, Steven Sanders, Scott F. Hughes, Jeffrey L. Lamson, and Edward G. Sanders
Case Number: 15-cv-80496 (United States District Court for the Southern District of Florida)
Date Filed: April 16, 2015
Date of Qualifying Judgment/Order: February 23, 2018
Notice No.:
2018-23
Action:
SEC v. James C. Howard III, Michael R. Casey, and Louis N. Gallo III
Case Number: 12-cv-61731 (United States District Court for the Southern District of Florida)
Date Filed: September 5, 2012
Date of Qualifying Judgment/Order: February 15, 2018
Notice No.:
2018-17
Action:
SEC v. U.S. EB-5 Investments LLC, Oakland Office Holdings LLC, B.X Wok Construction LLC, US Investment LLC d/b/a US Investment FL LLC, Top Sun Energy LLC, Ocean Blvd. Family Limited Partnership, Ltd., B.X Property Management LLC, US1 Real Estate Developments, LLC, and Investor Asset Protection, LLC
Case Number: 15-cv-62323 (United States District Court for the Southern District of Florida)
Date Filed: November 3, 2015
Date of Qualifying Judgment/Order: January 22, 2018
Notice No.:
2018-21
Action:
SEC v. Thomas Edward Andrews and Scott Walter Christensen
Case Number: 17-cv-00256 (United Stated District Court for the District of Utah)
Date Filed: April 5, 2017
Date of Qualifying Judgment/Order: January 29, 2018
Notice No.:
2018-20
Action:
SEC v. Marquis Properties, LLC, Chad Deucher, and Richard Clatfelter
Case Number: 16-cv-00040 (United States District Court for the District of Utah)
Date Filed: January 19, 2016
Date of Qualifying Judgment/Order: January 30, 2018
Notice No.:
2018-19
Action:
SEC v. Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc.
Case Number: 16-cv-05143 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: September 28, 2016
Date of Qualifying Judgment/Order: November 30, 2017
Notice No.:
2018-18
Action:
SEC v. Brian A. Bjork; Estate of Joel David Salinas; J. David Group of Companies, Inc.; J. David Financial Group, L.P.; Select Asset Management, LLC; Select Capital Management, LLC; Select Asset Fund I, LLC; and Select Asset Prime Index Fund, LLC
Case Number: 11-cv-02830 (United States District Court for the Southern District of Texas)
Date Filed: August 1, 2011
Date of Qualifying Judgment/Order: January 8, 2018
Notice No.:
2018-22
Action:
SEC v. Michael L. Hudson
Case Number: 17-cv-00520 (United Stated District Court for the Southern District of Ohio)
Date Filed: August 4, 2017
Date of Qualifying Judgment/Order: January 9, 2018
Notice No.:
2018-16
Action:
In the Matter of Industrial and Commercial Bank of China Financial Services LLC
Administrative Proceeding File No.: 3-18341
Date Filed: January 18, 2018
Date of Qualifying Judgment/Order: January 18, 2018
Notice No.:
2018-15
Action:
SEC v. David B. Kaplan, Esq., Synchronized Organizational Solutions, LLC, Synchronized Organizational Solutions International, Ltd., and Manna International Enterprises, Inc.
Case Number: 16-cv-00270 (United States District Court for the District of Nevada)
Date Filed: May 19, 2016
Date of Qualifying Judgment/Order: January 9, 2018
Notice No.:
2018-14
Action:
SEC v. Hadsell Chemical Processing, LLC and Robert Walton, Jr.
Case Number: 17-cv-00432 (United States District Court for the Southern District of Ohio)
Date Filed: May 17, 2017
Date of Qualifying Judgment/Order: February 1, 2018
Notice No.:
2018-13
Action:
SEC v. Geoffrey H. Lunn, Darlene A. Bishop, and Vincent G. Curry
Case Number: 12-cv-02767 (United States District Court for the District of Colorado)
Date Filed: October 18, 2012
Date of Qualifying Judgment/Order: January 31, 2018
Notice No.:
2018-12
Action:
SEC v. David S. Haddad, Trafalgar Square Risk Management, LLC, and New England RE, LLC
Case Number: 18-cv-00055 (United States District Court for the District of Connecticut)
Date Filed: January 11, 2018
Date of Qualifying Judgment/Order: January 18, 2018
Notice No.:
2018-11
Action:
SEC v. Eric J. McPhail, Douglas A. Parigian, John J. Gilmartin, Douglas Clapp, James A. Drohen, John C. Drohen, and Jamie A. Meadows
Case Number: 14-cv-12958 (United States District Court for the District of Massachusetts)
Date Filed: July 11, 2014
Date of Qualifying Judgment/Order: January 11, 2018
Notice No.:
2018-10
Action:
SEC v. John V. Bivona; Saddle River Advisors, LLC; SRA Management Associates, LLC; Frank Gregory Mazzola
Case Number: 16-cv-01386 (United States District Court for the Northern District of California)
Date Filed: March 22, 2016
Date of Qualifying Judgment/Order: December 22, 2017
Notice No.:
2018-9
Action:
In the Matter of Train, Babcock Advisors LLC
Administrative Proceeding File No.: 3-18324
Date Filed: December 22, 2017
Date of Qualifying Judgment/Order: December 22, 2017
Notice No.:
2018-8
Action:
SEC v. Enviro Board Corporation, Glenn B. Camp, William J. Peiffer, and Joshua D. Mosshart
Case Number: 16-cv-06427 (United States District Court for the Central District of California)
Date Filed: August 26, 2016
Date of Qualifying Judgment/Order: December 6, 2017
Notice No.:
2018-7
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18318
Date Filed: December 21, 2017
Date of Qualifying Judgment/Order: December 21, 2017
Notice No.:
2018-6
Action:
In the Matter of Ameriprise Financial Services, Inc.
Administrative Proceeding File No.: 3-18301
Date Filed: December 8, 2017
Date of Qualifying Judgment/Order: December 8, 2017
Notice No.:
2018-5
Action:
In the Matter of TPG Capital Advisors, LLC
Administrative Proceeding File No.: 3-18317
Date Filed: December 21, 2017
Date of Qualifying Judgment/Order: December 21, 2017
Notice No.:
2018-4
Action:
SEC v. Jason A. Halek, Joshua D. Spivey, Patrick J. Booths, and Steven J. Little
Case Number: 14-cv-01106 (United States District Court for the Northern District of Texas)
Date Filed: March 28, 2014
Date of Qualifying Judgment/Order: November 30, 2017
Notice No.:
2018-3
Action:
SEC v. Team Resources, Inc., Fossil Energy Corporation, Kevin A. Boyles, Philip A. Dressner, Michael Eppy, Andrew Stitt, and John Olivia
Case Number: 15-cv-01045 (United States District Court for the Northern District of Texas)
Date Filed: April 6, 2015
Date of Qualifying Judgment/Order: November 20, 2017
Notice No.:
2018-2
Action:
SEC v. Thomas J. Buck
Case Number: 17-cv-03984 (United States District Court for the Southern District of Indiana)
Date Filed: October 31, 2017
Date of Qualifying Judgment/Order: December 21, 2017
Notice No.:
2018-1
Action:
SEC v. Boston Trading and Research, LLC, Ahmet Devrim Akyil, and Craig Karlis
Case Number: 10-cv-11841 (United States District Court for the District of Massachusetts)
Date Filed: October 28, 2010
Date of Qualifying Judgment/Order: December 12, 2017
Notice No.:
2017-175
Action:
SEC v. Naris Chamroonrat, Yaniv Avnon, Ran Armon, G Six Trading Y.R. Ltd., and Adam L. Plumer, and NKO Holdings Co. Ltd.
Case Number: 16-cv-09403 (United States District Court for the District of New Jersey)
Date Filed: December 21, 2016 (amended May 11, 2017)
Date of Qualifying Judgment/Order: November 21, 2017
Notice No.:
2017-174
Action:
SEC v. Ming Zhao and Liping Zhu
Case Number: 12-cv-01316 (United States District Court for the Southern District of New York)
Date Filed: February 22, 2012
Date of Qualifying Judgment/Order: July 24, 2015
Notice No.:
2017-173
Action:
SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab
Case Number: 17-cv-04866 (United States District Court for the Southern District of New York)
Date Filed: June 28, 2017
Date of Qualifying Judgment/Order: November 20, 2017
Notice No.:
2017-172
Action:
SEC v. Osiris Therapeutics, Inc., Philip R. Jacoby, Jr., Gregory I. Law, Lode B. Debrabandere, Bobby Dwayne Montgomery
Case Number: 17-cv-03230 (United States District Court for the District of Maryland)
Date Filed: November 2, 2017
Date of Qualifying Judgment/Order: November 7, 2017
Notice No.:
2017-171
Action:
In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-18279
Date Filed: November 13, 2017
Date of Qualifying Judgment/Order: November 13, 2017
Notice No.:
2017-170
Action:
SEC v. Imperial Petroleum, Inc., Jeffrey Wilson, Craig Ducey, Chad Ducey, Brian Carmichael, Joseph Furando, Evelyn Katirina Pattison (a/k/a Katirina Tracy), Caravan Trading, LLC, CIMA Green, LLC, and CIMA Energy Group
Case Number: 13-cv-01489 (United States District Court for the Southern District of Indiana)
Date Filed: September 18, 2013
Date of Qualifying Judgment/Order: November 28, 2017
Notice No.:
2017-169
Action:
SEC v. Capital Financial Partners, LLC, Capital Financial Holdings, LLC, Capital Financial Partners Enterprises, LLC, William D. Allen and Susan C. Daub
Case Number: 15-cv-11447 (United States District Court for the District of Massachusetts)
Date Filed: April 1, 2015
Date of Qualifying Judgment/Order: November 17, 2017
Notice No.:
2017-168
Action:
SEC v. Dwight Shane Baldwin and Silverleaf Financial, LLC
Case Number: 15-cv-00458 (United States District Court for the District of Utah)
Date Filed: June 25, 2015
Date of Qualifying Judgment/Order: October 12, 2017
Notice No.:
2017-167
Action:
In the Matter of Henry Lin-Han Jan
Administrative Proceeding File No.: 3-18267
Date Filed: October 26, 2017
Date of Qualifying Judgment/Order: October 26, 2017
In the Matter of Artemus Mayor
Administrative Proceeding File No.: 3-18268
Date Filed: October 26, 2017
Date of Qualifying Judgment/Order: October 26, 2017
Notice No.:
2017-166
Action:
SEC v. Renwick Haddow, Bar Works, Inc., Bar Works 7th Avenue, Inc., and Bitcoin Store, Inc.
Case Number: 16-cv-04950 (United States District Court for the Southern District of New York)
Date Filed: June 30, 2017
Date of Qualifying Judgment/Order: October 20, 2017
Notice No.:
2017-165
Action:
SEC v. Haena Park
Case Number: 16-cv-04103 (United States District Court for the Southern District of New York)
Date Filed: June 2, 2016
Date of Qualifying Judgment/Order: September 25, 2017
Notice No.:
2017-164
Action:
In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-18270
Date Filed: October 27, 2017
Date of Qualifying Judgment/Order: October 27, 2017
Notice No.:
2017-163
Action:
SEC v. The Leonard Vincent Group, Leonard Vincent Lombardo, and Brian A. Hudlin
Case Number: 17-cv-05723 (United States District Court for the Eastern District of New York)
Date Filed: September 29, 2017
Date of Qualifying Judgment/Order: October 11, 2017
Notice No.:
2017-162
Action:
SEC v. International Stock Transfer, Inc., and Cecil Franklin Speight
Case Number: 14-cv-04435 (United States District Court for the Eastern District of New York)
Date Filed: July 23, 2014
Date of Qualifying Judgment/Order: October 6, 2017
Notice No.:
2017-161
Action:
SEC v. JustInfo LLC, David Weddle, and Scott Allensworth
Case Number: 17-cv-07426 (United States District Court for the Central District of California)
Date Filed: October 11, 2017
Date of Qualifying Judgment/Order: October 25, 2017
Notice No.:
2017-160
Action:
In the Matter of Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.), John T. Porter, and Thomas F. Duszynski, CPA
Administrative Proceeding File No.: 3-17740
Date Filed: October 26, 2017
Date of Qualifying Judgment/Order: October 26, 2017
Notice No.:
2017-159
Action:
SEC v. The Estate of Vincent James Saviano and Palmetto Investments, LLC
Case Number: 14-cv-13902 (United States District Court for the Eastern District of Michigan)
Date Filed: October 9, 2014
Date of Qualifying Judgment/ Order: October 6, 2017
Notice No.:
2017-158
Action:
SEC v. Louis Martin Blazer, III
Case Number: 16-cv-03384 (United States District Court for the Southern District of New York)
Date Filed: May 6, 2017
Date of Qualifying Judgment/Order: August 4, 2017
Notice No.:
2017-157
Action:
SEC v. Edward Bronson and E-Lionheart Associates, LLC d/b/a Fairhills Capital
Case Number: 12-cv-06421(United States District Court for the Southern District of New York)
Date Filed: August 22, 2012
Date of Qualifying Judgment/Order: August 28, 2017
Notice No.:
2017-156
Action:
SEC v. Charles C. Liu; Xin Wang a/k/a Lisa Want; Pacific Proton Therapy Regional Center, LLC; Pacific Proton EB-5 Fund, LLC; and Beverly Proton Center, LLC f/k/a Los Angeles Country Proton Therapy, LLC
Case Number: 16-cv-00974 (United States District Court for the Central District of California)
Date Filed: May 26, 2016
Date of Qualifying Judgment/Order: April 20, 2017
Notice No.:
2017-155
Action:
In the Matter of Platinum Equity Advisors, LLC
Administrative Proceeding File No.: 3-18194
Date Filed: September 21, 2017
Date of Qualifying Judgment/Order: September 21, 2017
Notice No.:
2017-154
Action:
SEC v. Peter L. Jensen and Thomas C. Tekulve, Jr.
Case Number: 11-cv-05316 (United States District Court for the Central District of California)
Date Filed: June 24, 2011
Date of Qualifying Judgment/Order: September 13, 2017
Notice No.:
2017-153
Action:
In the Matter of Telia Company AB
Administrative Proceeding File No.: 3-18195
Date Filed: September 21, 2017
Date of Qualifying Judgment/Order: September 21, 2017
Notice No.:
2017-152
Action:
SEC v. Ahmad Fnaikher Alyasin and Optima Global Financial, Inc.
Case Number: 15-cv-00566 (United States District Court for the Southern District of Texas)
Date Filed: March 3, 2015
Date of Qualifying Judgment/Order: September 26, 2017
Notice No.:
2017-151
Action:
SEC v. James G. Temme, and Stewardship Funds, LP
Case Number: 11-cv-00655 (United States District Court for the Eastern District of Texas)
Date Filed: October 14, 2011
Date of Qualifying Judgment/Order: September 12, 2017
Notice No.:
2017-150
Action:
SEC v. Thomas Abdallah (a.k.a. Tom Abraham), Kenneth Grant, KGTA Petroleum, Ltd., Mark M. George, Jeffrey L. Gainer, and Jerry A. Cicolani, Jr.
Case Number: 14-cv-01155 (United States District Court for the Northern District of Ohio)
Date Filed: May 29, 2014
Date of Qualifying Judgment/Order: September 26, 2017
Notice No.:
2017-149
Action:
In the Matter of Alere Inc.
Administrative Proceeding File No.: 3-18228
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: September 28, 2017
Notice No.:
2017-148
Action:
SEC v. Aegerion Pharmaceuticals, Inc.
Case Number: 17-cv-11817 (United States District Court for the District of Massachusetts)
Date Filed: September 22, 2017
Date of Qualifying Judgment/Order: September 25, 2017
Notice No.:
2017-147
Action:
In the Matter of SunTrust Investment Services, Inc.
Administrative Proceeding File No.: 3-18178
Date Filed: September 14, 2017
Date of Qualifying Judgment/Order: September 14, 2017
Notice No.:
2017-146
Action:
SEC v. Optimum Income Property, LLC, Optimum Property Investments, LLC and Frank E. Lleras
Case Number: 16-cv-00073 (United States District Court for the Western District of North Carolina)
Date Filed: February 10, 2016
Date of Qualifying Judgment/Order: September 8, 2017
Notice No.:
2017-145
Action:
SEC v. Wensheng Lin and Sheng Li Chen
Case Number: 17-cv-03054 (United States District Court for the Southern District of New York)
Date Filed: April 26, 2017
Date of Qualifying Judgment/Order: August 25, 2017
Notice No.:
2017-144
Action:
In the Matter of Banca IMI Securities Corp.
Administrative Proceeding File No.: 3-18118
Date Filed: August 18, 2017
Date of Qualifying Judgment/Order: August 18, 2017
Notice No.:
2017-143
Action:
SEC v. Jay Belson, Smarte Real Estate Investments, Inc., Jack Rockman, LLC, John Blackstone LLC, Residence at St. Ives, LLC, and Bellagio Place Residence, LLC
Case Number: 17-cv-05953(United States District Court for the Central District of California)
Date Filed: August 10, 2017
Date of Qualifying Judgment/Order: August 15, 2017
Notice No.:
2017-142
Action:
SEC v. Hui Feng and Law Offices of Feng & Associates P.C.
Case Number: 15-cv-09420 (United States District Court for the Central District of California)
Date Filed: December 7, 2015
Date of Qualifying Judgment/Order: August 11, 2017
Notice No.:
2017-141
Action:
In the Matter of Vertical Capital Asset Management, LLC, Vertical Fund Group, Inc., Vertical Recovery Management, LLC, Gustavo A. Altuzarra, and Christopher R. Chase
Administrative Proceeding File No.: 3-18125
Date Filed: August 22, 2017
Date of Qualifying Judgment/Order: August 22, 2017
Notice No.:
2017-140
Action:
In the Matter of Deerfield Management Company, L.P.
Administrative Proceeding File No.: 3-18120
Date Filed: August 21, 2017
Date of Qualifying Judgment/Order: August 21, 2017
Notice No.:
2017-139
Action:
SEC v. Inteligentry, Ltd., PlasmERG, Inc., and John P. Rohner
Case Number: 13-cv-00344 (United States District Court for the District of Nevada)
Date Filed: February 28, 2013
Date of Qualifying Judgment/Order: July 17, 2017
Notice No.:
2017-138
Action:
SEC v. Darrell Glenn Hardaway and Hardaway Net-Works, Inc.
Case Number: 17-cv-00529 (United States District Court for the Southern District of Texas)
Date Filed: February 17, 2017
Date of Qualifying Judgment/Order: August 11, 2017
Notice No.:
2017-137
Action:
SEC v. Hidalgo Mining Corp., John W. Boyer, and Joshua F. McAlees
Case Number: 17-cv-80916 (United States District Court for the Southern District of Florida)
Date Filed: August 4, 2017
Date of Qualifying Judgment/Order: August 15, 2017
Notice No.:
2017-136
Action:
In the Matter of Allen Chi
Administrative Proceeding File No.: 3-18121
Date Filed: August 21, 2017
Date of Qualifying Judgment/Order: August 21, 2017
Notice No.:
2017-128
Action:
In the Matter of KPMG LLP and John Riordan, CPA
Administrative Proceeding File No.: 3-18110
Date Filed: August 15, 2017
Date of Qualifying Judgment/Order: August 15, 2017
Notice No.:
2017-129
Action:
In the Matter of Ironridge Global Partners, LLC, and Ironridge Global IV, Ltd.
Administrative Proceeding File No.: 3-16649
Date Filed: August 21, 2017
Date of Qualifying Judgment/Order: August 21, 2017
Notice No.:
2017-130
Action:
SEC v. Southridge Capital Management LLC, Southridge Advisors LLC, and Stephen M. Hicks
Case Number: 10-cv-01685 (United States District Court for the District of Connecticut)
Date Filed: October 25, 2010
Date of Qualifying Judgment/Order: August 3, 2017
Notice No.:
2017-131
Action:
In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC, and State Street Bank and Trust Company
Administrative Proceeding File No.: 3-18159
Date Filed: September 7, 2017
Date of Qualifying Judgment/Order: September 7, 2017
Notice No.:
2017-132
Action:
In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-18158
Date Filed: September 7, 2017
Date of Qualifying Judgment/Order: September 7, 2017
Notice No.:
2017-133
Action:
SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino “Dino” Paolucci, Jr., and Don L. Rose
Case Number: 16-cv-05176 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: August 10, 2017
Notice No.:
2017-134
Action:
SEC v. Donald J. Lester, Rubicon Alliance, LLC, CFI Fund, LLC, and NuPower, LLC
Case Number: 15-cv-02301 (United States District Court for the District of Colorado)
Date Filed: October 16, 2015
Date of Qualifying Judgment/Order: July 26, 2017
Notice No.:
2017-135
Action:
In the Matter of Coachman Energy Partners LLC and Randall D. Kenworthy
Administrative Proceeding File No.: 3-18109
Date Filed: August 14, 2017
Date of Qualifying Judgment/Order: August 14, 2017
Notice No.:
2017-123
Action:
SEC v. Trudy R. Gilmond
Case Number: 15-cv-00591 (United States District Court for the Western District of North Carolina)
Date Filed: December 4, 2015
Date of Qualifying Judgment/Order: June 21, 2017
Notice No.:
2017-122
Action:
SEC v. Andrew I. Farmer, Charles E. Grob, Jr., Carolyn Austin, Baldemar P. Rios, and Chimera Energy Corp.
Case Number: 14-cv-02345 (United States District Court for the Southern District of Texas)
Date Filed: August 14, 2014
Date of Qualifying Judgment/Order: July 18, 2017
Notice No.:
2017-121
Action:
SEC v. Joey Stanton Dodson
Case Number: 17-cv-05520 (United States District Court for the Central District of California)
Date Filed: July 26, 2017
Date of Qualifying Judgment/Order: July 27, 2017
Notice No.:
2017-120
Action:
SEC v. Thomas J. Lawler and Freedom Foundation USA LLC dba Freedom Club USA
Case Number: 14-cv-02468 (United States District Court for the Northern District of Georgia)
Date Filed: July 31, 2014
Date of Qualifying Judgment/Order: June 29, 2017
Notice No.:
2017-124
Action:
SEC v. Christopher J. Hall
Case Number: 15-cv-23489 (United States District Court for the Southern District of Florida)
Date Filed: September 17, 2015
Date of Qualifying Judgment/Order: June 29, 2017
Notice No.:
2017-125
Action:
In the Matter of Halliburton Company and Jeannot Lorenz
Administrative Proceeding File No.: 3-18080
Date Filed: July 27, 2017
Date of Qualifying Judgment/Order: July 27, 2017
Notice No.:
2017-126
Action:
SEC v. Marcus A Luna, Norrell L. Walker, Paul L. Gomez, and Dustin S. Smith
Case Number: 16-cv-07333 (United States District Court for the Central District of California)
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: July 19, 2017
Notice No.:
2017-127
Action:
In the Matter of Cadaret, Grant & Co., Inc.
Administrative Proceeding File No.: 3-18087
Date Filed: August 1, 2017
Date of Qualifying Judgment/Order: August 1, 2017
Notice No.:
2017-118
Action:
SEC v. Marc D. Broidy and Broidy Wealth Advisors, LLC
Case Number: 16-cv-05960 (United States District Court for the Eastern District of New York)
Date Filed: October 27, 2016
Date of Qualifying Judgment/Order: May 30, 2017
Notice No.:
2017-117
Action:
SEC v. Sigma Capital Management, LLC
Case Number: 13-cv-01740 (United States District Court for the Southern District of New York)
Date Filed: March 19, 2013
Date of Qualifying Judgment/Order: March 29, 2013
Notice No.:
2017-116
Action:
SEC v. Renato Rodriguez and Gutemberg Dos Santos
Case Number: 17-cv-00375 (United States District Court for the Central District of California)
Date Filed: March 2, 2017
Date of Qualifying Judgment/Order: June 8, 2017
Notice No.:
2017-115
Action:
SEC v. Yu-Cheng Lin, a/k/a Believe Lin
Case Number: 17-cv-00875 (United States District Court for the District of New Jersey)
Date Filed: February 9, 2017
Date of Qualifying Judgment/Order: June 14, 2017
Notice No.:
2017-114
Action:
SEC v. Ascenergy LLC and Joseph (a/k/a Joey) Gabaldon
Case Number: 15-cv-01974 (United States District Court for the District of Nevada)
Date Filed: October 13, 2015
Date of Qualifying Judgment/Order: May 23, 2017
Notice No.:
2017-113
Action:
SEC v. Kingdom Legacy General Partner, LLC and Mark C. Northrop
Case Number: 16-cv-00441 (United States District Court for the Middle District of Florida)
Date Filed: June 7, 2016
Date of Qualifying Judgment/Order: June 6, 2017
Notice No.:
2017-112
Action:
SEC v. Thomas D. Melvin, Michael S. Cain, Joel C. Jinks and Peter C. Doffing
Case Number: 12-cv-02984 (United States District Court for the Northern District of Georgia)
Date Filed: August 30, 2012
Date of Qualifying Judgment/Order: June 22, 2017
Notice No.:
2017-119
Action:
In the Matter of Joel Corenman
Administrative Proceeding File No.: 3-17910
Date of Qualifying Judgment/Order: April 10, 2017
In the Matter of Galena Biopharma, Inc. and Mark J. Ahn
Administative Proceeding File No.: 3-17911
Date of Qualifying Judgment/Order: April 10, 2017
In the Matter of Craig Keolanui
Administrative Proceeding File No.: 3-17913
Date of Qualifying Judgment/Order: April 10, 2017
In the Matter of Lion Biotechnologies, Inc.
Administative Proceeding File No.: 3-17914
Date of Qualifying Judgment/Order: April 10, 2017
In the Matter of Edward Borrelli and Dunedin, Inc.
Administrative Proceeding File No.: 3-17915
Date of Qualifying Judgment/Order: April 10, 2017
In the Matter of Stephen Ramey
Administrative Proceeding File No.: 3-17916
Date of Qualifying Judgment/Order: April 10, 2017
In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC
Administative Proceeding File No.: 3-17917
Date of Qualifying Judgment/Order: April 10, 2017
In the Matter of Ciaran Thornton
Administrative Proceeding File No.: 3-17918
Date of Qualifying Judgment/Order: April 10, 2017
In the Matter of Manish Singh and Lavos, LLC
Administative Proceeding File No.: 3-17920
Date of Qualifying Judgment/Order: April 10, 2017
In the Matter of Christopher French
Administative Proceeding File No.: 3-17921
Date of Qualifying Judgment/Order: April 10, 2017
Notice No.:
2017-111
Action:
SEC v. Charles C. Slowey, Jr. Endeavor Partners, LLC; Endeavor Capital Management Group, LLC; Edward D. Puttick, Sr.; Advanced Planning Securities, Inc. Gregory L. Oldham; Glenn R. Harris; and Oldham Harris, Inc.
Case Number: 09-cv-04547 (United States District Court for the Eastern District of New York)
Date Filed: October 27, 2009
Date of Qualifying Judgment/Order: October 22, 2012
Notice No.:
2017-110
Action:
SEC v. Diversified Lending Group, Inc.; Applied Equities, Inc. and Bruce Friedman
Case Number: 09-cv-01533 (United States District Court for the Central District of California)
Date Filed: March 4, 2009
Date of Qualifying Judgment/Order: July 13, 2015
Notice No.:
2017-109
Action:
SEC v. Serofim Muroff, Blackhawk Manager, LLC, ISR Capital, LLC, Equity Recap Account, LLC and Debra L. Riddle
Case Number:17-cv-00180 (United States District Court for the District of Idaho)
Date Filed: April 28, 2017
Date of Qualifying Judgment/Order: May 10, 2017
Notice No.:
2017-108
Action:
In the Matter of Miles S. Nadal
Administrative Proceeding File No.: 3-17980
Date Filed: May 11, 2017
Date of Qualifying Judgment/Order: May 11, 2017
Notice No.:
2017-107
Action:
SEC v. Leon G. Cooperman and Omega Advisors, Inc.
Case Number: 16-cv-05043 (United States District Court for the Eastern District of Pennsylvania )
Date Filed: September 22, 2016
Date of Qualifying Judgment/Order: May 22, 2017
Notice No.:
2017-106
Action:
SEC v. William R. Schantz III and Verto Capital Management LLC
Case Number: 17-cv-03115 (United States District Court for the District of New Jersey)
Date Filed: May 4, 2017
Date of Qualifying Judgment/Order: May 8, 2017
Notice No.:
2017-105
Action:
In the Matter of Barclays Capital, Inc.
Administrative Proceeding File No.: 3-17978
Date Filed: May 10, 2017
Date of Qualifying Judgment/Order: May 10, 2017
Notice No.:
2017-104
Action:
SEC v. BIC Real Estate Development Corporation and Daniel R. Nase, indivudally and d/b/a Bakersfield Investment Club
Case Number: 16-cv-00344 (United States District Court for the Eastern District of California)
Date Filed: March 11, 2016
Date of Qualifying Judgment/Order: May 4, 2017
Notice No.:
2017-103
Action:
SEC v. Iat Hong, Bo Zheng, and Hung Chin
Case Number: 16-cv-09947 (United States District Court for the Southern District of New York)
Date Filed: December 28, 2016
Date of Qualifying Judgment/Order: May 5, 2017
Notice No.:
2017-102
Action:
In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-17953
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017
In the Matter of Yoon Seok Lee
Administrative Proceeding File No.: 3-17954
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017
In the Matter of David F. Wong
Administrative Proceeding File No.: 3-17955
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017
Notice No.:
2017-101
Action:
SEC v. Carl Keith Battie
Case Number: 17-cv-01113 (United States District Court for the Northern District of Texas)
Date Filed: April 27, 2017
Date of Qualifying Judgment/Order: May 19, 2017
Notice No.:
2017-100
Action:
SEC v. Seth Eber, Howard Ettelman, Ronny J. Halperin, Charles Hansen, III, Melissa K. Rice, Luz Rodriguez, and Kevin D. Sepe
Case Number: 12-cv-21653 (United States District Court for the Southern District of Florida)
Date Filed: May 2, 2012
Date of Qualifying Judgment/Order: July 6, 2012
Notice No.:
2017-99
Action:
SEC v. Homero Joshua Garza, GAW Miners, LLC and ZenMiner (d/b/a Zen Cloud)
Case Number: 15-cv-01760 (United States District Court for the District of Connecticut)
Date Filed: December 1, 2015
Date of Qualifying Judgment/Order: June 2, 2017
Notice No.:
2017-98
Action:
SEC v. TelexFree, Inc., TelexFree, LLC, James M. Merrill, Carlos N. Wanzeler, Steven M. Labriola, Joseph H. Craft, Sanderley Rodrigues de Vasconcelos, Santiago de al Rosa, Randy N. Crosby and Faith R. Sloan
Case Number: 14-cv-11858 (United States District Court for the District of Massachusetts)
Date Filed: April 15, 2014
Date of Qualifying Judgment/Order: May 17, 2017
Notice No.:
2017-97
Action:
SEC v. Francisco Illarramendi and Michael Kenwood Capital Management, LLC
Case Number: 11-cv-00078 (United States District Court for the District of Connecticut)
Date Filed: January 14, 2011
Date of Qualifying Judgment/Order: May 24, 2017
Notice No.:
2017-96
Action:
In the Matter of MagnaChip Semiconductor Corporation and Maragret Hye-Ryoung Sakai, CPA
Administative Proceeding File No.: 3-17956
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017
Notice No.:
2017-95
Action:
In the Matter of BlackRock Fund Advisors
Administative Proceeding File No.: 3-17942
Date Filed: April 25, 2017
Date of Qualifying Judgment/Order: April 25, 2017
Notice No.:
2017-94
Action:
In the Matter of Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.
Administative Proceeding File No.: 3-17964
Date Filed: May 2, 2017
Date of Qualifying Judgment/Order: May 2, 2017
Notice No.:
2017-92
Action:
SEC v. Scott Allen and John Michael Bennett
Case Number: 11-cv-06443 (United States District Court for the Southern District of New York)
Date Filed: September 15, 2011
Date of Qualifying Judgment/Order: April 4, 2017
Notice No.:
2017-90
Action:
SEC v. Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese
Case Number: 03-cv-01514 (United States District Court for the District of Arizona)
Date Filed: December 4, 2003
Date of Qualifying Judgment/Order: February 14, 2017
Notice No.:
2017-89
Action:
SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler
Case Number: 17-cv-00243 (United States District Court for the District of South Carolina)
Date Filed: January 26, 2017
Date of Qualifying Judgment/Order: April 24, 2017
Notice No.:
2017-87
Action:
SEC v. Michael Andre Jones
Case Number: 17-cv-02413 (United States District Court for the Central District of California)
Date Filed: March 29, 2017
Date of Qualifying Judgment/Order: April 5, 2017
Notice No.:
2017-86
Action:
SEC v. Provident Capital Indemnity, LTD., Minor Vargas Calvo, and Jorge L. Castillo
Case Number: 11-cv-00045 (United States District Court for the Eastern District of Virginia)
Date Filed: January 19, 2011
Date of Qualifying Judgment/Order: July 10, 2012
Notice No.:
2017-85
Action:
SEC v. Todd Farha, Paul Behrens, and Thaddeus Bereday
Case Number: 12-cv-00047 (United States District Court for the Middle District of Florida)
Date Filed: January 09, 2012
Date of Qualifying Judgment/Order: April 17, 2017
Notice No.:
2017-88
Action:
In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No: 3-17899
Date Filed: April 4, 2017
Date of Qualifying Judgment/ Order: April 4, 2017;
In the Matter of Sanford Michael Katz
Administrative Proceeding File No.: 3-17900
Date Filed: April 4, 2017
Date of Qualifying Judgment/Order: April 4, 2017
Notice No.:
2017-84
Action:
SEC v. Mercury Interactive, LLC (F/K/A Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer
Case Number: 07-cv-02822 (United States District Court for the Northern District of California)
Date Filed: May 31, 2007
Date of Qualifying Judgment/Order: February 21, 2013
Notice No.:
2017-83
Action:
SEC v. Jeffrey A. McCollum and JNL Oilfield Instruments, LLC
Case Number: 16-cv-00282 (United States District Court for the Western District of Texas)
Date Filed: July 27, 2016
Date of Qualifying Judgment/Order: April 11, 2017
Notice No.:
2017-82
Action:
SEC v. Marco A. Ramirez; Bebe Ramirez; USA Now, LLC, USA Now Energy Capital Group, LP; and Now Co. Loan Services LLC
Case Number: 13-cv-00531 (United States District Court for the Southern District of Texas)
Date Filed: September 30, 2013
Date of Qualifying Judgment/Order: March 31, 2017
Notice No.:
2017-81
Action:
In the Matter of William Blair & Company, LLC
Administrative Proceeding File No.: 3-17960
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017
Notice No.:
2017-80
Action:
SEC v. Thomas J. Connerton and Safety Technologies, LLC
Case Number: 16-cv-00882 (United States District Court for the District of Connecticut)
Date Filed: June 8, 2016
Date of Qualifying Judgment/Order: April 4, 2017
Notice No.:
2017-79
Action:
In the Matter of Voya Financial Advisors, Inc.
Administative Proceeding File No.: 3-17870
Date Filed: March 8, 2017
Date of Qualifying Judgment/Order: March 8, 2017
Notice No.:
2017-78
Action:
SEC v. Path America, LLC; Path America SnoCo LLC; Path America Farmer’s Market, LP; Path America KingCo LLC; Path America Tower, LP; Path Tower Seattle, LP; Potala Tower Seattle, LLC; and Lobsang Dargey
Case Number: 15-cv-01350 (United States District Court for the Western District of Washington)
Date Filed: August 24, 2015
Date of Qualifying Judgment/Order: March 3, 2017
Notice No.:
2017-76
Action:
In the Matter of Louis Capital Markets, LP
Adminstrative Proceeding File No.: 3-17890
Date Filed: March 29, 2017
Date of Qualifying Judgment/Order: March 29, 2017
Notice No.:
2017-75
Action:
SEC vs. Gregory W. Gray, Jr., Archipel Capital LLC, BIM Management LP
Case Number: 15-cv-01465 (United States District Court for the Southern District of New York)
Date Filed: Feburary 27, 2015
Date of Qualifying Judgment/Order: January 10, 2017
Notice No.:
2017-73
Action:
SEC v. Warren D. Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC
Case Number: 11-cv-00215 (United States District Court for the Eastern District of New York)
Date Filed: January 14, 2011
Date of Qualifying Judgment/Order: January 20, 2017
Notice No.:
2017-71
Action:
SEC v. Notis Global, Inc. (f/k/a MedBox, Inc.), Vincent Mehdizadeh, Bruce Bedrick, Yocelin Legaspi, and New-Age Investment Consulting, Inc.
Case Number: 17-cv-01905 (United States District Court for the Central District of California)
Date Filed: March 9, 2017
Date of Qualifying Judgment/Order: March 22, 2017
Notice No.:
2017-70
Action:
SEC v. Nathan Halsey and TexStar Oil Co., Ltd.
Case Number: 16-cv-00450 (United States District Court for the Northern District of Texas)
Date Filed: February 17, 2016
Date of Qualifying Judgment/Order: March 20, 2017
Notice No.:
2017-69
Action:
SEC v. Arcturus Corporation, Aschere Energy, LLC, Leon Ali Parvizian a/k/a Alex Parvizian, Alfredo Gonzalez, AMG Energy, LLC, Robert J. Balunas, and R. Thomas & Co., LLC
Case Number: 13-cv-04861 (United States District Court for the Northern District of Texas)
Date Filed: December 12, 2013
Date of Qualifying Judgment/Order: March 2, 2017
Notice No.:
2017-68
Action:
In the Matter of Sheldon Rose and MKJJ Consulting LLC
Administrative Proceeding File No.: 3-17559
Date Filed: March 23, 2017
Date of Qualifying Judgment/Order: March 23, 2017
Notice No.:
2017-65
Action:
SEC v. Mark A. Jones
Case Number: 16-cv-10524 (United States District Court for the District of Massachusetts)
Date Filed: March 15, 2016
Date of Qualifying Judgment/Order: March 28, 2017
Notice No.:
2017-66
Action:
SEC v. Oscar F. Villarreal
Case Number: 14-cv-01891 (United States District Court for the Northern District of Ohio)
Date Filed: August 26, 2014
Date of Qualifying Judgment/Order: March 16, 2017
Notice No.:
2017-67
Action:
SEC v. Clayton A. Cohn and Marketaction Advisors, LLC
Case Number: 13-cv-05586 (United States District Court for the Northern District of Illinois)
Date Filed: August 6, 2013
Date of Qualifying Judgment/Order: March 30, 2017
Notice No.:
2017-63
Action:
SEC v. Lonny S. Bernath
Case number: 15-cv-00485 (United States District Court for the Western District of North Carolina)
Date Filed: October 13, 2015
Date of Qualifying Judgment/Order: March 8, 2017
Notice No.:
2017-58
Action:
SEC v. Bruce A. Cole
Case Number: 12-cv-08024 (United States District Court for the Central District of California)
Date Filed: September 18, 2012
Date of Qualifying Judgment/Order: February 10, 2017
Notice No.:
2017-59
Action:
SEC v. Robert Seibert, a.k.a. John Grey
Case Number: 15-cv-09331 (United States District Court for the Central District of California)
Date Filed: December 2, 2015
Date of Qualifying Judgment/Order: February 6, 2017
Notice No.:
2017-61
Action:
SEC v. Raymond H. Barton, William G. Goode, Mathew Charles Briggs, Kenneth Manzo, and Justin Sindelman
Case Number: 17-cv-00403 (United States District Court for the Eastern District of New York)
Date Filed: January 25, 2017
Date of Qualifying Judgment/Order: February 6, 2017
Notice No.:
2017-62
Action:
SEC v. Paul A. Garcia, Caliber Capital Management, LLC, Partner Medical Solutions, LLC, Richard T. Woods, and Caliber Partnership I, LLC
Case Number: 17-cv-00174 (United States District Court for the Central District of California)
Date Filed: February 1, 2017
Date of Qualifying Judgment/Order: February 8, 2017
Notice No.:
2017-57
Action:
In the Matter of SLRA Inc. as successor entity to Liquid Realty Advisors III, LLC and Scott M. Landress
Administrative Proceeding File No.: 3-17826
Date Filed: February 7, 2017
Date of Qualifying Judgment/Order: February 7, 2017
Notice No.:
2017-49
Action:
In the Matter of Thomas R. Stanley, II
Administrative Proceeding File No.: 3-17844
Date Filed: February 13, 2017
Date of Qualifying Judgment/Order: February 13, 2017
Notice No.:
2017-50
Action:
SEC v. Brian S. Hudnall and JBH Consulting Group LLC
Case Number: 17-cv-00059 (United States District Court for the Western District of Missouri)
Date Filed: January, 27, 2017
Date of Qualifying Judgment/Order: February 9, 2017
Notice No.:
2017-51
Action:
SEC v. Braskem S.A.
Case Number: 16-cv-02488 (United States District Court for the District of Columbia)
Date Filed: December 21, 2016
Date of Qualifying Judgment/Order: February 28, 2017
Notice No.:
2017-52
Action:
In the Matter of Jay T. Comeaux
Administrative Proceeding File No.: 3-15002
Date Filed: August 31, 2012
Date of Qualifying Judgment/Order: February 17, 2017
Notice No.:
2017-53
Action:
SEC v. Harrison Schumacher; Paul Mysyk; Quaneco, LLC; and Quantum Energy, LLC
Case Number: 15-cv-06388 (United States District Court for the Central District of California)
Date Filed: August 25, 2015
Date of Qualifying Judgment/Order: February 21, 2017
Notice No.:
2017-54
Action:
In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin
Administrative Proceeding File No.: 3-17807
Date Filed: January 23, 2017
Date of Qualifying Judgment/Order: January 23,2017
Notice No.:
2017-55
Action:
In the Matter of Angel Oak Capital Partners, LLC, Peraza Capital & Investment, LLC, Sreeniwas Prabhu, and David W. Wells
Administrative Proceeding File No.: 3-17849
Date Filed: February 16, 2017
Date of Qualifying Judgment/Order: February 16, 2017
Notice No.:
2017-56
Action:
In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17845
Date Filed: February 14, 2017
Date of Qualifying Judgment/Order: February 14, 2017
Notice No.:
2017-26
Action:
SEC v. Vu H. Le a/k/a Vinh H. Le, and TeamVinh.com LLC
Case number: 15-cv-04366 (United States District Court for the District of Minnesota)
Case filed: December 15, 2015
Qualifying Judgment/Order: February 1, 2017
Notice No.:
2017-25
Action:
In the Matter of the Bank of New York Mellon Corporation
Administrative Proceeding File No.: 3-17768
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017
Notice No.:
2017-24
Action:
SEC v. Christopher R. Esposito, Anthony Jay Pignatello, James Gondolfe, Renee Galizio, Lionshare Ventures LLC, and Cannabiz Mobile, Inc.
Case number: 16-cv-10960 (United States District Court for the District of Massachusetts)
Case filed: May 26, 2016
Qualifying Judgment/Order: January 27, 2017
Notice No.:
2017-27
Action:
SEC v. James M. Louks and FiberPoP Solutions, Inc.
Case number: 15-cv-03456 (United States District Court for the District of Minnesota)
Case filed: September 1, 2015
Qualifying Judgment/Order: January 13, 2017
Notice No.:
2017-28
Action:
SEC v. Robert DeWayne Milligan
Case number: 15-cv-07308 (United States District Court for the Central District of California)
Case filed: September 17, 2015
Qualifying Judgment/Order: January 17, 2017
Notice No.:
2017-29
Action:
In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17808
Case filed: January 24, 2017
Qualifying Judgment/Order: January 24, 2017
In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17809
Case filed: January 24, 2017
Qualifying Judgment/Order: January 24, 2017
Notice No.:
2017-30
Action:
SEC v. AJN Investments, LLC and Jason Adam Ogden
Case number: 16-cv-63036 (United States District Court for the Southern District of Florida)
Case filed: December 28, 2016
Qualifying Judgment/Order: January 19, 2017
Notice No.:
2017-31
Action:
In the Matter of Cadbury Limited and Mondelēz International, Inc
Administrative Proceeding File No.: 3-17759
Case filed: January 6, 2017
Qualifying Judgment/Order: January 6, 2017
Notice No.:
2017-33
Action:
SEC v. Oxford City Football Club, Inc., and Thomas Anthony Guerriero
Case number: 15-cv-62594 (United States District Court for the Southern District of Florida)
Case filed: December 10, 2015
Qualifying Judgment/Order: January 26, 2017
Notice No.:
2017-34
Action:
In the Matter of Citadel Securities LLC
Administrative Proceeding File No.: 3-17772
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017
Notice No.:
2017-35
Action:
In the Matter of Biomet, Inc.
Administrative Proceeding File No.: 3-17771
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017
Notice No.:
2017-36
Action:
SEC v. Gregg R. Mulholland
Case number: 15-cv-03668 (United States District Court for the Eastern District of New York)
Case filed: June 23, 2015
Qualifying Judgment/Order: January 11, 2017
Notice No.:
2017-37
Action:
In the Matter of Orthofix International N.V.
Administrative Proceeding File No.: 3-17800
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017
Notice No.:
2017-38
Action:
In the Matter of Harding Advisory LLC and Wing F. Chau
Administrative Proceeding File No.: 3-15574
Case filed: October 18, 2013
Qualifying Judgment/Order: January 6, 2017
Notice No.:
2017-39
Action:
In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17817
Case filed: January 26, 2017
Qualifying Judgment/Order: January 26, 2017
Notice No.:
2017-40
Action:
In the Matter of ITG Inc.
Administrative Proceeding File No.: 3-17770
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017
Notice No.:
2017-41
Action:
In the Matter of Allergan, Inc.
Administrative Proceeding File No.: 3-17790
Case filed: January 17, 2017
Qualifying Judgment/Order: January 17, 2017
Notice No.:
2017-42
Action:
In the Matter of L3 Technologies, Inc.
Administrative Proceeding File No.: 3-17769
Case filed: January 11, 2017
Qualifying Judgment/Order: January 11, 2017
Notice No.:
2017-43
Action:
In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17773
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017
Notice No.:
2017-44
Action:
SEC v. Charles A. Bennett
Case number: 14-cv-09828 (United States District Court for the Southern District of New York)
Case filed: December 15, 2014
Qualifying Judgment/Order: January 10, 2017
Notice No.:
2017-45
Action:
SEC v. Andrew W.W. Caspersen and Irving Place III SPV, LLC
Case number: 16-cv-02249 (United States District Court for the Southern District of New York)
Case filed: March 28, 2016
Qualifying Judgment/Order: January 30, 2017
Notice No.:
2017-46
Action:
SEC v. Timothy S. Durham, James F. Cochran, and Rick D. Snow
Case number: 11-cv-00370 (United States District Court for the Southern District of Indiana)
Case filed: March 16, 2011
Qualifying Judgment/Order: January 18, 2017
Notice No.:
2017-47
Action:
In the Matter of MDC Partners Inc.
Administrative Proceeding File No.: 3-17795
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017
Notice No.:
2017-48
Action:
In the Matter of Sociedad Quimica y Minera de Chile, S.A.
Administrative Proceeding File No.: 3-17774
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017
Notice No.:
2017-23
Action:
SEC v. Randal Kent Hansen, RAHFCO Management Group, LLC, Vincent Puma, and Hudson Capital Partners Corporation
Case number: 13-cv-01403 (United States District Court for the Southern District of New York)
Case filed: March 4, 2013
Qualifying Judgment/Order: May 19, 2016
Notice No.:
2017-22
Action:
In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-17737
Case filed: December 20, 2016
Qualifying Judgment/Order: December 20, 2016
Notice No.:
2017-21
Action:
In the Matter of United Continental Holdings, Inc.
Administrative Proceeding File No.: 3-17705
Case filed: December 2, 2016
Qualifying Judgment/Order: December 2, 2016
Notice No.:
2017-20
Action:
SEC v. David L. Fleet
Case number: 14-cv-06695 (United States District Court for the Western District of New York)
Case filed: December 12, 2014
Qualifying Judgment/Order: December 12, 2016
Notice No.:
2017-19
Action:
In the Matter of Harold D. Garrison
Administrative Proceeding File No.: 3-17713
Case filed: December 7, 2016
Qualifying Judgment/Order: December 7, 2016
Notice No.:
2017-18
Action:
SEC v. Patrick S. Carter, 808 Renewable Energy Corporation, 808 Investments, LLC, Martin J. Kinchloe, Peter Kirkbride, West Coast Commodities, LLC, Thomas A. Flowers, and T.A. Flowers LLC
Case number: 16-cv-02070 (United States District Court for the Central District of California)
Case filed: November 17, 2016
Qualifying Judgment/Order: November 21, 2016
Notice No.:
2017-17
Action:
SEC v. Diverse Financial Corporation, Roy Dekel, and David Kandell
Case number: 15-cv-01746 (United States District Court for the Central District of California)
Case filed: October 28, 2015
Qualifying Judgment/Order: December 9, 2016
Notice No.:
2017-16
Action:
In the Matter of Pacific Investment Management Company, LLC
Administrative Proceeding File No.: 3-17701
Case filed: December 1, 2016
Qualifying Judgment/Order: December 1, 2016
Notice No.:
2017-14
Action:
In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-17730
Case filed: December 16, 2016
Qualifying Judgment/Order: December 16, 2016
Notice No.:
2017-13
Action:
SEC v. Edward F. Panos
Case number: 16-cv-02473 (United States District Court for the District of District of Columbia)
Case filed: December 19, 2016
Qualifying Judgment/Order: December 21, 2016
Notice No.:
2017-12
Action:
SEC v. Caledonian Bank, LTD., Caledonian Securities LTD., Clear Water Securities, Inc., Legacy Global Markets S.A., and Verdmont Capital, S.A.
Case number: 15-cv-00894 (United States District Court for the Southern District of New York)
Case filed: February 9, 2015
Qualifying Judgment/Order: November 9, 2016
Notice No.:
2017-11
Action:
In the Matter of General Cable Corporation
Administrative Proceeding File No.: 3-17755
Case filed: December 29, 2016
Qualifying Judgment/Order: December 29, 2016
Notice No.:
2017-10
Action:
In the Matter of General Cable Corporation
Administrative Proceeding File No.: 3-17754
Case filed: December 29, 2016
Qualifying Judgment/Order: December 29, 2016
Notice No.:
2017-8
Action:
In the Matter of Dennis Ira Ringer
Administrative Proceeding File No.: 3-17697
Case filed: November 23, 2016
Qualifying Judgment/Order: November 23, 2016
Notice No.:
2017-7
Action:
SEC v. Ash Narayan, The Ticket Reserve Inc. a/k/a/ Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
Case number: 16-cv-01417 (United States District Court for the Northern District of Texas)
Case filed: May 24, 2016
Qualifying Judgment/Order: November 22, 2016
Notice No.:
2017-6
Action:
In the Matter of SandRidge Energy, Inc.
Administrative Proceeding File No.: 3-17739
Case filed: December 20, 2016
Qualifying Judgment/Order: December 20, 2016
Notice No.:
2017-5
Action:
SEC v. Teva Pharmaceuticals, LTD.
Case number: 16-cv-25298 (United States District Court for the Southern District of Florida)
Case filed: December 22, 2016
Qualifying Judgment/Order: December 29, 2016
Notice No.:
2017-2
Action:
In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-17720
Case filed: December 12, 2016
Qualifying Judgment/Order: December 12, 2016
Notice No.:
2017-4
Action:
SEC v. City of Miami, Florida and Michael Boudreaux
Case number: 13-cv-22600 (United States District Court for the Southern District of Florida)
Case filed: July 19, 2013
Qualifying Judgment/Order: December 6, 2016
Notice No.:
2017-3
Action:
SEC v. Interinvest Corporation, Inc., and Hans Peter Black
Case number: 15-cv-12350 (United States District Court for the District of Massachusetts)
Case filed: June 16, 2015
Qualifying Judgment/Order: December 27, 2016
Notice No.:
2016-164
Action:
In the Matter of Credit Suisse AG, Inc.
Administrative Proceeding File No.: 3-17617
Case filed: October 5, 2016
Qualifying Judgment/Order: October 5, 2016
Notice No.:
2016-165
Action:
SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack
Case number: 11-cv-00755 (United States District Court for the Eastern District of Wisconsin)
Case filed: August 10, 2011
Qualifying Judgment/Order: December 6, 2016
Notice No.:
2016-166
Action:
In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Administrative Proceeding File No.: 3-17628
Case filed: October 18, 2016
Qualifying Judgment/Order: October 18, 2016
Notice No.:
2016-167
Action:
In the Matter of JP Morgan Chase & Co.,
Administrative Proceeding File No.: 3-17684
Case filed: November 17, 2016
Qualifying Judgment/Order: November 17, 2016
Notice No.:
2016-168
Action:
In the Matter of Michael L. Reger
Administrative Proceeding File No.: 3-17653
Case filed: October 31, 2016
Qualifying Judgment/Order: October 31, 2016
Notice No.:
2016-169
Action:
In the Matter of Ronald D. Morley and The New Wealth, LLC
Administrative Proceeding File No.: 3-17658
Case filed: November 1, 2016
Qualifying Judgment/Order: November 1, 2016
Notice No.:
2016-170
Action:
SEC v. Embraer, S.A.
Case number: 16-cv-62501 (United States District Court for the Southern District of Florida)
Case filed: October 24, 2016
Qualifying Judgment/Order: October 31, 2016
Notice No.:
2016-171
Action:
SEC v. Southlake Resources Group, LLC, Cody M. Winters, and Nicholas R. Hamilton
Case number: 16-cv-00992 (United States District Court for the Northern District of Texas)
Case filed: October 24, 2016
Qualifying Judgment/Order: October 27, 2016
Notice No.:
2016-172
Action:
In the Matter of EZTD Inc.
Administrative Proceeding File No.: 3-17673
Case filed: November 10, 2016
Qualifying Judgment/Order: November 10, 2016
Notice No.:
2016-149
Action:
SEC v. Richard Weed, Thomas Brazil and Coleman Flaherty III
Case number: 14-cv-14099 (United States District Court for the District of Massachusetts)
Case filed: November 6, 2014
Qualifying Judgment/Order: October 4, 2016
Notice No.:
2016-150
Action:
SEC v. Yossef Kahlon, a/k/a Jossef Kahlon, and TJ Management Group, LLC
Case number: 12-cv-00517 (United States District Court for the Eastern District of Texas)
Case filed: August 14, 2012
Qualifying Judgment/Order: September 30, 2016
Notice No.:
2016-151
Action:
SEC v. Zenergy International, Inc., Bosko R. Gasich, Robert J. Luiten, Scott H. Wilding, Skyline Capital, Inc., Ronald Martino, and Diane D. Dalmy
Case number: 13-cv-05511 (United States District Court for the Northern District of Illinois)
Case filed: August 1, 2013
Qualifying Judgment/Order: October 12, 2016
Notice No.:
2016-152
Action:
SEC v. JCS Enterprises, Inc. d/b/a JCS Enterprises Services, Inc., T.B.T.I. Inc., Joseph Signore, and Paul L. Schumack, II
Case number: 14-cv-80468 (United States District Court for the Southern District of Florida)
Case filed: April 7, 2014
Qualifying Judgment/Order: October 18, 2016
Notice No.:
2016-153
Action:
SEC v. Aegis Oil, LLC, and Patrick Reagan Beason
Case number: 16-cv-62335 (United States District Court for the Southern District of Florida)
Case filed: September 29, 2016
Qualifying Judgment/Order: October 11, 2016
Notice No.:
2016-154
Action:
SEC v. Paul R. Downey, Jeffry P. Downey, and John M. Leonard
Case number: 14-cv-00185 (United States District Court for the Northern District of Texas)
Case filed: November 20, 2014
Qualifying Judgment/Order: September 29, 2016
Notice No.:
2016-156
Action:
SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina
Case number: 16-cv-08088 (United States District Court for the Southern District of New York)
Case filed: October 17, 2016
Qualifying Judgment/Order: October 18, 2016
Notice No.:
2016-157
Action:
In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-17622
Case filed: October 12, 2016
Qualifying Judgment/Order: October 12, 2016
In the Matter of Charles P. Grom
Administrative Proceeding File No.: 3-17119
Case filed: February 17, 2016
Qualifying Judgment/Order: February 17, 2016
Notice No.:
2016-158
Action:
In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA
Administrative Proceeding File No.: 3-17639
Case filed: October 20, 2016
Qualifying Judgment/Order: October 20, 2016
Notice No.:
2016-159
Action:
In the Matter of GlaxoSmithKline plc
Administrative Proceeding File No.: 3-17606
Case filed: September 30, 2016
Qualifying Judgment/Order: September 30, 2016
Notice No.:
2016-160
Action:
In the Matter of Bank Leumi le-Israel B.M., Leumi Private Bank, and Bank Leumi (Luxembourg) S.A.
Administrative Proceeding File No.: 3-17631
Case filed: October 18, 2016
Qualifying Judgment/Order: October 18, 2016
Notice No.:
2016-161
Action:
SEC v. Charles P. Copeland, Copeland Wealth Management, a Financial Advisory Corporation, and Copeland Wealth Management, a Real Estate Corporation
Case number: 11-cv-08607 (United States District Court for the Central District of California)
Case filed: October 20, 2011
Qualifying Judgment/Order: October 5, 2016
Notice No.:
2016-162
Action:
In the Matter of Artis Capital Management, L.P. and Michael W. Harden
Administrative Proceeding File No.: 3-17624
Case filed: October 13, 2016
Qualifying Judgment/Order: October 13, 2016
Notice No.:
2016-163
Action:
In the Matter of Calvert Investment Management, Inc.
Administrative Proceeding File No.: 3-17630
Case filed: October 18, 2016
Qualifying Judgment/Order: October 18, 2016
Notice No.:
2016-125
Action:
SEC v. James M. Donnan, III and Gregory L. Crabtree
Case Number: 12-cv-02831 (United States District Court for the Northern District of Georgia)
Date Filed: August 16, 2012
Date of Qualifying Judgment/Order: September 26, 2016
Notice No.:
2016-126
Action:
In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank
Administrative Proceeding File No.: 3-17595
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: September 29, 2016
Notice No.:
2016-127
Action:
SEC v. Daniel Thibeault, GL Capital Partners, LLC, GL Investment Services, LLC, Graduate Leverage, LLC (d/b/a GL Advisor and GL Holdings Corp.), and Taft Financial Services, LLC
Case Number: 15-cv-10050 (United States District Court for the District of Massachusetts)
Date Filed: January 9, 2015
Date of Qualifying Judgment/Order: September 26, 2016
Notice No.:
2016-128
Action:
In the Matter of First Reserve Management, L.P.
Administrative Proceeding File No.: 3-17538
Date Filed: September 14, 2016
Date of Qualifying Judgment/Order: September 14, 2016
Notice No.:
2016-129
Action:
SEC v. Veros Partners, Inc., Matthew D. Haab, Jeffrey B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, FarmGrowCap LLC, PinCap LLC
Case Number: 15-cv-00659 (United States District Court for the Southern District of Indiana)
Date Filed: April 22, 2015
Date of Qualifying Judgment/Order: September 15, 2016
Notice No.:
2016-130
Action:
SEC v. Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela M. Hass
Case Number: 13-cv-00849 (United States District Court for the District of New Mexico)
Date Filed: September 9, 2013
Date of Qualifying Judgment/Order: September 22, 2016
Notice No.:
2016-132
Action:
SEC v. China Northeast Petroleum Holdings Limited; Wang Hongjun (a/k/a Hongjun Wang); Ju Guizhi (a/k/a Guizhi Ju); and Jiang Chao (a/k/a Chao Jiang)
Case Number: 12-cv-08696 (United States District Court for the Southern District of New York)
Date Filed: November 29, 2012
Date of Qualifying Judgment/Order: September 20, 2016
Notice No.:
2016-134
Action:
In the Matter of Weatherford International PLC, f/k/a Weatherford International Ltd, James Hudgins, CPA, and Darryl Kitay, CPA
Administrative Proceeding File No.: 3-17582
Date Filed: September 27, 2016
Date of Qualifying Judgment/Order: September 27, 2016
Notice No.:
2016-135
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-17573
Date Filed: September 26, 2016
Date of Qualifying Judgment/Order: September 26, 2016
Notice No.:
2016-136
Action:
In the Matter of Ernst & Young LLP, Robert J. Brehl, CPA, Pamela J. Hartford, CPA, and Michael T. Kamienski, CPA
Administrative Proceeding File No.: 3-17553
Date Filed: September 19, 2016
Date of Qualifying Judgment/Order: September 19, 2016
Notice No.:
2016-137
Action:
In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-17587
Date Filed: September 28, 2016
Date of Qualifying Judgment/Order: September 28, 2016
Notice No.:
2016-138
Action:
In the Matter of Anheuser-Busch InBev SA/NV
Administrative Proceeding File No.: 3-17586
Date Filed: September 28, 2016
Date of Qualifying Judgment/Order: September 28, 2016
Notice No.:
2016-139
Action:
SEC v. Manuel E. Jesus aka Manny Backus, et al.
Case Number: 16-cv-06850 (United States District Court for the Central District of California)
Date Filed: September 13, 2016
Date of Qualifying Judgment/Order: September 27, 2016
Notice No.:
2016-140
Action:
In the Matter of Portugal Telecom, SGPS, S.A., now known as Pharol SGPS, S.A.
Administrative Proceeding File No.: 3-17534
Date Filed: September 13, 2016
Date of Qualifying Judgment/Order: September 13, 2016
Notice No.:
2016-141
Action:
SEC v. PLCMGMT LLC, dba Prometheus Law, James A. Catipay, and David A. Aldrich
Case Number: 16-cv-02594 (United States District Court for the Central District of California)
Date Filed: April 16, 2016
Date of Qualifying Judgment/Order: September 15, 2016
Notice No.:
2016-142
Action:
SEC v. North Hills Management, LLC, and Mark Evan Bloom
Case Number: 09-cv-01746 (United States District Court for the Southern District of New York)
Date Filed: February 25, 2009
Date of Qualifying Judgment/Order: September 6, 2016
Notice No.:
2016-143
Action:
SEC v. Christopher Plummer, Lex M. Cowsert, and Cytogenix, Inc.
Case Number: 14-cv-05441 (United States District Court for the Southern District of New York)
Date Filed: July 18, 2014
Date of Qualifying Judgment/Order: September 7, 2016
Notice No.:
2016-144
Action:
SEC v. Norstra Energy Inc., Glen Landry and Eric Dany
Case Number: 15-cv-04751 (United States District Court for the Southern District of New York)
Date Filed: June 18, 2015
Date of Qualifying Judgment/Order: September 20, 2016
Notice No.:
2016-145
Action:
In the Matter of Ernst & Young LLP and Gregory S. Bednar, CPA
Administrative Proceeding File No.: 3-17552
Date Filed: September 19, 2016
Date of Qualifying Judgment/Order: September 19, 2016
Notice No.:
2016-146
Action:
In the Matter of BOKF, NA
Administrative Proceeding File No.: 3-17533
Date Filed: September 9, 2016
Date of Qualifying Judgment/Order: September 9, 2016
Notice No.:
2016-147
Action:
In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA
Administrative Proceeding File No.: 3-17583
Date Filed: September 27, 2016
Date of Qualifying Judgment/Order: September 27, 2016
Notice No.:
2016-148
Action:
SEC v. Saleem Khan, Ammar Akbari, Roshanlal Chaganlal and Ranjan Mendonsa
Case Number: 14-cv-02743 (United States District Court for the Northern District of California)
Date Filed: June 13, 2014
Date of Qualifying Judgment/Order: September 21, 2016
Notice No.:
2016-113
Action:
SEC v. Cedric Cañas Maillard
Case number: 15-cv-06389 (United States District Court for the Southern District of New York)
Case filed: August 13, 2015
Qualifying Judgment/Order: August 19, 2016
Notice No.:
2016-115
Action:
SEC v. Gary C. Snisky
Case number: 13-cv-03149 (United States District Court for the District of Colorado)
Case filed: November 21, 2013
Qualifying Judgment/Order: August 12, 2016
Notice No.:
2016-116
Action:
SEC v. Secured Income Reserve, Inc., Ilona A. Mandelbaum, David A. Zimmerman, Tamda Marketing, Inc., and Matthew H. Sage
Case number: 16-cv-81490 (United States District Court for the Southern District of Florida)
Case filed: August 24, 2016
Qualifying Judgment/Order: August 31, 2016
Notice No.:
2016-117
Action:
SEC v. Robert L. Sonfield, Donald C. Bradley, Jeffrey W. Bradley, Jason Landess, Marc Lane, Roger Brewer
Case number: 08-cv-02351 (United States District Court for the Southern District of Texas)
Case filed: July 29, 2008
Qualifying Judgment/Order: July 28, 2016
Notice No.:
2016-118
Action:
In the Matter of Key Energy Services, Inc.
Administrative Proceeding File No.: 3-17379
Case filed: August 11, 2016
Qualifying Judgment/Order: August 11, 2016
Notice No.:
2016-119
Action:
In the Matter of optionsXpress, Inc., and Jonathan I. Feldman
Administrative Proceeding File No.: 3-14848
Case filed: August 18, 2016
Qualifying Judgment/Order: September 13, 2016
Notice No.:
2016-120
Action:
In the Matter of AstraZeneca PLC
Administrative Proceeding File No.: 3-17517
Case filed: August 30, 2016
Qualifying Judgment/Order: August 30, 2016
Notice No.:
2016-121
Action:
In the Matter of RBC Capital Markets, LLC
Administrative Proceeding File No.: 3-17520
Case filed: August 31, 2016
Qualifying Judgment/Order: August 31, 2016
Notice No.:
2016-122
Action:
In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P.
Administrative Proceeding File No.: 3-17409
Case filed: August 23, 2016
Qualifying Judgment/Order: August 23, 2016
Notice No.:
2016-123
Action:
In the Matter of Barry B. Clare
Administrative Proceeding File No.: 3-17172
Case filed: August 15, 2016
Qualifying Judgment/Order: August 15, 2016
Notice No.:
2016-124
Action:
In the Matter of WL Ross & Co. LLC
Administrative Proceeding File No.: 3-17491
Case filed: August 24, 2016
Qualifying Judgment/Order: August 24, 2016
Notice No.:
2016-100
Action:
SEC v. James Y. Lee
Case number: 14-cv-00347 (United States District Court for the Southern District of California)
Case filed: February 13, 2014
Qualifying Judgment/Order: July 15, 2016
Notice No.:
2016-101
Action:
SEC v. First Mortgage Corporation, Inc., Clement Ziroli, Sr., Clement Ziroli, Jr., Pac W. Dong, Ronald T. Vargus, Scott Lehrer, and Edward Joseph Sanders
Case number: 16-cv-03772 (United States District Court for the Central District of California)
Case filed: May 31, 2016
Qualifying Judgment/Order: July 20, 2016
Notice No.:
2016-102
Action:
In the Matter of LAN Airlines S. A.
Administrative Proceeding File No.: 3-17357
Case filed: July 25, 2016
Qualifying Judgment/Order: July 25, 2016
Notice No.:
2016-104
Action:
In the Matter of Johnson Controls, Inc.
Administrative Proceeding File No.: 3-17337
Case filed: July 11, 2016
Qualifying Judgment/Order: July 11, 2016
Notice No.:
2016-105
Action:
SEC v. Lee D. Weiss, Family Endowment Partners, LP
Case number: 15-cv-13460 (United States District Court for the District of Massachusetts)
Case filed: September 29, 2015
Qualifying Judgment/Order: June 20, 2016
Notice No.:
2016-106
Action:
In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17338
Case filed: July 12, 2016
Qualifying Judgment/Order: July 12, 2016
Notice No.:
2016-108
Action:
SEC v. Michael J. Oppenheim
Case number: 15-cv-02957 (United States District Court for the Southern District of New York)
Case filed: April 16, 2015
Qualifying Judgment/Order: July 29, 2016
Notice No.:
2016-109
Action:
SEC v. Thomas C. Conradt, David J. Weishaus, and Trent Martin
Case number: 12-cv-08676 (United States District Court for the Southern District of New York)
Case filed: December 3, 2012
Qualifying Judgment/Order: June 17, 2016
Notice No.:
2016-110
Action:
SEC v. Malcolm Segal
Case number: 15-cv-03668 (United States District Court for the Eastern District of Pennsylvania)
Case filed: July 1, 2015
Qualifying Judgment/Order: June 21, 2016
Notice No.:
2016-111
Action:
SEC v. Luca International Group, LLC; Luca Resources Group, LLC; Luca Energy Fund, LLC; Entholpy EMC, Inc.; Bingqing Yang; Lei (Lily) Lei; Anthony V. Pollace; and Yong (Michael) Chen
Case number: 15-cv-03101 (United States District Court for the Northern District of California)
Case filed: July 6, 2015
Qualifying Judgment/Order: July 26, 2016
Notice No.:
2016-112
Action:
SEC v. Tyson D. Williams and Stanley D. Parrish
Case number: 14-cv-00510 (United States District Court for the District of Utah)
Case filed: July 10, 2014
Qualifying Judgment/Order: July 18, 2016
Notice No.:
2016-85
Action:
In the Matter of Analogic Corporation and Lars Frost
Administrative Proceeding File No.: 3-17305
Date Filed: June 21, 2016
Qualifying Judgment/Order: June 21, 2016
Notice No.:
2016-86
Action:
In the Matter of Bank of New York Mellon
Administrative Proceeding File No.: 3-17286
Date Filed: June 13, 2016
Qualifying Judgment/Order: June 13, 2016
Notice No.:
2016-87
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-17314
Date Filed: June 23, 2016
Qualifying Judgment/Order: June 23, 2016
Notice No.:
2016-88
Action:
In the Matter of American Life, Inc. and Henry Liebman
Administrative Proceeding File No.: 3-17285
Date Filed: June 13, 2016
Qualifying Judgment/Order: June 13, 2016
Notice No.:
2016-89
Action:
In the Matter of Ethiopian Electric Power
Administrative Proceeding File No.: 3-17281
Date Filed: June 8, 2016
Qualifying Judgment/Order: June 8, 2016
Notice No.:
2016-91
Action:
In the Matter of Behruz Afshar, Shahryar Afshar, Richard F. Kenny, IV, Fineline Trading Group LLC, and Makin Capital LLC
Administrative Proceeding File No.: 3-16978
Date Filed: December 3, 2015
Qualifying Judgment/Order: June 13, 2016
Notice No.:
2016-93
Action:
SEC v. Paul Mata, David Kayatta, Mario Pincheira, Secured Capital Investments, LLC., Logos Real Estate Holdings, LLC., Logos Wealth Advisors, Inc., Lifetime Enterprises, LLC (dba Logos Lifetime University)
Case Number: 15-cv-01792 (United States District Court for the Central District of California)
Date Filed: September 3, 2015
Qualifying Judgment: Order: June 17, 2016
Notice No.:
2016-94
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp.
Administrative Proceeding File No.: 3-17312
Date Filed: June 23, 2016
Qualifying Judgment/Order: June 23, 2016
Notice No.:
2016-95
Action:
SEC v. Daryl M. Payton, and Benjamin Durant, III
Case Number: 14-cv-04644 (United States District Court for the Sourthern District of New York)
Date Filed: June 25, 2014
Qualifying Judgment/Order: May 16, 2016
Notice No.:
2016-96
Action:
SEC v. Wilfred T. Azar, III, Joseph A. Giordano, and Empire Corporation
Case Number: 14-cv-03598 (United States District Court for the District of Maryland)
Date Filed: November 14, 2014
Qualifying Judgment/Order: June 7, 2016
Notice No.:
2016-97
Action:
SEC v. Andrew K. Proctor and Atlas JG, LLC
Case Number: 16-cv-00437 (United States District Court for the District of Delaware)
Date Filed: June 14, 2016
Qualifying Judgment/Order: June 16, 2016
Notice No.:
2016-98
Action:
SEC v. Keith Greenberg
Case Number: 00-cv-09109 (United States District Court for the Southern District of Florida)
Date Filed: November 26, 2013
Qualifying Judgment/Order: March 16, 2016
Notice No.:
2016-77
Action:
SEC v. Sanctum Publishing and Marketing, Limited, Sanctum Media Group, Inc., and Salvatore Renaldi
Case number: 15-cv-81342 (United States District Court for the Southern District of Florida)
Case filed: September 29, 2015
Qualifying Judgment/Order: May 23, 2016
Notice No.:
2016-78
Action:
SEC v. Charles Couch and Couch Oil & Gas, Inc.
Case number: 14-cv-01747 (United States District Court for the Northern District of Texas)
Case filed: May 12, 2014
Qualifying Judgment/Order: May 9, 2016
Notice No.:
2016-79
Action:
SEC v. China Infrastructure Investment Corporation, Li Xipeng, and Wang Feng
Case number: 15-cv-00307 (United States District Court for the District of Columbia)
Case filed: March 3, 2015
Qualifying Judgment/Order: May 26, 2016
Notice No.:
2016-80
Action:
In the Matter of James Caird Asset Management LLP and Timothy G. Leslie
Administrative Proceeding File No.: 3-17276
Case filed: June 2, 2016
Qualifying Judgment/Order: June 2, 2016
Notice No.:
2016-81
Action:
In the Matter of Blackstreet Capital Management, LLC and Murry N. Gunty
Administrative Proceeding File No.: 3-17267
Case filed: June 1, 2016
Qualifying Judgment/Order: June 1, 2016
Notice No.:
2016-83
Action:
In the Matter of Federated Global Investment Management Corp.
Administrative Proceeding File No.: 3-17264
Case filed: May 27, 2016
Qualifying Judgment/Order: May 27, 2016
Notice No.:
2016-84
Action:
SEC v. John Scott Clark
Case number: 16-cv-00040 (United States District Court for the District of Utah)
Case filed: March 31, 2016
Qualifying Judgment/Order: May 26, 2016
Notice No.:
2016-66
Action:
SEC v. Inter Reef Ltd dba Profitable Sunrise
Case number: 13-cv-01104 (United States District Court for the Northern District of Georgia)
Case filed: April 4, 2013
Qualifying Judgment/Order: April 15, 2016
Notice No.:
2016-67
Action:
SEC v. Steven R. Maruksen, Jay C. Cope, Archer Advisors LLC
Case number: 14-cv-03395 (United States District Court for the District of Minnesota)
Case filed: September 8, 2014
Qualifying Judgment/Order: April 27, 2016
Notice No.:
2016-68
Action:
In the Matter of Cabela’s Incorporated and Ralph W. Castner, CPA
Administrative Proceeding File No.: 3-17227
Case filed: April 26, 2016
Qualifying Judgment/Order: April 26, 2016
Notice No.:
2016-69
Action:
SEC v. Frederic Elm f/k/a Frederic Elmaleh, Elm Tree Investment Advisors LLC, Elm Tree Investment Fund LP, Elm Tree ‘e’Conomy Fund LP, and Elm Tree Motion Opportunity LP
Case number: 15-cv-60082 (United States District Court for the Southern District of Florida)
Case filed: January 15, 2015
Qualifying Judgment/Order: April 12, 2016
Notice No.:
2016-71
Action:
In the Matter of Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA
Administrative Proceeding File No.: 3-17212
Case filed: April 19, 2016
Qualifying Judgment/Order: April 19, 2016
Notice No.:
2016-72
Action:
SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek
Case number: 13-cv-03837 (United States District Court for the Southern District of New York)
Case filed: June 5, 2013
Qualifying Judgment/Order: April 12, 2016
Notice No.:
2016-73
Action:
SEC v. Tomas Alberto Clarke Bethancourt, Jose Alejandro Hurtado, Haydee Leticia Pabon, Iuri Rodolfo Bethancourt, Ernesto Lujan, Benito Chinea and Joseph Flores Demeneses Jr.
Case number: 13-cv-03074 (United States District Court for the Southern District of New York)
Case filed: May 9, 2013
Qualifying Judgment/Order: April 7, 2016
Notice No.:
2016-74
Action:
SEC v. American Pension Services, Inc., and Curtis L. De Young
Case number: 14-cv-00309 (United States District Court for the District of Utah)
Case filed: April 24, 2014
Qualifying Judgment/Order: April 21, 2016
Notice No.:
2016-75
Action:
SEC v. Roger S. Bliss, an individual and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, a Utah Limited Liability Company, d/b/a Roger Bliss and Associates Club LLC, d/b/a Bliss Club LLC
Case number: 15-cv-00098 (United States District Court for the District of Utah)
Case filed: February 11, 2015
Qualifying Judgment/Order: April 19, 2016
Notice No.:
2016-51
Action:
SEC v. Bruce D. Strebinger, Brent Howard Chapman, and Muskateer Investments, Inc.
Case Number: 14-cv-03533 (United States District Court for the Northern District of Georgia)
Date Filed: November 3, 2014
Date of Qualifying Order/Judgment: March 15, 2016
Notice No.:
2016-52
Action:
In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable
Administrative Proceeding File No: 3-17171
Date Filed: March 15, 2016
Date of Qualifying Order/Judgment: March 15, 2016
Notice No.:
2016-53
Action:
SEC v. Aveo Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer
Case Number: 16-cv-10607 (United States District Court for the District of Massachusetts)
Date Filed: March 29, 2016
Date of Qualifying Order/Judgment: April 1, 2016
Notice No.:
2016-54
Action:
In the Matter of Navistar International Corporation
Administrative Proceeding File No.: 3-17190
Date Filed: March 31, 2016
Date of Qualifying Order/Judgment: March 31, 2016
Notice No.:
2016-55
Action:
SEC v. Neal V. Goyal, Caldera Advisors, LLC, and Blue Horizon Asset Management, LLC
Case Number: 14-cv-03900 (United States District Court for the Northern District of Illinois)
Date Filed: May 28, 2014
Date of Qualifying Order/Judgment: March 9, 2016
Notice No.:
2016-56
Action:
SEC v. eCareer Holding, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks
Case Number: 15-cv-80446 (United States District Court for the Southern District of Florida)
Date Filed: April 7, 2015
Date of Qualifying Order/Judgment: March 2, 2016
Notice No.:
2016-57
Action:
SEC v. Gregory G. Jones
Case Number: 15-cv-00438 (United States District Court for the Northern District of Texas)
Date Filed: June 10, 2015
Date of Qualifying Order/Judgment: March 21, 2016
Notice No.:
2016-58
Action:
In the Matter of Las Vegas Sands Corp.
Administrative Proceeding File No.: 3-17204
Date Filed: April 7, 2016
Date of Qualifying Order/Judgment: April 7, 2016
Notice No.:
2016-59
Action:
In the Matter of Novartis AG
Administrative Proceeding File No.: 3-17177
Date Filed: March 23, 2016
Date of Qualifying Order/Judgment: March 23, 2016
Notice No.:
2016-60
Action:
SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane Properties Inc.
Case Number: 16-cv-01636 (United States District Court for the District of New Jersey)
Date Filed: March 24, 2016
Date of Qualifying Order/Judgment: March 28, 2016
Notice No.:
2016-61
Action:
SEC v. Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello
Case Number: 09-cv-00818 (United States District Court for the Central District of California)
Date Filed: July 16, 2009
Date of Qualifying Order/Judgment: February 23, 2016
Notice No.:
2016-62
Action:
SEC v. Banc de Binary Ltd, Oren Shabat Laurent (f/k/a Oren Shabat), Et Binary Options Ltd., Bo Systes Ltd., Seychelles and BDB Services Ltd. Seychelles
Case Number: 13-cv-00993 (United States District Court for the District of Nevada)
Date Filed: June 5, 2013
Date of Qualifying Order/Judgment: February 25, 2016
Notice No.:
2016-63
Action:
In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation
Administrative Proceeding File No.: 3-17169
Date Filed: March 14, 2016
Date of Qualifying Order/Judgment: March 14, 2016
Notice No.:
2016-64
Action:
In the Matter of Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert Esq.; and Helena C. Sen, CPA
Administrative Proceeding File No.: 3-17186
Date Filed: March 30, 2016
Date of Qualifying Order/Judgment: March 30, 2016
Notice No.:
2016-65
Action:
SEC v. Marrone Bio Innovations, Inc.
Case Number: 16-cv-00321 (United States District Court for the Eastern District of California)
Date Filed: February 17, 2016
Date of Qualifying Order/Judgment: March 8, 2016
Notice No.:
2016-40
Action:
In the Matter of IBC Funds, LLC
Administrative Proceeding File No.: 3-17125
Case filed: February 19, 2016
Qualifying Judgment/Order: February 19, 2016
Notice No.:
2016-41
Action:
In the Matter of PTC Inc.
Administrative Proceeding File No.: 3-17118
Case filed: February 16, 2016
Qualifying Judgment/Order: February 16, 2016
Notice No.:
2016-42
Action:
SEC v. Trevor G. Cook, Patrick J. Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLC
Case number: 09-cv-03333 (United States District Court for the District of Minnesota)
Case filed: November 23, 2009
Qualifying Judgment/Order: January 12, 2016
Notice No.:
2016-44
Action:
SEC v. VimpelCom Ltd
Case number: 16-cv-01266 (United States District Court for the Southern District of New York)
Case filed: February 18, 2016
Qualifying Judgment/Order: February 22, 2016
Notice No.:
2016-45
Action:
SEC v. Newpoint Financial Services, Inc.; John Farahi; Gissou Rastegar Farahi; and Elaheh Amouei
Case number: 10-cv-00124 (United States District Court for the Central District of California)
Case filed: January 8, 2010
Qualifying Judgment/Order: February 29, 2016
Notice No.:
2016-46
Action:
In the Matter of Qualcomm Incorporated
Administrative Proceeding File No.: 3-17145
Case filed: March 1, 2016
Qualifying Judgment/Order: March 1, 2016
Notice No.:
2016-47
Action:
SEC v. Moazzam “Mark” Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
Case number: 15-cv-01025 (United States District Court for the Southern District of New York)
Case filed: February 13, 2015
Qualifying Judgment/Order: February 9, 2016
Notice No.:
2016-48
Action:
SEC v. Scott Valente and The Eliv Group, LLC
Case number: 14-cv-03974 (United States District Court for the Southern District of New York)
Case filed: June 3, 2014
Qualifying Judgment/Order: February 17, 2016
Notice No.:
2016-49
Action:
SEC v. eAdGear, Inc., eAdGear Holdings Limited, Charles S. Wang, Francis Y. Yuen, and Qian Cathy Zhang
Case number: 14-cv-04294 (United States District Court for the Northern District of California)
Case filed: September 24, 2014
Qualifying Judgment/Order: February 1, 2016
Notice No.:
2016-50
Action:
In the Matter of Peter Kuperman and QED Benchmark Management, L.L.C.
Administrative Proceeding File No.: 3-17075
Case filed: January 28, 2016
Qualifying Judgment/Order: January 28, 2016
Notice No.:
2016-17
Action:
SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC
Case number: 14-cv-03247 (United States District Court for the Southern District of New York)
Case filed: May 5, 2014
Qualifying Judgment/Order: July 31, 2015
Notice No.:
2016-18
Action:
In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas
Administrative Proceeding File No.: 3-17107
Case filed: February 9, 2016
Qualifying Judgment/Order: February 9, 2016
Notice No.:
2016-21
Action:
In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-17079
Case filed: January 31, 2016
Qualifying Judgment/Order: January 31, 2016
Notice No.:
2016-22
Action:
In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-17055
Case filed: January 14, 2016
Qualifying Judgment/Order: January 14, 2016
Notice No.:
2016-23
Action:
In the Matter of Equinox Fund Management, LLC
Administrative Proceeding File No.: 3-17057
Case filed: January 19, 2016
Qualifying Judgment/Order: January 19, 2016
Notice No.:
2016-24
Action:
In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-17077
Case filed: January 31, 2016
Qualifying Judgment/Order: January 31, 2016
Notice No.:
2016-26
Action:
SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis
Case number: 13-cv-02575 (United States District Court for the Southern District of New York)
Case filed: April 18, 2013
Qualifying Judgment/Order: January 12, 2016
Notice No.:
2016-27
Action:
In the Matter of SciClone Pharmaceuticals, Inc
Administrative Proceeding File No.: 3-17101
Case filed: February 4, 2016
Qualifying Judgment/Order: February 4, 2016
Notice No.:
2016-28
Action:
SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation
Case number: 12-cv-02164 (United States District Court for the Southern District of California)
Case filed: September 4, 2012
Qualifying Judgment/Order: January 21, 2016
Notice No.:
2016-29
Action:
In the Matter of SAP SE
Administrative Proceeding File No.: 3-17080
Case filed: February 1, 2016
Qualifying Judgment/Order: February 1, 2016
Notice No.:
2016-30
Action:
SEC v. Eric Lipkin
Case number: 11-cv-03826 (United States District Court for the Southern District of New York)
Case filed: June 6, 2011
Qualifying Judgment/Order: January 5, 2016
Notice No.:
2016-31
Action:
SEC v. Enrica Cotellessa-Pitz
Case number: 11-cv-09302 (United States District Court for the Southern District of New York)
Case filed: December 19, 2011
Qualifying Judgment/Order: January 5, 2016
Notice No.:
2016-32
Action:
In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-17078
Case filed: January 31, 2016
Qualifying Judgment/Order: January 31, 2016
Notice No.:
2016-33
Action:
In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-17053
Case filed: January 14, 2016
Qualifying Judgment/Order: January 14, 2016
Notice No.:
2016-34
Action:
In the Matter of Ocwen Financial Corp.
Administrative Proceeding File No.: 3-17060
Case filed: January 20, 2016
Qualifying Judgment/Order: January 20, 2016
Notice No.:
2016-35
Action:
SEC v. Michael Donnelly
Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania)
Case filed: October 19, 2015
Qualifying Judgment/Order: January 20, 2016
Notice No.:
2016-36
Action:
SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin
Case number: 11-cv-01356 (United States District Court for the Northern District of California)
Case filed: March 22, 2011
Qualifying Judgment/Order: January 20, 2016
Notice No.:
2016-37
Action:
SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation
Case number: 15-cv-00416 (United States District Court for the District of Utah)
Case filed: June 12, 2015
Qualifying Judgment/Order: January 12, 2016
Notice No.:
2016-38
Action:
SEC v. Stephen C. Bond
Case number: 10-cv-01358 (United States District Court for the Northern District of California)
Case filed: March 31, 2010
Qualifying Judgment/Order: August 12, 2013
Notice No.:
2016-39
Action:
SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual
Case number: 12-cv-01120 (United States District Court for the District of Utah)
Case filed: December 10, 2012
Qualifying Judgment/Order: December 17, 2012
Notice No.:
2016-16
Action:
In the Matter of SuttonBrook Capital Management LP
Administrative Proceeding File No.: 3-16114
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
Notice No.:
2016-15
Action:
SEC v. M. “Shi” Shailendra
Case number: 14-cv-02465 (United States District Court for the Northern District of Georgia)
Case filed: July 31, 2014
Qualifying Judgment/Order: September 23, 2014
Notice No.:
2016-14
Action:
SEC v. Jon C. Ginder, Northamerican Energy Group, Inc., and Northamerican Energy Group, Corp.
Case number: 10-cv-02867 (United States District Court for the Southern District of Texas)
Case filed: August 11, 2010
Qualifying Judgment/Order: November 13, 2012
Notice No.:
2016-13
Action:
SEC v. American Settlement Associates, LLC, Charles Jordan, and Kelly Gipson
Case number: 10-cv-00912 (United States District Court for the Southern District of Texas)
Case filed: March 19, 2010
Qualifying Judgment/Order: March 11, 2013
Notice No.:
2016-12
Action:
SEC v. King Chuen Tang a/k/a Chen Tang, Ronald Yee, Zisen Yu, Joseph Seto, Ming Siu, King S. Tang a/k/a James K. Tang, and Ying Kit Yu a/k/a Eddie Yu
Case number: 09-cv-05146 (United States District Court for the Northern District of California)
Case filed: October 30, 2009
Qualifying Judgment/Order: March 13, 2013
Notice No.:
2016-11
Action:
In the Matter of William M. Stephens
Administrative Proceeding File No.: 3-15233
Case filed: March 8, 2013
Qualifying Judgment/Order: March 8, 2013
Notice No.:
2016-10
Action:
SEC v. Juan Cruz Bilbao Hormaeche
Case number: 14-cv-10036 (United States District Court for the Southern District of New York)
Case filed: December 22, 2014
Qualifying Judgment/Order: December 17, 2015
Notice No.:
2016-9
Action:
SEC v. Alternate Energy Holdings, Inc., Donald L. Gillispie, and Jennifer Ransom
Case number: 10-cv-00621 (United States District Court for the District of Idaho)
Case filed: December 16, 2010
Qualifying Judgment/Order: May 21, 2015
Notice No.:
2016-8
Action:
In the Matter of Owen Li and Canarsie Capital, LLC
Administrative Proceeding File No.: 3-17005
Case filed: December 16, 2015
Qualifying Judgment/Order: December 16, 2015
Notice No.:
2016-7
Action:
In the Matter of SG Americas Securities LLC and Yimin Ge
Administrative Proceeding File No.: 3-17017
Case filed: December 22, 2015
Qualifying Judgment/Order: December 22, 2015
Notice No.:
2016-5
Action:
In the Matter of KCG Americas LLC
Administrative Proceeding File No.: 3-17012
Case filed: December 21, 2015
Qualifying Judgment/Order: December 21, 2015
Notice No.:
2016-6
Action:
In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang
Administrative Proceeding File No.: 3-17016
Case filed: December 22, 2015
Qualifying Judgment/Order: December 22, 2015
Notice No.:
2016-4
Action:
SEC v. New Stream Capital, LLC
Case number: 13-cv-00264 (United States District Court for the District of Connecticut)
Case filed: February 26, 2013
Qualifying Judgment/Order: December 21, 2015
Notice No.:
2016-3
Action:
In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-17036
Case filed: January 6, 2016
Qualifying Judgment/Order: January 6, 2016
Notice No.:
2016-2
Action:
SEC v. John Clifford Williams
Case number: 15-cv-00819 (United States District Court for the Western District of Missouri)
Case filed: Month DD, YYYY
Qualifying Judgment/Order: October 20, 2015
Notice No.:
2016-1
Action:
SEC v. Douglas E. Cowgill and Professional Investment Management, Inc.
Case number: 14-cv-00396 (United States District Court for the Southern District of Ohio)
Case filed: April 29, 2014
Qualifying Judgment/Order: December 22, 2015
Notice No.:
2015-136
Action:
SEC v. Tropikgadget FZE, et al.
Case Number: 15-cv-10543 (United States District Court for the District of Massachusetts)
Date Filed: February 25, 2015
Date of Qualifying Judgment/Order: November 12, 2015
Notice No.:
2015-138
Action:
SEC v. Summit Trust Company, Rampart Capital Management, LLC, Trust Counselors Network, Inc., Brown Investment Advisors, Inc., Kevin C. Brown, and George P. Brown
Case Number: 15-cv-05843 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: October 27, 2015
Date of Qualifying Judgment/Order: November 6, 2015
Notice No.:
2015-139
Action:
SEC v. Hitachi, LTD.
Case Number: 15-cv-01573 (United States District Court for the District of Columbia)
Date Filed: September 28, 2015
Date of Qualifying Judgment/Order: November 24, 2015
Notice No.:
2015-140
Action:
SEC v. Vladimir Eydelman
Case Number: 14-cv-01742 (United States District Court for the District of New Jersey)
Date Filed: March 19, 2014
Date of Qualifying Judgment/Order: October 28, 2015
Notice No.:
2015-141
Action:
SEC v. Brett A. Cooper, et al.
Case Number: 13-cv-05781 (United States District Court for the District of New Jersey)
Date Filed: September 27, 2013
Date of Qualifying Judgment/Order: November 5, 2015
Notice No.:
2015-142
Action:
In the Matter of Standard Bank PLC
Administrative Proceeding File No.: 3-16973
Date Filed: November 30, 2015
Date of Qualifying Judgment/Order: November 30, 2015
Notice No.:
2015-143
Action:
In the Matter of Sands Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly
Administrative Proceeding File No.: 3-16223
Date Filed: November 19, 2015
Date of Qualifying Judgment/Order: November 19, 2015
Notice No.:
2015-144
Action:
SEC v. Bonan Huang, et al.
Case Number: 15-cv-00269 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: January 21, 2015
Date of Qualifying Judgment/Order: December 3, 2015
Notice No.:
2015-145
Action:
SEC v. Summit Asset Strategies Investment Management, LLC; Summit Asset Strategies Wealth Management, LLC; and Chris Yoo
Case Number: 15-cv-01429 (United States District Court for the Western District of Washington)
Date Filed: September 4, 2015
Date of Qualifying Judgment/Order: November 6, 2015
Notice No.:
2015-146
Action:
SEC v. National Note of Utah, LC, a Utah Limited Liability Company and Wayne LaMar Palmer, an individual
Case Number: 12-cv-00591 (United States District Court for the District of Utah)
Date Filed: June 25, 2012
Date of Qualifying Judgment/Order: December 2, 2015
Notice No.:
2015-147
Action:
In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-17008
Date Filed: December 18, 2015
Date of Qualifying Judgment/Order: December 18, 2015
Notice No.:
2015-148
Action:
SEC v. Enviratrands, Inc. and Russell F. Haraburda
Case Number: 15-cv-01903 (United States District Court for the Middle District of Florida)
Date Filed: August 17, 2015
Date of Qualifying Judgment/Order: August 20, 2015
Notice No.:
2015-135
Action:
In the Matter of Virtus Investment Advisers, Inc.
Administrative Proceeding File No.: 3-16959
Case filed: November 16, 2015
Qualifying Judgment/Order: November 16, 2015
Notice No.:
2015-120
Action:
SEC v. Billy Wayne McClintock, individually, and dba MSC Holdings, Dianne Alexander aka Linda Dianne Alexander
Case number: 12-cv-04028 (United States District Court for the Northern District of Georgia)
Case filed: November 19, 2012
Qualifying Judgment/Order: September 15, 2015
Notice No.:
2015-122
Action:
In the Matter of Gary M. Arford
Administrative Proceeding File No.: 3-16932
Case filed: October 28, 2015
Qualifying Judgment/Order: October 28, 2015
Notice No.:
2015-123
Action:
SEC v. Robert A. Helms, et al.
Case number: 13-cv-01036 (United States District Court for the Western District of Texas)
Case filed: December 3, 2013
Qualifying Judgment/Order: October 21, 2015
Notice No.:
2015-125
Action:
In the Matter of DBRS, Inc.
Administrative Proceeding File No.: 3-16922
Case filed: October 26, 2015
Qualifying Judgment/Order: October 26, 2015
Notice No.:
2015-126
Action:
In the Matter of UBS Willow Management LLC and UBS Fund Advisor LLC
Administrative Proceeding File No.: 3-16909
Case filed: October 19, 2015
Qualifying Judgment/Order: October 19, 2015
Notice No.:
2015-127
Action:
SEC v. Premiere Power, LLC; John Jankovic; and Jerry Jankovic
Case number: 15-cv-01248 (United States District Court for the Southern District of New York)
Case filed: February 20, 2015
Qualifying Judgment/Order: October 9, 2015
Notice No.:
2015-128
Action:
In the Matter of J.P. Morgan Investment Management Inc.
Administrative Proceeding File No.: 3-16897
Case filed: October 14, 2015
Qualifying Judgment/Order: October 14, 2015
Notice No.:
2015-129
Action:
In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C. and Blackstone Management Partners IV L.L.C.
Administrative Proceeding File No.: 3-16887
Case filed: October 7, 2015
Qualifying Judgment/Order: October 7, 2015
Notice No.:
2015-130
Action:
SEC v. Justin Moongyu Lee; Rebecca Taewon Lee; Thomas Edward Kent; American Immigrant Investment Fund I, LLC; Biofuel Venture IV, LLC; Biofuel Venture V, LLC; Nexland, Inc., dba Nexland Investment Group; and Nexsun Ethanol, LLC
Case number: 14-cv-06865 (United States District Court for the Central District of California)
Case filed: September 3, 2014
Qualifying Judgment/Order: October 29, 2015
Notice No.:
2015-132
Action:
In the Matter of Wolverine Trading, LLC and Wolverine Asset Management, LLC
Administrative Proceeding File No.: 3-16890
Case filed: October 8, 2015
Qualifying Judgment/Order: October 8, 2015
Notice No.:
2015-133
Action:
In the Matter of Briargate Trading, LLC and Eric Oscher
Administrative Proceeding File No.: 3-16889
Case filed: October 8, 2015
Qualifying Judgment/Order: October 8, 2015
Notice No.:
2015-134
Action:
In the Matter of Fenway Partners, LLC, Peter Lamm, William Gregory Smart, Timothy Mayhew, Jr., and Walter Wiacek, CPA
Administrative Proceeding File No.: 3-16938
Case filed: November 3, 2015
Qualifying Judgment/Order: November 3, 2015
Notice No.:
2015-96
Action:
SEC v. James A. Evans, Jr., d/b/a/ Cashflowbot.com, d/b/a Dollarmonster
Case number: 15-cv-01118 (United States District Court for the Northern District of Georgia)
Case filed: April 13, 2015
Qualifying Judgment/Order: September 30, 2015
Notice No.:
2015-97
Action:
SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc. and Hilbroy Advisory Inc.
Case number: 12-cv-12334 (United States District Court for the District of Massachusetts)
Case filed: December 17, 2012
Qualifying Judgment/Order: October 1, 2015
Notice No.:
2015-98
Action:
In the Matter of Bankrate, Inc.
Administrative Proceeding File No.: 3-16837
Case filed: September 8, 2015
Qualifying Judgment/Order: September 8, 2015
Notice No.:
2015-99
Action:
In the Matter of Trinity Capital Corporation
Administrative Proceeding File No.: 3-16837
Case filed: September 28, 2015
Qualifying Judgment/Order: September 8, 2015
Notice No.:
2015-100
Action:
SEC v. Xiaoyu Xia and Yanting Hu
Case number: 15-cv-03320 (United States District Court for the Southern District of New York)
Case filed: April 29, 2015
Qualifying Judgment/Order: September 10, 2015
Notice No.:
2015-101
Action:
SEC v. Bankatlantic Bancorp, Inc. and Alan B. Levan
Case number: 12-cv-60082 (United States District Court for the Southern District of Florida)
Case filed: January 18, 2012
Qualifying Judgment/Order: September 24, 2015
Notice No.:
2015-102
Action:
In the Matter of UBS Financial Services Incorporated of Puerto Rico
Administrative Proceeding File No.: 3-16846
Case filed: September 29, 2015
Qualifying Judgment/Order: September 29, 2015
Notice No.:
2015-103
Action:
SEC v. Evolution Capital Advisors, LLC, Evolution Investment Group I, LLC, and Damian Omar Valdez
Case number: 11-cv-02945 (United States District Court for the Southern District of Texas)
Case filed: August 10, 2011
Qualifying Judgment/Order: September 17, 2015
Notice No.:
2015-104
Action:
In the Matter of Bristol-Myers Squibb Company
Administrative Proceeding File No.: 3-16881
Case filed: October 5, 2015
Qualifying Judgment/Order: October 5, 2015
Notice No.:
2015-105
Action:
In the Matter of Edward T. Borg and Brian J. Mulkeen
Administrative Proceeding File No.: 3-16875
Case filed: September 30, 2015
Qualifying Judgment/Order: September 30, 2015
Notice No.:
2015-106
Action:
In the Matter of First Eagle Investment Management, LLC and FEF Distributors, LLC
Administrative Proceeding File No.: 3-16823
Case filed: September 21, 2015
Qualifying Judgment/Order: September 21, 2015
Notice No.:
2015-107
Action:
In the Matter of Latour Trading LLC
Administrative Proceeding File No.: 3-16851
Case filed: September 30, 2015
Qualifying Judgment/Order: September 30, 2015
Notice No.:
2015-108
Action:
SEC v. ABS Manager, LLC and George Charles Cody Price
Case number: 13-cv-00319 (United States District Court for the Southern District of California)
Case filed: February 8, 2013
Qualifying Judgment/Order: July 16, 2015
Notice No.:
2015-109
Action:
SEC v. Efstratios “Elias” D. Argryropoulos and Prima Capital Group, Inc.
Case number: 14-cv-09800 (United States District Court for the Central District of Florida)
Case filed: December 23, 2014
Qualifying Judgment/Order: September 29, 2015
Notice No.:
2015-110
Action:
SEC v. iShopNoMarkup.com, Inc., Scott W. Brockop, Anthony M. Knight, and Moussa Yeroushalmi a/k/a Mike Yeroush
Case number: 04-cv-04057 (United States District Court for the Eastern District of New York)
Case filed: September 20, 2004
Qualifying Judgment/Order: September 3, 2015
Notice No.:
2015-111
Action:
In the Matter of Focus Media Holding Limited and Jason Jiang
Administrative Proceeding File No.: 3-16852
Case filed: September 30, 2015
Qualifying Judgment/Order: September 30, 2015
Notice No.:
2015-112
Action:
In the Matter of Home Loan Servicing Solutions, Ltd.
Administrative Proceeding File No.: 3-16882
Case filed: October 5, 2015
Qualifying Judgment/Order: October 5, 2015
Notice No.:
2015-113
Action:
In the Matter of William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.
Administrative Proceeding File No.: 3-16829
Case filed: September 23, 2015
Qualifying Judgment/Order: September 23, 2015
Notice No.:
2015-114
Action:
SEC v. Arkadiy Dubovoy, Igor Dubovoy, Pavel Dubovoy, Nelia Dubova, David Amaryan, Alexander Redoseev, Aleksandr Garkusha, Oleksander Ieremenko (a.k.a. Aleksander Eremenko), Vladislav Khalupsky, Vitaly Korchevsky, Roman Lavlinskiy, Oleksandr Makarov, Leonid Momtok, Nikolai Slepenkov, Andriy Supranonok, Ivan Turchynov, Maxim Zakharchenko, APD Developers, LLC, Beratto Group LTD., Bering Explorer Fund LTD., Concorde Bermuda LTD., Escada Logistics LTD., Exante LTD, Global Hedge Capital Group, Guibor S.A., Intertrade Pacific S.A., Memelland Investments LTD, Jaspen Capital Partners Limited, NTS Capital Fund, Ocean Prime Inc., Omega 26 Investments LTD, and Southeastern Holding and Investment Company LLC
Case number: 15-cv-06076 (United States District Court for the District of New Jersey)
Case filed: August 10, 2015
Qualifying Judgment/Order: September 28, 2015
Notice No.:
2015-115
Action:
In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-16835
Case filed: September 28, 2015
Qualifying Judgment/Order: September 28, 2015
Notice No.:
2015-116
Action:
In the Matter of UBS AG
Administrative Proceeding File No.: 3-16891
Case filed: October 13, 2015
Qualifying Judgment/Order: October 13, 2015
Notice No.:
2015-117
Action:
SEC v. Jeffory D. Shields (a/k/a Jeffrey D. Shields) and Geodynamics, Inc. (f/k/a or d/b/a Geodynamics Exploration, Inc.)
Case number: 11-cv-02121 (United States District Court for the District of Colorado)
Case filed: August 15, 2011
Qualifying Judgment/Order: March 16, 2015
Notice No.:
2015-118
Action:
SEC v. Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley, and Jack Halperin
Case number: 10-cv-02031 (United States District Court for the Eastern District of New York)
Case filed: May 5, 2010
Qualifying Judgment/Order: April 16, 2015
Notice No.:
2015-119
Action:
SEC v. Daniel Bergin
Case number: 13-cv-01940 (United States District Court for the Northern District of Texas)
Case filed: May 23, 2013
Qualifying Judgment/Order: August 18, 2015
Notice No.:
2015-86
Action:
In the Matter of the Bank of New York Mellon Corporation
Administrative Proceeding File No.: 3-16762
Case filed: August 18, 2015
Qualifying Judgment/Order: August 18, 2015
Notice No.:
2015-87
Action:
In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-16764
Case filed: August 19, 2015
Qualifying Judgment/Order: August 19, 2015
Notice No.:
2015-88
Action:
In the Matter of Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
Administrative Proceeding File No.: 3-16776
Case filed: September 2, 2015
Qualifying Judgment/Order: September 2, 2015
Notice No.:
2015-89
Action:
In the Matter of Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed
Administrative Proceeding File No.: 3-16755
Case filed: August 14, 2015
Qualifying Judgment/Order: August 14, 2015
Notice No.:
2015-90
Action:
In the Matter of Edward D. Jones & Co., L.P.
Administrative Proceeding File No.: 3-16751
Case filed: August 13, 2015
Qualifying Judgment/Order: August 13, 2015
Notice No.:
2015-91
Action:
SEC v. John Thornes
Case number: 14-cv-06088 (United States District Court for the Central District of California)
Case filed: August 4, 2014
Qualifying Judgment/Order: July 17, 2015
Notice No.:
2015-92
Action:
In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.
Administrative Proceeding File No.: 3-16757
Case filed: August 17, 2015
Qualifying Judgment/Order: August 17, 2015
Notice No.:
2015-93
Action:
In the Matter of BDO USA, LLP
Administrative Proceeding File No.: 3-16800
Case filed: September 9, 2015
Qualifying Judgment/Order: September 9, 2015
Notice No.:
2015-94
Action:
SEC v. David Craven and Alexander J. Craven
Case number: 15-cv-01820 (United States District Court for the Southern District of New York)
Case filed: March 11, 2015
Qualifying Judgment/Order: August 27, 2015
Notice No.:
2015-95
Action:
SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill
Case number: 15-cv-02401 (United States District Court for the District of Maryland)
Case filed: August 13, 2015
Qualifying Judgment/Order: August 21, 2015
Notice No.:
2015-77
Action:
SEC v. George G. Levin and Frank J. Preve
Case Number: 12-cv-21917 (United States District Court for the Southern District of Florida)
Case Filed: May 22, 2012
Qualifying Judgment/Order: August 3, 2015
Notice No.:
2015-78
Action:
SEC v. Frank Tamayo
Case Number: 14-cv-05844 (United States District Court for the District of New Jersey)
Case Filed: September 19, 2014
Qualifying Judgment/Order: July 14, 2015
Notice No.:
2015-79
Action:
In the Matter of Guggenheim Partners Investment Management, LLC
Administrative Proceeding File No.: 3-16735
Case Filed: August 10, 2015
Qualifying Judgment/Order: August 10, 2015
Notice No.:
2015-80
Action:
SEC v. Mikhail Galas, Alexander Hawatmeh, Christopher Mwroca, and Tovy Pustovit
Case Number: 14-cv-05621 (United States District Court for the Western District of Washington)
Case Filed: August 5, 2014
Qualifying Judgment/Order: July 21, 2015
Notice No.:
2015-81
Action:
In the Matter of VERO Capital Management, LLC, Robert Geiger, George Barbaresi, Esq, and Steven Downey, CPA
Administrative Proceeding File No.: 3-16328
Case Filed: December 29, 2014
Qualifying Judgment/Order: July 8, 2015
Notice No.:
2015-82
Action:
In the Matter of OZ Management, LP
Administrative Proceeding File No.: 3-16686
Case Filed: July 14, 2015
Qualifying Judgment/Order: July 14, 2015
Notice No.:
2015-83
Action:
In the Matter of ITG Inc. and AlterNet Securities, Inc.
Administrative Proceeding File No.: 3-16742
Case Filed: August 12, 2015
Qualifying Judgment/Order: August 12, 2015
Notice No.:
2015-84
Action:
In the Matter of Wisteria Global, Inc. and Hiroshi Fujigami
Administrative Proceeding File No.: 3-16675
Case Filed: July 6, 2015
Qualifying Judgment/Order: July 6, 2015
Notice No.:
2015-85
Action:
In the Matter of Mead Johnson Nutrition Company
Administrative Proceeding File No.: 3-16704
Case Filed: July 28, 2015
Qualifying Judgment/Order: July 28, 2015
Notice No.:
2015-70
Action:
In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield
Administrative Proceeding File No.: 3-16575
Case filed: June 5, 2015
Qualifying Judgment/Order: June 5, 2015
Notice No.:
2015-71
Action:
In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton
Administrative Proceeding File No.: 3-16672
Case filed: July 1, 2015
Qualifying Judgment/Order: July 1, 2015
Notice No.:
2015-72
Action:
In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-16665
Case filed: June 30, 2015
Qualifying Judgment/Order: June 30, 2015
Notice No.:
2015-73
Action:
In the Matter of Kohlberg Kravis Roberts & Co. L.P.
Administrative Proceeding File No.: 3-16656
Case filed: June 29, 2015
Qualifying Judgment/Order: June 29, 2015
Notice No.:
2015-74
Action:
SEC v. Andrew L. Evans
Case number: 15-cv-02551 (United States District Court for the Northern District of California)
Case filed: June 9, 2015
Qualifying Judgment/Order: June 10, 2015
Notice No.:
2015-75
Action:
SEC v. Joshua A. Yudell
Case number: 15-cv-04548 (United States District Court for the Southern District of New York)
Case filed: June 11, 2015
Qualifying Judgment/Order: June 16, 2015
Notice No.:
2015-76
Action:
SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr.
Case number: 12-cv-10692 (United States District Court for the Central District of California)
Case filed: December 14, 2012
Qualifying Judgment/Order: May 11, 2015
Notice No.:
2015-66
Action:
In the Matter of Alphabridge Capital Management, LLC, Thomas T. Kutzen, and Michael J. Carino
Administrative Proceeding File No.: 3-16670
Case filed: July 1, 2015
Qualifying Judgment/Order: July 1, 2015
Notice No.:
2015-67
Action:
SEC v. Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner
Case number: 14-cv-80823 (United States District Court for the Southern District of Florida)
Case filed: June 23, 2014
Qualifying Judgment/Order: June 22, 2015
Notice No.:
2015-68
Action:
In the Matter of Helmut Anscheringer
Administrative Proceeding File No.: 3-16589
Case filed: June 15, 2015
Qualifying Judgment/Order: June 15, 2015
Notice No.:
2015-69
Action:
SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller
Case number: 10-cv-01235 (United States District Court for the Northern District of Ohio)
Case filed: June 2, 2010
Qualifying Judgment/Order: May 26, 2015
Notice No.:
2015-55
Action:
SEC v. Charles H. Merchant, Sr. and Southern USA Resources, Inc.
Case Number: 13-cv-03879 (United States District Court for the Northern District of Georgia)
Case Filed: November 22, 2013
Qualifying Judgment/Order: May 6, 2015
Notice No.:
2015-56
Action:
SEC v. Robert A. Gist and Gist, Kennedy & Associates, Inc.
Case Number: 13-cv-01833 (United States District Court for the Northen District of Georgia)
Case Filed: May 31, 2013
Qualifying Judgment/Order: May 1, 2015
Notice No.:
2015-57
Action:
SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd.
Case Number: 13-cv-24360 (United States District Court for the Southern District of Florida)
Case Filed: December 3, 2013
Qualifying Judgment/Order: May 26, 2015
Notice No.:
2015-59
Action:
SEC v. Radius Capital Corp. and Robert A. DiGiorgio
Case Number: 11-cv-00116 (United States District Court for the Middle District of Florida)
Case Filed: March 7, 2011
Qualifying Judgment/Order: April 23, 2015
Notice No.:
2015-60
Action:
In the Matter of BHP Billiton Ltd. And BHP Billton Plc
Administrative Proceeding File No.: 3-16546
Case Filed: May 20, 2015
Qualifying Judgment/Order: May 20, 2015
Notice No.:
2015-61
Action:
In the Matter of Deutsche Bank AG
Administrative Proceeding File No.: 3-16557
Case Filed: May 26, 2015
Qualifying Judgment/Order: May 26, 2015
Notice No.:
2015-62
Action:
SEC v. Luis Chang and Everbright Development Overseas Limited
Case Number: 14-cv-04132 (United States District Court for the Southern District of New York
Case Filed: July 24, 2014
Qualifying Judgment/Order: May 15, 2015
Notice No.:
2015-63
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation
Administrative Proceeding File No.: 3-16567
Case Filed: June 1, 2015
Qualifying Judgment/Order: June 1, 2015
Notice No.:
2015-64
Action:
SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson
Case Number: 15-cv-03528 (United States District Court for the District of New Jersey)
Case Filed: May 26, 2015
Qualifying Judgment/Order: May 29, 2015
Notice No.:
2015-65
Action:
In the Matter of Nationwide Life Insurance Company
Administrative Proceeding File No.: 3-16537
Case Filed: May 14, 2015
Qualifying Judgment/Order: May 14, 2015
Notice No.:
2015-45
Action:
SEC v. Eric William Johnson
Case number: 14-cv-08825 (United States District Court for the Northern District of Illinois)
Case filed: November 5, 2014
Qualifying Judgment/Order: April 13, 2015
Notice No.:
2015-47
Action:
SEC v. Frank Perkins Hixon, Jr.
Case number: 14-cv-00158 (United States District Court for the Western District of Texas)
Case filed: February 20, 2014
Qualifying Judgment/Order: April 20, 2015
Notice No.:
2015-49
Action:
SEC v. Rudolf Pameijer, Lindsay R. Sayer, Ryan W. Koester, Rykoworks Capital Group, LLC
Case number: 12-cv-01364 (United States District Court for the Southern District of Indiana)
Case filed: September 24, 2012
Qualifying Judgment/Order: April 29, 2015
Notice No.:
2015-50
Action:
In the Matter of BlackRock Advisors, LLC and Bartholomew A. Battista
Administrative Proceeding File No.: 3-16501
Case filed: April 20, 2015
Qualifying Judgment/Order: April 20, 2015
Notice No.:
2015-51
Action:
SEC v. Macquarie Capital (USA), Inc., Aaron Black and William Fang
Case number: 15-cv-02304 (United States District Court for the Southern District of New York)
Case filed: March 27, 2015
Qualifying Judgment/Order: April 1, 2015
Notice No.:
2015-52
Action:
SEC v. Guy M. Jean-Pierre, a/k/a “Marcelo Dominguez de Guerra”
Case number: 12-cv-08886 (United States District Court for the Southern District of New York)
Case filed: December 6, 2012
Qualifying Judgment/Order: April 16, 2015
Notice No.:
2015-37
Action:
SEC v. 8000, Inc., Johnathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan
Case Number: 12-cv-07261 (United States District Court for the Southern District of New York)
Case Filed: September 27, 2012
Qualifying Judgment/Order: April 7, 2015
Notice No.:
2015-38
Action:
SEC v. BioChemics, Inc., John J. Masiz, Craig Medoff and Gregory Kroning
Case Number: 12-cv-12324 (United States District Court for the District of Massachusetts)
Case Filed: December 14, 2012
Qualifying Judgment/Order: March 25, 2015
Notice No.:
2015-39
Action:
SEC v. Robert D. Falor
Case Number: 09-cv-05644 (United States District Court for the Northern District of Illinois)
Case Filed: September 11, 2009
Qualifying Judgment/Order: March 9, 2015
Notice No.:
2015-40
Action:
SEC vs. Charles R. Kokesh
Case Number: 09-cv-01021 (United States District Court for the District of New Mexico)
Case Filed: October 27, 2009
Qualifying Judgment/Order: March 30, 2015
Notice No.:
2015-41
Action:
SEC vs. StratoComm Corporation, Roger D. Shearer, and Craig Danzig
Case Number: 11-cv-01188 (United States District Court for the Northern District of New York)
Case Filed: October 4, 2011
Qualifying Judgment/Order: March 26, 2015
Notice No.:
2015-43
Action:
SEC vs. Ronald Feldstein, Mara Capital Management LLC, and Vita Health of Americal, LLC
Case Number: 13-cv-06168 (United States District Court for the Southern District of New York)
Case Filed: Septmber 3, 2013
Qualifying Judgment/Order: March 16, 2015
Notice No.:
2015-44
Action:
In the Matter of FLIR Systems, Inc.
Administrative Proceeding File No.: 3-16478
Case Filed: April 8, 2015
Qualifying Judgment/Order: April 8, 2015
Notice No.:
2015-36
Action:
SEC v. Life Partners Holdings, Inc., Brian Pardo, R. Scott Peden, and David M. Martin
Case Number: 12-cv-00033 (United States District Court for the Western District of Texas)
Case Filed: January 3, 2012
Qualifying Judgment/Order: January 16, 2015
Notice No.:
2015-23
Action:
SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner
Case Number: 15-cv-01142 (United States District Court for the Northern District of Illinois)
Case Filed: February 5, 2015
Qualifying Judgment/Order: February 18, 2015
Notice No.:
2015-24
Action:
SEC v. Lee Chi Ling
Case Number: 13-cv-05364 (United States District Court for the Eastern District of New York)
Case Filed: September 26, 2013
Qualifying Judgment/Order: February 11, 2015
Notice No.:
2015-25
Action:
In the Matter of BDO China Dahua CPA Co., Ltd.; Deloitte Touche Tohmatsu Certified Public Accountants Ltd.; Ernst & Young Hua Ming LLP; KPMG Huazhen (Special General Partnership); PricewaterhouseCoopers Zhong Tian CPAs Limited
Administrative Proceeding File Nos.: 3-14872, 3-15116
Case Filed: February 6, 2015
Qualifying Judgment/Order: February 6, 2015
Notice No.:
2015-26
Action:
In the Matter of The Goodyear Tire & Rubber Company
Administrative Proceeding File No.: 3-16400
Case Filed: February 24, 2015
Qualifying Judgment/Order: February 24, 2015
Notice No.:
2015-27
Action:
SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc.
Case Number: 13-cv-01658 (United States District Court for the District of Nevada)
Case Filed: September 11, 2013
Qualifying Judgment/Order: January 27, 2015
Notice No.:
2015-28
Action:
In the Matter of Sandra Dyche
Administrative Proceeding File No.: 3-16398
Case Filed: February 20, 2015
Qualifying Judgment/Order: February 20, 2015
Notice No.:
2015-29
Action:
SEC v. China Sky One Medical, Inc., and Yan-Qing Liu
Case Number: 12-cv-07543 (United States District Court for the Central District of California)
Case Filed: September 4, 2012
Qualifying Judgment/Order: March 4, 2015
Notice No.:
2015-30
Action:
SEC v. World Capital Market Inc.; WCM777 Inc.; WCM777 Ltd. d/b/a WCM777 Enterprises, Inc.; and Ming Xu a/k/a Phil Ming Xu
Case Number: 14-cv-02334 (United States District Court for the Central District of California)
Case Filed: March 27, 2014
Qualifying Judgment/Order: February 20, 2015
Notice No.:
2015-31
Action:
SEC v. John Gray, Christian Keller, Kyle Martin, and Aaron Shepard
Case Number: 15-cv-00551 (United States District Court for the Northern District of California)
Case Filed: February 5, 2015
Qualifying Judgment/Order: March 2, 2015
Notice No.:
2015-32
Action:
SEC vs. Mark F. Spangler and The Spangler Group, Inc.
Case Number: 12-cv-00856 (United States District Court for the Western District of Washington)
Case Filed: May 17, 2012
Qualifying Judgment/Order: November 13, 2014
Notice No.:
2015-33
Action:
SEC v. Robert A Walker, Dennis L. DeSender, and DLD Financial, LTD
Case Number: 11-cv-03655 (United States District Court for the District of Minnesota)
Case Filed: December 21, 2011
Qualifying Judgment/Order: January 30, 2015
Notice No.:
2015-34
Action:
SEC v. Steven Scoppetuolo, Robert Tocci, Sarang Ahuja, Richard White and Eric Gordon
Case Number: 10-cv-20475 (United States District Court for the Southern District of Florida)
Case Filed: February 16, 2010
Qualifying Judgment/Order: March 27, 2013
Notice No.:
2015-35
Action:
SEC v. Lawrence “Lee” Loomis, Loomis Wealth Solutions, LLC, John Hagener, and Lismar Financial Services, LLC
Case Number: 10-cv-00458 (United States District Court for the Eastern District of California)
Case Filed: February 23, 2010
Qualifying Judgment/Order: January 21, 2015
Notice No.:
2015-13
Action:
In the Matter of International Capital Group, LLC, Brian R. Nord, Larry Russell, Jr., and Todd J. Bergeron
Administrative Proceeding File No.: 3-16366
Case filed: January 29, 2015
Qualifying Judgment/Order: January 29, 2015
Notice No.:
2015-14
Action:
SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter D. Kirschner, and Stuart M. Rubens
Case number: 13-cv-62100 (United States District Court for the Southern District of Florida)
Case filed: September 26, 2013
Qualifying Judgment/Order: December 9, 2014
Notice No.:
2015-15
Action:
SEC v. Avon Products, Inc.
Case number: 14-cv-09956 (United States District Court for the Southern District of New York)
Case filed: December 17, 2014
Qualifying Judgment/Order: January 8, 2015
Notice No.:
2015-16
Action:
In the Matter of Oppenheimer & Co. Inc.
Administrative Proceeding File No.: 3-16361
Case filed: January 27, 2015
Qualifying Judgment/Order: January 27, 2015
Notice No.:
2015-17
Action:
SEC v. Magdalena Tavella, Andres Horacio Ficicchia, Gonzalo Garcia Blaya, Lucia Mariana Hernando, Cecilia de Lorenzo, Adriana Rosa Bagattin, Daniella Patricia Goldman, Mariano Pablo Ferrari, Mariano Graciarena, and Fernando Loureyro
Case number: 13-cv-04609 (United States District Court for the Southern District of New York)
Case filed: July 3, 2013
Qualifying Judgment/Order: January 9, 2015
Notice No.:
2015-18
Action:
SEC v. Wwebnet, Inc. and Robert L. Kelly
Case number: 12-cv-06581 (United States District Court for the Southern District of New York)
Case filed: August 28, 2012
Qualifying Judgment/Order: January 16, 2015
Notice No.:
2015-19
Action:
In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-16338
Case filed: January 15, 2015
Qualifying Judgment/Order: January 15, 2015
Notice No.:
2015-20
Action:
SEC v. Chan Tze Ngon and Jiang Xiangyuan
Case number: 13-cv-06828 (United States District Court for the Southern District of New York)
Case filed: September 26, 2013
Qualifying Judgment/Order: January 16, 2015
Notice No.:
2015-21
Action:
SEC v. GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, and John A. Geringer
Case number: 12-cv-02663 (United States District Court for the Northern District of California)
Case filed: May 24, 2012
Qualifying Judgment/Order: February 3, 2015
Notice No.:
2015-22
Action:
In the Matter of VCAP Securities, LLC, and Brett Thomas Graham
Administrative Proceeding File No.: 3-16389
Case filed: February 19, 2015
Qualifying Judgment/Order: February 19, 2015
Notice No.:
2015-1
Action:
In the Matter of Bruker Corporation
Administrative Proceeding File No.: 3-16314
Case Filed: December 15, 2014
Qualifying Judgment/Order: December 15, 2014
Notice No.:
2015-2
Action:
In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-16310
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 10, 2014
Notice No.:
2015-3
Action:
SEC vs. Brian N. Hollnagel and BCI Aircraft Leasing, Inc.
Case Number: 07-cv-04538 (United States District Court for the Northern District of Illinois)
Case filed: August 13, 2007
Qualifying judgment/order: December 18, 2014
Notice No.:
2015-4
Action:
SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch
Case Number: 11-cv-01962 (United States District Court for the Central District of California)
Case Filed: December 21, 2011
Qualifying Judgment/Order: December 10, 2014
Notice No.:
2015-5
Action:
SEC v. Bill C. (Billy) Crafton, Jr.
Case Number: 14-cv-02916 (United States District Court for the Southern District of California)
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 17, 2014
Notice No.:
2015-6
Action:
SEC v. Larry R. Polhill
Case Number: 13-cv-01729 (United States District Court for the Central District of California)
Case Filed: September 24, 2013
Qualifying Judgment/Order: December 6, 2014
Notice No.:
2015-7
Action:
SEC v. Alternative Green Technologies, Inc., Mitchell Segal, Belmont Partners, LLC, Joseph Meuse, Howard Borg, David Ryan, Vikram Khanna, and Panascope Capital Inc.
Case Number: 11-cv-09056 (United States District Court for the Southern District of New York)
Case Filed: December 12, 2011
Qualifying Judgment/Order: December 15, 2014
Notice No.:
2015-8
Action:
SEC v. John N. Irwin, CPA and Jacklin Associates, Inc.
Case Number: 11-cv-04429 (United States District Court for the Eastern District of Pennsylvania)
Case Filed: July 11, 2011
Qualifying Judgment/Order: December 19, 2014
Notice No.:
2015-9
Action:
SEC v. Michael B. Ferguson and Transactions Unlimited
Case Number: 14-cv-04188 (United States District Court for the Northern District of California)
Case Filed: September 29, 2014
Qualifying Judgment/Order: November 13, 2014
Notice No.:
2015-10
Action:
In the Matter of EDGA Exchange, Inc., and EDGX Exchange, Inc.
Administrative Proceeding File No.: 3-16332
Case Filed: January 12, 2015
Qualifying Judgment/Order: January 12, 2015
Notice No.:
2015-11
Action:
In the Matter of Standard & Poor’s Rating Services
Administrative Proceeding File No.: 3-16346
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015
Notice No.:
2015-12
Action:
In the Matter of Standard & Poor’s Rating Services
Administrative Proceeding File No.: 3-16348
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015
Notice No.:
2014-146
Action:
In the Matter of F-Squared Investments, Inc.
Administrative Proceeding File No.: 3-16325
Case filed: December 22, 2014
Qualifying Judgment/Order: December 22, 2014
Notice No.:
2014-136
Action:
SEC vs. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC
Case number: 13-cv-00447 (United States District Court for the Western District of North Carolina)
Case filed: August 6, 2013
Qualifying judgment/order: November 25, 2014
Notice No.:
2014-138
Action:
SEC vs. John K. Marcum and Guaranty Reserves Trust, LLC
Case number: 13-cv-01361 (United States District Court for the Southern District of Indiana)
Case filed: August 26, 2013
Qualifying judgment/order: November 18, 2014
Notice No.:
2014-139
Action:
SEC vs. Matthew O. Madison, Dwight McGhee, and Infinity Exploration, LLC
Case number: 13-cv-02499 (United States District Court for the Northern District of Texas)
Case filed: June 28, 2013
Qualifying judgment/order: November 18, 2014
Notice No.:
2014-141
Action:
In the Matter of HSBC Private Bank (Suisse), SA
Administrative Proceeding File No.: 3-16288
Case filed: November 25, 2014
Qualifying judgment/order: November 25, 2014
Notice No.:
2014-142
Action:
In the Matter of Alan Gavornik, Nicholas Mariniello and Lee Argush
Administrative Proceeding File No.: 3-16286
Case filed: November 24, 2014
Qualifying judgment/order: November 24, 2014
Notice No.:
2014-143
Action:
In the Matter of Wedbush Securities Inc., Jeffrey Bell, and Christina Fillhart
Administrative Proceeding File No.: 3-15913
Case filed: November 20, 2014
Qualifying judgment/order: November 20, 2014
Notice No.:
2014-145
Action:
SEC vs. Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. Burks
Case number: 12-cv-00519 (United States District Court for the Western District of North Carolina)
Case filed: August 17, 2012
Qualifying judgment/order: August 17, 2012
In the Matter of Adam Troy Dooly
Administrative Proceeding File No.: 3-15540
Case filed: September 30, 2013
Qualifying judgment/order: September 30, 2013
Notice No.:
2014-140
Action:
SEC vs. Larry J. Dearman, Sr. and Marya Gray
Case number: 13-cv-00553 (United States District Court for the Northern District of Oklahoma)
Case filed: August 27, 2013
Qualifying judgment/order: November 14, 2014
Notice No.:
2014-120
Action:
SEC vs. Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC
Case number: 11-cv-00723 (United States District Court for the District of Minnesota)
Case filed: March 24, 2011
Qualifying Judgment/Order: September 22, 2014
Notice No.:
2014-121
Action:
SEC vs. Resources Planning Group, Inc., and Joseph J. Hennessy
Case number: 12-cv-09509 (United States District Court for the Northern District of Illinois)
Case filed: November 29, 2012
Qualifying Judgment/Order: September 29, 2014
Notice No.:
2014-122
Action:
SEC v. Nikolai S. Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage
Case number: 12-cv-07125 (United States District Court for the Northern District of Illinois)
Case filed: September 6, 2012
Qualifying Judgment/Order: September 30, 2014
Notice No.:
2014-124
Action:
SEC v. Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle), and Jilapuhn, Inc. (d/b/a Her Majesty’s Credit Union)
Case number: 12-cv-02939 (United States District Court for the District of Colorado)
Case filed: November 8, 2012
Qualifying Judgment/Order: October 9, 2014
Notice No.:
2014-125
Action:
SEC v. Abatement Corp. Holding Company Limited
Case number: 14-cv-23336 (United States District Court for the Southern District of Florida)
Case filed: September 10, 2014
Qualifying Judgment/Order: October 29, 2014
Notice No.:
2014-126
Action:
In the Matter of Layne Christensen Company
Administrative Proceeding File No.: 3-16216
Case filed: October 27, 2014
Qualifying Judgment/Order: October 27, 2014
Notice No.:
2014-127
Action:
In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC
Administrative Proceeding File No.: 3-16192
Case filed: October 9, 2014
Qualifying Judgment/Order: October 9, 2014
Notice No.:
2014-128
Action:
SEC v. Timothy J. Coughlin, OICU LTD., and OICU Investments Corp. (both d/b/a “Oxford International Credit Union” and/or “Oxford International Cooperative Union”)
Case number: 14-cv-00562 (United States District Court for the Southern District of Indiana)
Case filed: April 11, 2014
Qualifying Judgment/Order: October 29, 2014
Notice No.:
2014-130
Action:
In the Matter of Bio-Rad Laboratories, Inc.
Administrative Proceeding File No.: 3-16231
Case filed: November 3, 2014
Qualifying Judgment/Order: November 3, 2014
Notice No.:
2014-131
Action:
In the Matter of Clean Energy Capital, LLC and Scott A. Brittenham
Administrative Proceeding File No.: 3-15766
Case filed: October 17, 2014
Qualifying Judgment/Order: October 17, 2014
Notice No.:
2014-132
Action:
SEC v. Christopher Wheeler and OTCStockExchange.com
Case number: 11-cv-06169 (United States District Court for the Southern District of New York)
Case filed: January 14, 2011
Qualifying Judgment/Order: September 29, 2014
Notice No.:
2014-133
Action:
SEC v. Lee Cole, Linden Boyne, Kevin B. Donovan, and Timothy Quintanilla
Case number: 12-cv-08167 (United States District Court for the Southern District Court of New York)
Case filed: November 8, 2012
Qualifying Judgment/Order: October 8, 2014
Notice No.:
2014-134
Action:
SEC v. Dennis F. Wright
Case number: 14-cv-01896 (United States District Court for the Middle District of Pennsylvania)
Case filed: September 30, 2014
Qualifying Judgment/Order: October 9, 2014
Notice No.:
2014-135
Action:
In the Matter of China Ruitai International Holdings Co., LTD., Dian Min Ma, Gang Ma, and Jin Tian
Administrative Proceeding File No.: 3-15544
Case filed: September 30, 2013
Qualifying Judgment/Order: October 2, 2014
Notice No.:
2014-103
Action:
SEC v. Paul Marshall, Bridge Securities, LLC a/k/a/ Bridge Financial, Bridge Equity, Inc., and FOGfuels, Inc.
Case number: 13-cv-3032 (United States District Court for the Northern District of Georgia)
Case filed: September 11, 2013
Qualifying Judgment/Order: September 16, 2014
Notice No.:
2014-104
Action:
In the Matter of RA Capital Management, LLC
Administrative Proceeding File No.: 3-16109
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
Notice No.:
2014-105
Action:
SEC v. Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, and Susana Gomez
Case number: 13-cv-01865 (United States District Court for the Central District of California)
(originally filed as 12-cv-00505 (United States District Court for the Eastern District of Texas)
Case filed: August 13, 2012
Qualifying Judgment/Order: August 14, 2014
Notice No.:
2014-106
Action:
SEC v. Gordon A. Driver and Axcess Automation, LLC
Case number: 09-cv-03410 (United States District Court for the Central District of California)
Case filed: May 14, 2009
Qualifying Judgment/Order: September 23, 2014
Notice No.:
2014-107
Action:
SEC v. Trendon T. Shavers and Bitcoin Savings and Trust
Case number: 13-cv-00416 (United States District Court for the Eastern District of Texas)
Case filed: July 23, 2013
Qualifying Judgment/Order: September 18, 2014
Notice No.:
2014-108
Action:
SEC v. AIC, Inc., Community Bankers Securities, LLC, Nicholas D. Skaltsounis, John B. Guyette, and John R. Graves
Case number: 11-cv-00176 (United States District Court for the Eastern District of Tennessee)
Case filed: April 15, 2011
Qualifying Judgment/Order: August 1, 2014
Notice No.:
2014-109
Action:
SEC v. Tyrone L. Gilliams, Jr. and TL Gilliams, LLC
Case number: 11-cv-08201 (United States District Court for the Southern District of New York)
Case filed: November 14, 2011
Qualifying Judgment/Order: September 16, 2014
Notice No.:
2014-110
Action:
In the Matter of Lincolnshire Management, Inc.
Administrative Proceeding File No.: 3-16139
Case filed: September 22, 2014
Qualifying Judgment/Order: September 22, 2014
Notice No.:
2014-111
Action:
In the Matter of BlackRock Institutional Trust Company, N.A.
Administrative Proceeding File No.: 3-16120
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
Notice No.:
2014-112
Action:
In the Matter of Whitebox Advisors LLC
Administrative Proceeding File No.: 3-16117
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
Notice No.:
2014-113
Action:
In the Matter of Wilmington Trust Corporation
Administrative Proceeding File No.: 3-16098
Case filed: September 11, 2014
Qualifying Judgment/Order: September 11, 2014
Notice No.:
2014-114
Action:
In the Matter of Latour Trading LLC and Nicolas Niquet
Administrative Proceeding File No.: 3-16128
Case filed: September 17, 2014
Qualifying Judgment/Order: September 17, 2014
Notice No.:
2014-115
Action:
In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-16154
Case filed: September 23, 2014
Qualifying Judgment/Order: September 23, 2014
Notice No.:
2014-116
Action:
In the Matter of Bank of America Corporation
Administrative Proceeding File No.: 3-16177
Case filed: September 29, 2014
Qualifying Judgment/Order: September 29, 2014
Notice No.:
2014-117
Action:
In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon
Administrative Proceeding File No.: 3-16159
Case filed: September 24, 2014
Qualifying Judgment/Order: September 24, 2014
Notice No.:
2014-118
Action:
In the Matter of Babak (“Bobby”) Yazdani
Administrative Proceeding File No.: 3-16160
Case filed: September 24, 2014
Qualifying Judgment/Order: September 24, 2014
Notice No.:
2014-119
Action:
In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-16153
Case filed: September 22, 2014
Qualifying Judgment/Order: September 22, 2014
Notice No.:
2014-96
Action:
SEC v. Blake B. Richards
Case number: 13-cv-01729 (United States District Court for the Northern District of Georgia)
Case filed: May 23, 2013
Qualifying Judgment/Order: August 26, 2014
Notice No.:
2014-97
Action:
In the Matter of Bank of America Corporation
Administrative Proceeding File No.: 3-16028
Case filed: August 21, 2014
Qualifying Judgment/Order: August 21, 2014
Notice No.:
2014-98
Action:
In the Matter of Keith MacDonald Summers
Administrative Proceeding File No.: 3-16014
Case filed: August 13, 2014
Qualifying Judgment/Order: August 13, 2014
Notice No.:
2014-99
Action:
SEC v. James M. Peister and Northstar International Group Inc.
Case number: 11-cv-03386 (United States District Court for the Eastern District of New York)
Case filed: July 14, 2011
Qualifying Judgment/Order: August 19, 2014
Notice No.:
2014-100
Action:
SEC v. Fleet Mutual Wealth Limited, and MWF Financial Limited, d/b/a Mutual Wealth
Case number: 14-cv-01409 (United States District Court for the Central District of California)
Case filed: February 25, 2014
Qualifying Judgment/Order: August 21, 2014
Notice No.:
2014-101
Action:
SEC v. Troy Lyndon and Ronald Zaucha
Case number: 13-cv-00486 (United States District Court for the District of Hawaii)
Case filed: September 24, 2013
Qualifying Judgment/Order: August 21, 2014
Notice No.:
2014-94
Action:
SEC v. Rajat K. Gupta and Raj Rajaratnam
Case number: 11-cv-7566 (United States District Court for the Southern District of New York)
Case filed: October 26, 2011
Qualifying Judgment/Order: December 26, 2012
Notice No.:
2014-80
Action:
SEC v. Patrick G. Rooney and Solaris Management, LLC
Case number: 11-cv-08264 (United States District Court for the Northern District of Illinois)
Case filed: November 18, 2011
Qualifying Judgment/Order: July 14, 2014
Notice No.:
2014-81
Action:
SEC v. Cedric Cañas Maillard and Julio Marín Ugedo
Case number: 13-cv-05299 (United States District Court for the Southern District of New York)
Case filed: July 30, 2013
Qualifying Judgment/Order: July 21, 2014
Notice No.:
2014-82
Action:
SEC v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs
Case number: 13-cv-23115 (United States District Court for the Southern District of Florida)
Case filed: August 29, 2013
Qualifying Judgment/Order: July 11, 2014
Notice No.:
2014-83
Action:
SEC v. DDBO Consulting, Inc., DBBG Consulting, Inc., Dean R. Baker, and Bret A. Grove
Case number: 14-cv-61685 (United States District Court for the Southern District of Florida)
Case filed: July 24, 2014
Qualifying Judgment/Order: July 31, 2014
Notice No.:
2014-84
Action:
SEC v. Scott Ashton Riggs, Darrell Parlee, Steven Manderfeld, Ashton Oilfield Services, LLC, Ashton Equipment, LLC, AOS 1-A, L.P., and AOS 1-B, L.P.
Case number: 13-cv-04403 (United States District Court for the Northern District of Texas)
Case filed: November 1, 2013
Qualifying Judgment/Order: July 11, 2014
Notice No.:
2014-85
Action:
SEC v. Citigroup Global Markets Inc.
Case number: 11-cv-07387 (United States District Court for the Southern District of New York)
Case filed: October 19, 2011
Qualifying Judgment/Order: August 5, 2014
Notice No.:
2014-86
Action:
SEC v. Bryan S. Behrens and National Investments, Inc.
Case number: 08-cv-00013 (United States District Court for the District of Nebraska)
Case filed: January 10, 2008
Qualifying Judgment/Order: July 17, 2014
Notice No.:
2014-87
Action:
SEC v. John Babikian
Case number: 14-cv-1740 (United States District Court for the Southern District of New York)
Case filed: March 13, 2014
Qualifying Judgment/Order: July 8, 2014
Notice No.:
2014-88
Action:
SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC
Case number: 13-cv-00895 (United States District Court for the Northern District of California)
Case filed: February 28, 2013
Qualifying Judgment/Order: August 1, 2014
Notice No.:
2014-89
Action:
In the Matter of Smith & Wesson Holding Corporation
Administrative Proceeding File No.: 3-15986
Case filed: July 28, 2014
Qualifying Judgment/Order: July 28, 2014
Notice No.:
2014-90
Action:
In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
Administrative Proceeding File No.: 3-15982
Case filed: July 24, 2014
Qualifying Judgment/Order: July 24, 2014
Notice No.:
2014-91
Action:
In the Matter of Ernst & Young LLP
Administrative Proceeding File No.: 3-15970
Case filed: July 14, 2014
Qualifying Judgment/Order: July 14, 2014
Notice No.:
2014-92
Action:
In the Matter of LavaFlow, Inc.
Administrative Proceeding File No.: 3-15985
Case filed: July 25, 2014
Qualifying Judgment/Order: July 25, 2014
Notice No.:
2014-93
Action:
In the Matter of Linkbrokers Derivatives LLC
Administrative Proceeding File No.: 3-16017
Case filed: August 14, 2014
Qualifying Judgment/Order: August 14, 2014
Notice No.:
2014-72
Action:
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li
Case number: 12-cv-10643 (United States District Court for the District of Massachusetts)
Case filed: April 11, 2012
Qualifying Judgment/Order: June 25, 2014
Notice No.:
2014-73
Action:
SEC v. Robert Hurd, Your Best Memories International, Inc., and Kenneth Gross
Case number: 13-cv-04464 (United States District Court for the Central District of California)
Case filed: June 20, 2013
Qualifying Judgment/Order: June 10, 2014
Notice No.:
2014-75
Action:
SEC v. Charles J. Dushek, Charles S. Dushek, and Capital Management Associates, Inc.
Case number: 13-cv-03669 (United States District Court for the Northern District of Illinois)
Case filed: May 16, 2013
Qualifying Judgment/Order: June 4, 2014
Notice No.:
2014-76
Action:
SEC v. Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras); Sylvester M. Gray II; Alicia Bryan; Maxum Gold Bnk Holdings Limited; Maxum Gold Bnk Holdings LLC; FMP Medical Services Limited; and FMP Medical Services LLC
Case number: 13-cv-07932 (United States District Court for the Central District of California)
Case filed: October 28, 2013
Qualifying Judgment/Order: June 9, 2014
Notice No.:
2014-77
Action:
SEC v. Thomas Fletcher & Co. Inc., Thomas Fletcher & Company, Inc., Sergei Voronchenko, Roman Thaker, Alex Berg, John Donadio and Padraig McGlynn
Case number: 02-cv-9355 (United States District Court for the Southern District of New York)
Case filed: November 22, 2002
Qualifying Judgment/Order: June 19, 2014
Notice No.:
2014-78
Action:
SEC v. John Lazorchak, Mark S. Cupo, Mark D. Foldy, Michael L. Castelli, Lawrence D. Grum, Michael T. Pendolino, and James N. Deprado
Case number: 12-cv-07164 (United States District Court for the District of New Jersey)
Case filed: November 19, 2012
Qualifying Judgment/Order: June 12, 2014
Notice No.:
2014-79
Action:
SEC v. CR Intrinsic Investors, LLC, Mathew Martoma, and Dr. Sidney Gilman
Case number: 12-cv-8466 (United States District Court for the Southern District of New York)
Case filed: November 20, 2012
Qualifying Judgment/Order: June 18, 2014
Notice No.:
2014-70
Action:
SEC v. Avanti Capital Partners, LLC, a Utah Limited Liability Company, Highland Residential, LLC, a Utah Limited Liability Company, and Ivan Wade Brown, an Individual
Case number: 12-cv-00788 (United States District Court for the District of Utah)
Case filed: August 13, 2012
Qualifying judgment/order: April 24, 2014
Notice No.:
2014-71
Action:
In the Matter of Paradigm Capital Management, Inc. and Candace King Weir
Administrative Proceeding File No: 3-15930
Case filed: June 16, 2014
Qualifying judgment/order: June 16, 2014
Notice No.:
2014-58
Action:
In the Matter of George B. Franz III and Ruby Corporation
Administrative Proceeding File No.: 3-15526
Case filed: April 30 2014
Qualifying judgment/order: April 30, 2014
Notice No.:
2014-60
Action:
In the Matter of Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle
Administrative Proceeding File No.: 3-15881
Case filed: May 1, 2014
Qualifying judgment/order: May 1, 2014
Notice No.:
2014-61
Action:
SEC v. Yuhe International, Inc. and Gao Zhentao
Case number: 13-cv-01598 (United States District Court for the District of Columbia)
Case filed: October 18, 2013
Qualifying judgment/order: May 22, 2014
Notice No.:
2014-62
Action:
SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker
Case number: 14-cv-02827 (United States District Court for the District of New Jersey)
Case filed: May 6, 2014
Qualifying judgment/order: May 12, 2014
Notice No.:
2014-63
Action:
SEC v. Richard Olive and Susan Olive
Case number: 13-cv-14047 (United States District Court for the Southern District of Florida)
Case filed: February 4, 2013
Qualifying judgment/order: May 23, 2014
Notice No.:
2014-64
Action:
SEC v. OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw
Case number: 13-cv-23486 (United States District Court for the Southern District of Florida)
Case filed: September 27, 2013
Qualifying judgment/order: May 29, 2014
Notice No.:
2014-65
Action:
SEC v. Herbert Richard Lawson, William B. Lawson, and John J. Cerullo
Case number: 14-cv-02157 (United States District Court for the Northern District of California)
Case filed: May 12, 2014
Qualifying judgment/order: May 23, 2014
Notice No.:
2014-66
Action:
SEC v. Behrooz Sarafraz
Case number: 14-cv-02252 (United States District Court for the Northern District of California)
Case filed: May 15, 2014
Qualifying judgment/order: May 27, 2014
Notice No.:
2014-67
Action:
SEC v. Alberto William Vilar, and Gary Alan Tanaka
Case number: 05-cv-05231
Case filed: June 2, 2005
Qualifying judgment/order: May 16, 2014
Notice No.:
2014-68
Action:
SEC v. Charles Vista, LLC
Case number: 14-cv-02643 (United States District Court for the Eastern District of New York)
Case filed: April 28, 2014
Qualifying judgment/order: May 29, 2014
Notice No.:
2014-69
Action:
SEC v. Anthony Vassallo, Kenneth Kenitzer and Equity Investment Management and Trading, Inc.
Case number: 09-cv-00665 (United States District Court for the Eastern District of California)
Case filed: March 11, 2009
Qualifying judgment/order: May 23, 2014
Notice No.:
2014-57
Action:
In the Matter of Liquidnet, Inc.
Administrative Proceeding File No.: 3-15912
Case filed: June 6, 2014
Qualifying judgment/order: June 6, 2014
Notice No.:
2014-48
Action:
SEC v. CVS Caremark Corp.
Case number: 14-cv-0177 (United States District Court for the District of Rhode Island)
Case filed: April 8, 2014
Qualifying Judgment/Order: April 8, 2014
Notice No.:
2014-49
Action:
SEC v. Seven Palm Investments, LLC, Peter P. Veugeler, Cardiovascular Sciences, Inc., and Lawrence H. Hooper, Jr.
Case number: 10-cv-02755 (United States District Court for the Northern District of Illinois)
Case filed: May 4, 2010
Qualifying Judgment/Order: April 21, 2014
Notice No.:
2014-50
Action:
In the Matter of Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin
Administrative Proceeding File No.: 3-15823
Case filed: April 4, 2014
Qualifying Judgment/Order: April 4, 2014
Notice No.:
2014-51
Action:
SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP, and TN-KY Development Fund III LP
Case number: 13-cv-00868 (United States District Court for the Middle District of Florida)
Case filed: April 5, 2013
Qualifying Judgment/Order: April 18, 2014
Notice No.:
2014-52
Action:
SEC v. Armand R. Franquelin and Martin A. Pool
Case number: 13-cv-00096 (United States District for the District of Utah)
Case filed: July 2, 2013
Qualifying Judgment/Order: April 18, 2014
Notice No.:
2014-53
Action:
SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker
Case number: 14-cv-02827 (United States District Court for the District of New Jersey)
Case filed: May 5, 2014
Qualifying Judgment/Order: May 12, 2014
Notice No.:
2014-54
Action:
SEC v. Steven B. Heinz and S.B. Heinz & Associates, Inc.
Case number: 13-cv-00753 (United States District Court for the District of Utah)
Case filed: August 8, 2013
Qualifying Judgment/Order: April 28, 2014
Notice No.:
2014-55
Action:
In the Matter of Hewlett-Packard Company
Administrative Proceeding File No.: 3-15832
Case filed: April 9, 2014
Qualifying Judgment/Order: April 9, 2014
Notice No.:
2014-56
Action:
In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C.
Administrative Proceeding File No.: 3-15860
Case filed: May 1, 2014
Qualifying Judgment/Order: May 1, 2014
Notice No.:
2014-35
Action:
SEC v. Onyx Capital Advisors, LLC, Roy Dixon, Jr., and Michael A. Farr
Case number: 10-cv-11633 (United States District Court for the Eastern District of Michigan)
Case filed: April 22, 2010
Qualifying Judgment/Order: January 31, 2014
Notice No.:
2014-36
Action:
In the Matter of Jefferies LLC (formerly known as Jefferies & Company, Inc.)
Administrative Proceeding File No.: 3-15785
Case filed: March 12, 2014
Qualifying Judgment/Order: March 12, 2014
Notice No.:
2014-38
Action:
SEC v. Joseph Hilton f/k/a Joseph Yurkin, Pacific Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castle Drilling Fund II LP, and New Horizon Publishing Inc.
Case number: 12-cv-81033 (United States District Court for the Southern District of Florida)
Case filed: September 24, 2012
Qualifying Judgment/Order: March 20, 2014
Notice No.:
2014-39
Action:
SEC v. Samuel E. Wyly, Charles J. Wyly, Jr., Michael C. French, and Louis J. Schaufele III
Case number: 10-cv-05760 (United States District Court for the Southern District of New York)
Case filed: July 29, 2010
Qualifying Judgment/Order: March 21, 2014
Notice No.:
2014-40
Action:
In the Matter of Howard Feder and BDL Manager LLC
Administrative Proceeding File No.: 3-15788
Case filed: March 13, 2014
Qualifying Judgment/Order: March 13, 2014
Notice No.:
2014-41
Action:
SEC v. Dawn Wright-Olivares and Daniel Olivares
Case number: 13-cv-00700 (United States District Court for the Western District of North Carolina)
Case filed: December 20, 2013
Qualifying Judgment/Order: February 28, 2014
Notice No.:
2014-42
Action:
In the Matter of Lions Gate Entertainment Corp.
Administrative Proceeding File No.: 3-15791
Case filed: March 13, 2014
Qualifying Judgment/Order: March 13, 2014
Notice No.:
2014-43
Action:
SEC v. Certain Unknown Traders in the Securities of H.J. Heinz Company
Case number: 13-cv-1080 (United States District Court for the Southern District of New York)
Case filed: February 25, 2013
Qualifying Judgment/Order: April 2, 2014
Notice No.:
2014-44
Action:
SEC v. Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez
Case number: 11-cv-1778 (United States District Court for the Southern District of New York)
Case filed: March 15, 2011
Qualifying Judgment/Order: March 31, 2014
Notice No.:
2014-45
Action:
SEC v. John Kinnucan and Broadband Research Corporation
Case number: 12-cv-1230 (United States District Court for the Southern District of New York)
Case filed: February 17, 2012
Qualifying Judgment/Order: April 1, 2014
Notice No.:
2014-46
Action:
In the Matter of Worldwide Capital, Inc. and Jeffrey W. Lynn
Administrative Proceeding File No.: 3-15772
Case filed: March 5, 2014
Qualifying Judgment/Order: March 5, 2014
Notice No.:
2014-23
Action:
SEC v. Jerry S. Williams, Monk’s Den, LLC, and First in Awareness, LLC
Case number: 12-cv-01068 (United States District Court for the District of Connecticut)
Case filed: July 20, 2012
Qualifying judgment/order: February 18, 2014
Notice No.:
2014-24
Action:
SEC v. John J. Bravata, Richard J. Trabulsy, Antonio M. Bravata, BBC Equities, LLC, and Bravata Financial Group, LLC
Case number: 09-cv-12950 (United States District Court for the Eastern District of Michigan)
Case filed: July 26, 2009
Qualifying judgment/order: March 6, 2014
Notice No.:
2014-25
Action:
SEC v. Jeremy S. Fisher, The Good Life Financial Group, Inc., and The Good Life Global Enterprises, LLC
Case number: 13-cv-00683 (United States District Court for the Western District of Wisconsin)
Case filed: September 30, 2013
Qualifying judgment/order: October 16, 2013
Notice No.:
2014-26
Action:
SEC v. Recycle Tech, Inc., Keven Sepe, Ronny J. Halperin, Ryan Gonzalez, OTC Solutions LLC, Anthony Thompson, Pudong LLC, Jay Fung and David Rees
Case number: 12-cv-21656 (United States District Court for the Southern District of Florida)
Case filed: May 2, 2012
Qualifying judgment/order: February 14, 2014
Notice No.:
2014-27
Action:
SEC v. Delsa U. Thomas; The D. Christopher Capital Management Group, LLC; and The Solomon Fund, LP
Case number: 13-cv-00739 (United States District Court for the Northern District of Texas)
Case filed: February 15, 2013
Qualifying judgment/order: March 4, 2014
Notice No.:
2014-29
Action:
SEC v. China Intelligent Lighting and Electronics, Inc., NIVS Intellimedia Technology Group, Inc., Tianfu Li, and Xuemei Li
Case number: 13-cv-05079 (United States District Court for the Southern District of New York)
Case filed: July 22, 2013
Qualifying judgment/order: March 10, 2014
Notice No.:
2014-32
Action:
SEC v. George Garcy a/k/a Jorge Garcia, and Angelo Cuomo
Case number: 11-cv-02282 (United States District Court for the Eastern District of New York)
Case filed: May 11, 2011
Qualifying judgment/order: February 7, 2014
Notice No.:
2014-34
Action:
In the Matter of Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr.
Administrative Proceeding File No.: 3-13871
Case filed: February 27, 2014
Qualifying judgment/order: February 27, 2014
Notice No.:
2014-30
Action:
SEC v. Secure Capital Funding Corporation, Bertram Augustus Hill, PP&M Trade Partners, and Kiavanni Pringle
Case number: 11-cv-00916 (United States District Court for the District of New Jersey)
Case filed: February 18, 2011
Qualifying judgment/order: March 10, 2014
Notice No.:
2014-31
Action:
SEC v. Dean P. Gross and Gregory W. Laser
Case number: 09-cv-09144 (United States District Court for the Central District of California)
Case filed: December 14, 2009
Qualifying judgment/order: February 12, 2014
Notice No.:
2014-33
Action:
SEC v. Henry Morris, David J. Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC
Case number: 09-cv-02518 (United States District Court for the Southern District of New York)
Case filed: March 19, 2009
Qualifying judgment/order: March 3, 2014
Notice No.:
2014-22
Action:
SEC v. Burton Douglas Morriss, Acartha Group, LLC, MIC VII, LLC, Acartha Technology Partners, LP, and Gryphon Investments III, LLC
Case number: 12-cv-00080 (United States District Court for the Eastern District of Missouri)
Case filed: January 17, 2012
Qualifying Judgment/Order: February 26, 2014
Notice No.:
2014-9
Action:
In the Matter of Credit Suisse Group AG
Administrative Proceeding File No.: 3-15763
Case filed: February 21, 2014
Qualifying Judgment/Order: February 21, 2014
Notice No.:
2014-10
Action:
In the Matter of KPMG LLP
Administrative Proceeding File No.: 3-15687
Case filed: January 24, 2014
Qualifying Judgment/Order: January 24, 2014
Notice No.:
2014-11
Action:
In the Matter of Alcoa Inc.
Administrative Proceeding File No.: 3-15673
Case filed: January 9, 2014
Qualifying Judgment/Order: January 9, 2014
Notice No.:
2014-12
Action:
In the Matter of Western Asset Management Company
Administrative Proceeding File No.: 3-15689
Case filed: January 27, 2014
Qualifying Judgment/Order: January 27, 2014
Notice No.:
2014-13
Action:
In the Matter of Scottrade, Inc.
Administrative Proceeding File No.: 3-15702
Case filed: January 29, 2014
Qualifying Judgment/Order: January 29, 2014
Notice No.:
2014-14
Action:
SEC v. Joseph Paul Zada and Zada Enterprises, LLC
Case number: 10-cv-14498 (United States District Court for the Eastern District of Michigan)
Case filed: November 10, 2010
Qualifying Judgment/Order: January 31, 2014
Notice No.:
2014-15
Action:
SEC v. Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel, and Bernd Regendantz
Case number: 11-cv-09073 (United States District Court for the Southern District of New York)
Case filed: December 13, 2011
Qualifying Judgment/Order: February 4, 2014
Notice No.:
2014-16
Action:
SEC v. Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC, and E-Info Solutions LLC
Case number: 11-cv-01466 (United States District Court for the Central District of California)
Case filed: September 22, 2011
Qualifying Judgment/Order: January 22, 2014
Notice No.:
2014-17
Action:
SEC v. Mark A. Lefkowitz, Compass Capital Group, Inc., Mark A. Lopez, Unico, Inc., Steven R. Peacock, Shane H. Traveller, and Advanced Cell Technology, Inc.
Case number: 12-cv-01210 (United States District Court for the Middle District of Florida)
Case filed: May 30, 2012
Qualifying Judgment/Order: December 30, 2013
Notice No.:
2014-18
Action:
SEC v. Archer-Daniels-Midland Company
Case number: 13-cv-02279 (United States District Court for the Central District of Illinois)
Case filed: December 20, 2013
Qualifying Judgment/Order: January 21, 2014
Notice No.:
2014-19
Action:
SEC v. Kareem Serageldin, David Higgs, Faisal Siddiqui and Salmaan Siddiqui
Case number: 12-cv-00796 (United States District Court for the Southern District of New York)
Case filed: February 1, 2012
Qualifying Judgment/Order: January 21, 2014
Notice No.:
2014-20
Action:
SEC v. David Blech and Margaret Chassman
Case number: 12-cv-03703 (United States District Court for the Southern District of New York)
Case filed: May 9, 2012
Qualifying Judgment/Order: August 22, 2013
Notice No.:
2014-21
Action:
SEC v. Diamond Foods, Inc.
Case number: 14-cv-00123 (United States District Court for the Northern District of California)
Case filed: January 9, 2014
Qualifying Judgment/Order: January 21, 2014
Notice No.:
2014-1
Action:
In the Matter of GLG Partners, Inc. and GLG Partners, L.P.
Administrative Proceeding File No.: 3-15641
Case filed: December 12, 2013
Qualifying Judgment/Order: December 12, 2013
Notice No.:
2014-2
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc.
Administrative Proceeding File No.: 3-15642
Case filed: December 12, 2013
Qualifying Judgment/Order: December 12, 2013
Notice No.:
2014-3
Action:
SEC v. Weatherford International Ltd.
Case number: 13-cv-03500 (United States District Court for the Southern District of Texas)
Case filed: November 26, 2013
Qualifying Judgment/Order: December 19, 2013
Notice No.:
2014-4
Action:
SEC v. Waldyr Da Silva Prado Neto
Case number: 12-cv-7094 (United States District Court for the Southern District of New York)
Case filed: September 21, 2012
Qualifying Judgment/Order: January 7, 2014
Notice No.:
2014-5
Action:
SEC v. Lawrence J. Robbins
Case number: 13-cv-06694 (United States District Court for the Southern District of New York)
Case filed: September 23, 2013
Qualifying Judgment/Order: November 27, 2013
Notice No.:
2014-6
Action:
SEC v. William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation
Case number: 11-cv-0404 (United States District Court for the Southern District of New York)
Case filed: January 20, 2011
Qualifying Judgment/Order: December 17, 2013
Notice No.:
2014-7
Action:
In the Matter of Daniel Bogar, Bernerd E. Young, and Jason T. Green
Administrative Proceeding File No.: 3-15003
Case filed: August 31, 2012
Qualifying Judgment/Order: December 18, 2013
Notice No.:
2014-8
Action:
SEC v. Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry A. Condron
Case number: 12-cv-07488 (United States District Court for the Southern District of New York)
Case filed: October 5, 2012
Qualifying Judgment/Order: January 13, 2014
Notice No.:
2013-115
Action:
SEC v. Robert L. Duncan
Case number: 10-cv-03051 (United States District Court for the Northern District of Georgia)
Case filed: September 23, 2010
Qualifying judgment/order: December 3, 2013
Notice No.:
2013-117
Action:
SEC v. Steven Palladino and Viking Financial Group, Inc.
Case number: 13-cv-11024 (United States District Court for the District of Massachusetts)
Case filed: April 30, 2013
Qualifying judgment/order: November 18, 2013
Notice No.:
2013-118
Action:
SEC v. Imperiali, Inc., Daniel Imperato, Charles Fiscina, and Lawrence A. O’Donnell
Case number: 12-cv-80021 (United States District Court for the Southern District of Florida)
Case filed: January 9, 2012
Qualifying judgment/order: November 8, 2013
Notice No.:
2013-119
Action:
SEC v. Senen Pousa and Investment Intelligence Corporation PTY LLC
Case number: 12-cv-00863 (United States District Court for the Western District of Texas)
Case filed: September 18, 2012
Qualifying judgment/order: December 4, 2013
Notice No.:
2013-120
Action:
SEC v. Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc., and Kaleidoscope Real Estate, Inc.
Case number: 12-cv-04257 (United States District Court for the Central District of California)
Case filed: May 16, 2012
Qualifying judgment/order: November 1, 2013
Notice No.:
2013-121
Action:
SEC v. The NIR Group, LLC; Corey Ribotsky; and Daryl Dworkin
Case number: 11-cv-04723 (United States District Court for the Eastern District of New York)
Case filed: September 28, 2011
Qualifying judgment/order: November 13, 2013
Notice No.:
2013-116
Action:
SEC v. RBS Securities Inc.
Case number: 13-cv-01643 (United States District Court for the District of Connecticut)
Case filed: November 7, 2013
Qualifying judgment/order: November 25, 2013
Notice No.:
2013-112
Action:
In the Matter of Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation
Administrative Proceeding File No.: 3-15621
Case filed: November 25, 2013
Qualifying judgment/order: November 25, 2013
Notice No.:
2013-113
Action:
In the Matter of Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
Administrative Proceeding File No.: 3-15211
Case filed: November 20, 2013
Qualifying judgment/order: November 20, 2013
Notice No.:
2013-111
Action:
In the Matter of Fifth Third Bancorp and Daniel Poston
Administrative Proceeding File No.: 3-15635
Case filed: December 4, 2013
Qualifying Judgment/Order: December 4, 2013
Notice No.:
2013-102
Action:
In the Matter of Manarin Investment Counsel, Ltd., Manarin Securities Corp., and Roland R. Manarin
Administrative Proceeding File No.: 3-15549
Case filed:October 2, 2013
Qualifying Judgment/Order: October 2, 2013
Notice No.:
2013-103
Action:
In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern
Administrative Proceeding File No.: 3-14853
Case filed: April 19, 2012
Qualifying judgment/order: October 22, 2013
Notice No.:
2013-104
Action:
In the Matter of Stryker Corporation
Administrative Proceeding File No.: 3-15587
Case filed: October 24, 2013
Qualifying judgment/order: October 24, 2013
Notice No.:
2013-105
Action:
SEC v. China MediaExpress Holdings, Inc., and Zheng Cheng
Case number: 13-cv-00927 (United States District Court for the District of Columbia)
Case filed: June 20, 2013
Qualifying judgment/order: October 3, 2013
Notice No.:
2013-106
Action:
SEC v. Small Business Capital Corp., Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC.
Case number: 12-cv-03237 (United States District Court for the Northern District of California)
Case filed: June 21, 2012
Qualifying judgment/order: November 6, 2013
Notice No.:
2013-107
Action:
SEC v. Edward T. Stein
Case number: 09-cv-03125 (United States District Court for the Southern District of New York)
Case filed: April 1, 2009
Qualifying judgment/order: November 6, 2013
Notice No.:
2013-108
Action:
SEC v. Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation
Case number: 12-cv-08987 (United States District Court for the Southern District of New York)
Case filed: December 11, 2012
Qualifying judgment/order: October 15, 2013
Notice No.:
2013-109
Action:
SEC v. Berton M. Hochfeld and Hochfeld Capital Management, L.L.C.
Case number: 12-cv-08202 (United States District Court for the Southern District of New York)
Case filed: November 9, 2012
Qualifying judgment/order: October 2, 2013
Notice No.:
2013-110
Action:
SEC v. Diebold, Inc.
Case number: 13-cv-01609 (United States District Court for the District of Columbia)
Case filed: October 22, 2013
Qualifying judgment/order: November 5, 2013
Notice No.:
2013-85
Action:
In the Matter of Deerfield Management Company, L.P.
Administrative Proceeding File No.: 3-15477
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
Notice No.:
2013-86
Action:
SEC v. Envision Direct L.L.C. and Gary R. Headding
Case number: 10-cv-00241 (United States District Court for the Central District of California)
Case filed: March 1, 2010
Qualifying Judgment/Order: June 4, 2013
Notice No.:
2013-87
Action:
SEC v. GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum
Case number: 12-cv-07927 (United States District Court for the Northern District of Illinois)
Case filed: October 3, 2012
Qualifying Judgment/Order: July 30, 2013
Notice No.:
2013-88
Action:
In the Matter of Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC
Administrative Proceeding File No.: 3-15024
Case filed: May 3, 2013
Qualifying Judgment/Order: September 17, 2013
Notice No.:
2013-89
Action:
SEC v. Harbinger Capital Partners LLC; Philip A. Falcone; and Peter A. Jenson
Case number: 12-cv-05028 (United States District Court for the Southern District of New York)
Case filed: June 27, 2012
Qualifying Judgment/Order: September 16, 2013
Notice No.:
2013-90
Action:
SEC v Yusaf Jawed, Grifphon Asset Management LLC, Grifphon Holdings, LLC, and Robert P. Custis
Case number: 12-cv-01696 (United States District Court for the District of Oregon)
Case filed: September 20, 2012
Qualifying Judgment/Order: September 11, 2013
Notice No.:
2013-91
Action:
In the Matter of JGP Global Gestão de Recursos Ltda.
Administrative Proceeding File No.: 3-15479
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
Notice No.:
2013-92
Action:
In the Matter of JPMorganChase & Co.
Administrative Proceeding File No.: 3-15507
Case filed: September 19, 2013
Qualifying Judgment/Order: September 19, 2013
Notice No.:
2013-93
Action:
In the Matter of Knight Capital Americas LLC
Administrative Proceeding File No.: 3-15570
Case filed: October 16, 2013
Qualifying Judgment/Order: October 16, 2013
Notice No.:
2013-94
Action:
SEC v. Marcin Malarz, Jacek Sienkiewicz, and Arthur Lin
Case number: 11-cv-08803 (United States District Court for the Northern District of Illinois)
Case filed: December 12, 2011
Qualifying Judgment/Order: September 24, 2013
Notice No.:
2013-95
Action:
In the Matter of Manikay Partners LLC
Administrative Proceeding File No.: 3-15488
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
Notice No.:
2013-97
Action:
SEC v. Brian G. Elrod and Nova Dean Pack
Case number: 13-cv-02449 (United States District Court for the District of Colorado)
Case filed: September 9, 2013
Qualifying Judgment/Order: September 24, 2013
Notice No.:
2013-98
Action:
SEC v. Petro-Suisse LTD. and Mark Gasarch
Case number: 12-cv-06221 (United States District Court for the Southern District of New York)
Case filed: August 14, 2012
Qualifying Judgment/Order: September 25, 2013
Notice No.:
2013-99
Action:
In the Matter of Shadron L. Stastney
Administrative Proceeding File No.: 3-15500
Case filed: September 18, 2013
Qualifying Judgment/Order: September 18, 2013
Notice No.:
2013-100
Action:
In the Matter of TD Bank, N.A.
Administrative Proceeding File No.: 3-15512
Case filed: September 23, 2013
Qualifying Judgment/Order: September 23, 2013
Notice No.:
2013-101
Action:
SEC v. Edmund E. Wilson and Walter L. Ross
Case number: 13-cv-00188 (United States District Court for the District of Utah)
Case filed: March 14, 2013
Qualifying Judgment/Order: September 6, 2013
Notice No.:
2013-80
Action:
SEC v. Firas A. Hamdan, individually and doing business as FAH Capital Partners
Case number: 13-cv-00215 (United States District Court for the Southern District of Texas)
Case filed: January 29, 2013
Qualifying Judgment/Order: August 20, 2013
Notice No.:
2013-77
Action:
SEC v. Richard DeMaria
Case number: 12-cv-04145 (United States District Court for the Northern District of Illinois)
Case filed: May 29, 2012
Qualifying Judgment/Order: September 6, 2013
Notice No.:
2013-78
Action:
SEC v. David B. Welliver and Dblaine Capital, LLC
Case number: 11-cv-03076 (United States District Court for the District of Minnesota)
Case filed: October 18, 2011
Qualifying Judgment/Order: August 13, 2013
Notice No.:
2013-79
Action:
SEC v. Badin Rungruangnavarat
Case number: 13-cv-04172 (United States District Court for the Northern District of Illinois)
Case filed: June 5, 2013
Qualifying Judgment/Order: September 6, 2013
Notice No.:
2013-81
Action:
SEC v. Scott London and Bryan Shaw
Case number: 13-cv-02558 (United States District Court for the Central District of California)
Case filed: April 11, 2013
Qualifying Judgment/Order: August 8, 2013
Notice No.:
2013-84
Action:
SEC v. Phillip J. DeZwirek
Case number: 13-cv-06135 (United States District Court for the Southern District of New York)
Case filed: August 30, 2013
Qualifying Judgment/Order: September 10, 2013
Notice No.:
2013-65
Action:
SEC v. Geoffrey J. Eiten and National Financial Communications, Corp.
Case number: 11-cv-12185 (United States District Court for the District of Massachusetts)
Case filed: December 12, 2011
Qualifying judgment/order: July 24, 2013
Notice No.:
2013-66
Action:
SEC v. Ryan M. Reynolds, Jason Wynn, Carlton Fleming, Beverage Creations, Inc., Bellatalia, LP, Wynn Industries, LLC, and Thomas Wade Investments, LLC
Case number: 08-cv-00438 (United States District Court for the Northern District of Texas)
Case filed: March 13, 2008
Qualifying judgment/order: July 11, 2013
Notice No.:
2013-67
Action:
In the Matter of ABN AMRO Bank, N.V.
Administrative Proceeding File No.: 3-15401
Case filed: July 31, 2013
Qualifying judgment/order: July 31, 2013
Notice No.:
2013-68
Action:
SEC v. International Business Machines Corporation
Case number: 11-cv-00563 (United States District for the District of Columbia)
Case filed: March 18, 2011
Qualifying judgment/order: July 25, 2013
Notice No.:
2013-69
Action:
SEC v. Fuqi International, Inc. and Yu Kwai Chong
Case number: 13-cv-00995 (United States District Court for the District of Columbia)
Case filed: July 1, 2013
Qualifying judgment/order: August 7, 2013
Notice No.:
2013-70
Action:
SEC v. Keyuan Petrochemicals, Inc. and Aichun Li
Case number: 13-cv-00263 (United States District Court for the District of Columbia)
Case filed: February 28, 2013
Qualifying judgment/order: July 2, 2013
Notice No.:
2013-72
Action:
SEC v. Mack D. Murrell, David Teekell, and Charles W. Adams
Case number: 13-cv-12856 (United States District Court for the Eastern District of Michigan)
Case filed: July 1, 2013
Qualifying judgment/order: July 19, 201
Notice No.:
2013-74
Action:
SEC v. Igors Nagaicevs
Case number: 12-cv-00413 (United States District Court for the Northern District of California)
Case filed: January 26, 2012
Qualifying judgment/order: July 18, 2013
Notice No.:
2013-75
Action:
In the Matter of A.R. Schmeidler & Co., Inc.
Administrative Proceeding File No.: 3-15399
Case filed: July 31, 2013
Qualifying judgment/order: July 31, 2013
Notice No.:
2013-76
Action:
SEC v. Art Intellect, Inc., a Utah Corporation, d/b/a Mason Hill and Virtual MG, Patrick Merrill Brody, Laura A. Roser, and Gregory D. Wood
Case number: 11-cv-00357 (United States District Court for the District of Utah)
Case filed: April 18, 2011
Qualifying judgment/order: July 6, 2012
Notice No.:
2013-64
Action:
In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-15407
Case filed: August 6, 2013
Qualifying judgment/order: August 6, 2013
Notice No.:
2013-57
Action:
SEC v. MayfieldGentry Realty Advisors, LLC, Chauncey C. Mayfield, Blair D. Ackman, Marsha Bass, W. Emery Matthews, and Alicia M. Diaz
Case number: 13-cv-12520 (United States District Court for the Eastern District of Michigan)
Case filed: June 10, 2013
Qualifying judgment/order: June 26, 2013
Notice No.:
2013-58
Action:
SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc.
Case number: 12-cv-01681 (United States District Court for the District of Puerto Rico)
Case filed: August 21, 2012
Qualifying judgment/order: April 12, 2013
Notice No.:
2013-59
Action:
SEC v. Tyco International LTD
Case number: 12-cv-01583 (United States District Court for the District of Columbia)
Case filed: September 24, 2012
Qualifying judgment/order: June 17, 2013
Notice No.:
2013-60
Action:
SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley
Case number: 12-cv-00060 (United States District Court for the Northern District of Indiana)
Case filed: January 30, 2012
Qualifying judgment/order: June 27, 2013
Notice No.:
2013-61
Action:
In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
Administrative Proceeding File No.: 3-15353
Case filed: June 11, 2013
Qualifying judgment/order: June 11, 2013
Notice No.:
2013-62
Action:
SEC v. Victor Dosti and Whittier Trust Company
Case number: 13-cv-03897 (United States District Court for the Southern District of New York)
Case filed: June 7, 2013
Qualifying judgment/order: June 12, 2013
Notice No.:
2013-63
Action:
SEC v. William Graulich, IV and iVest International Holdings, Inc.
Case number: 09-cv-04355 (United States District Court for the District of New Jersey)
Case filed: August 26, 2009
Qualifying judgment/order: June 19, 2013
Notice No.:
2013-52
Action:
SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens
Case number: 07-cv-04483 (United States District Court for the Northern District of Illinois)
Case filed:August 9, 2007
Qualifying Judgment/Order: May 29, 2013
Notice No.:
2013-53
Action:
In the Matter of UBS O’Connor, LLC
Administrative Proceeding File No.: 3-15347
Case filed: June 13, 2013
Qualifying Judgment/Order: June 13, 2013
Notice No.:
2013-54
Action:
SEC v. Joel I. Wilson, Diversified Group Partnership Management, LLC, and American Realty Funds Corporation
Case number: 12-cv-15062 (United States District Court for the Eastern District of Michigan)
Case filed: November 15, 2012
Qualifying Judgment/Order: June 10, 2013
Notice No.:
2013-55
Action:
SEC v. RINO International Corporation, Dejun “David” Zou, and Jianping “Amy” Qiu
Case number: 13-cv-00711 (United States District Court for the District of Columbia)
Case filed: May 15, 2013
Qualifying Judgment/Order: May 31, 2013
Notice No.:
2013-56
Action:
In the Matter of Total, S.A.
Administrative Proceeding File No.: 3-15338
Case filed: May 29, 2013
Qualifying Judgment/Order: May 29, 2013
Notice No.:
2013-40
Action:
SEC v. Frank Bluestein
Case number: 09-cv-13809 (United States District Court for the Eastern District of Michigan)
Case filed: September 28, 2009
Qualifying Judgment/Order: April 24, 2013
Notice No.:
2013-42
Action:
SEC v. Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC and Brewer Investment Advisors, LLC
Case number: 10-cv-06932 (United States District Court for the Northern District of Illinois)
Case filed: October 28, 2010
Qualifying Judgment/Order: March 29, 2013
Notice No.:
2013-43
Action:
SEC v. Stanford International Bank, Ltd., Stanford Group Company, Stanford Capital Management, LLC, R. Allen Stanford, James M. Davis, and Laura Pendergest-Holt
Case number: 09-cv-00298 (United States District Court for the Northern District of Texas)
Case filed: February 17, 2009
Qualifying Judgment/Order: April 25, 2013
Notice No.:
2013-44
Action:
SEC v. Parker Drilling Company
Case number: 13-cv-00461 (United States District Court for the Eastern District of Virginia)
Case filed: April 16, 2013
Qualifying Judgment/Order: April 23, 2013
Notice No.:
2013-45
Action:
SEC v. Richard Verdiramo, Vincent L. Verdiramo, Esq., Edward Meyer, Jr., and Victoria Chen
Case number: 10-cv-01888 (United States District Court for the Southern District of New York)
Case filed: March 10, 2010
Qualifying Judgment/Order: April 29, 2013
Notice No.:
2013-46
Action:
In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. Lagassa
Administrative Proceeding File No.: 3-15299
Case filed: April 24, 2013
Qualifying Judgment/Order: April 24, 2013
Notice No.:
2013-47
Action:
SEC v. Grant Ivan Grieve; Finvest Asset Management, LLC; and Finvest Fund Management, LLC
Case number: 09-cv-01198 (United States District Court for the Southern District of New York)
Case filed: February 10, 2009
Qualifying Judgment/Order: April 29, 2013
Notice No.:
2013-48
Action:
SEC v. Matthew John Ryan and Prime Rate And Return, LLC, individually and doing business as American Integrity Financial Co.
Case number: 10-cv-00513 (United States District Court for the Northern District of New York)
Case filed: May 3, 2010
Qualifying Judgment/Order: April 2, 2013
Notice No.:
2013-49
Action:
SEC v. Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd.
Case number: 09-cv-01177 (United States District Court for the Northern District of California)
Case filed: March 18, 2009
Qualifying Judgment/Order: April 26, 2013
Notice No.:
2013-50
Action:
SEC v. Jorge Gomez and Roberto Aleph Espinosa
Case number: 12-cv-21962 (United States District Court for the Southern District of Florida)
Case filed: May 25, 2012
Qualifying Judgment/Order: June 12, 2012
Notice No.:
2013-51
Action:
In the Matter of Koninklijke Philips Electronics N.V.
Administrative Proceeding File No.: 3-15265
Case filed: April 5, 2013
Qualifying Judgment/Order: April 5, 2013
Notice No.:
2013-39
Action:
SEC v. A Chicago Convention Center, LLC, Anshoo R. Sethi, and Intercontinental Regional Center Trust of Chicago, LLC
Case number: 13-cv-00982 (United States District Court for the Northern District of Illinois)
Case filed: February 6, 2013
Qualifying Judgment/Order: April 19, 2013
Notice No.:
2013-36
Action:
In the Matter of Banco Comercial Português, S.A.
Administrative Proceeding File No.: 3-15248
Case filed: March 18, 2013
Qualifying Judgment/Order: March 18, 2013
Notice No.:
2013-26
Action:
SEC v. Chetan Kapur and Lilaboc, LLC, d/b/a ThinkStrategy Capital Management, LLC.
Case number: 11-cv-08094 (United States District Court for the Southern District of New York)
Case filed: November 10, 2011
Qualifying Judgment/Order: November 29, 2012
Notice No.:
2013-28
Action:
SEC v. EFS, LLC, Freedom Fidelity, LLC, James N. Pratt, SP&V, LLC, and Timothy V. Coffin
Case number: 06-cv-0793 (United States District Court for the Northern District of Texas)
Case filed: May 3, 2006
Qualifying Judgment/Order: October 17, 2012
Notice No.:
2013-29
Action:
SEC v. Oversea Chinese Fund Limited Partnership, Weizhen Tang & Associates, Inc., Weizhen Tang Corp., Winwin Capital Management, LLC, Winwin Capital Limited Partnership, J.O.R. & Associates, LLC, and Weizhen Tang
Case number: 09-cv-0614 (United States District Court for the Northern District of Texas)
Case filed: April 3, 2009
Qualifying Judgment/Order: October 1, 2012
Notice No.:
2013-30
Action:
SEC v. M. Mark McAdams and R. Dane Freeman
Case number: 10-cv-00701 (United States District Court for the District of South Carolina)
Case filed: March 18, 2010
Qualifying Judgment/Order: March 1, 2013
Notice No.:
2013-31
Action:
SEC v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert C. Rice, and Robert S. Anderson
Case number: 11-cv-11649 (United States District Court for the District of Massachusetts)
Case filed: September 19, 2011
Qualifying Judgment/Order: March 13, 2013
Notice No.:
2013-32
Action:
SEC v. Bridge Premium Finance, LLC (f/k/a Berjac of Colorado, LLC), Michael J. Turnock, and William P. Sullivan, II
Case number: 12-cv-2131 (United States District Court for the District of Colorado)
Case filed: August 14, 2012
Qualifying Judgment/Order: March 11, 2013
Notice No.:
2013-33
Action:
SEC v. Derek A. Nelson, Capital Mountain Holding Corp., Systems XXI, Act I, LLC, and Systems XXI, Act II, LLC
Case number: 09-cv-02222 (United States District Court of the Northern District of Texas)
Case filed: November 20, 2009
Qualifying Judgment/Order: March 6, 2013
Notice No.:
2013-34
Action:
SEC v. City Capital Corporation, Ephren W. Taylor, II, and Wendy Jean Connor
Case number: 12-cv-1249 (United States District Court for the Northern District of Georgia)
Case filed: April 12, 2012
Qualifying Judgment/Order: March 7, 2013
Notice No.:
2013-35
Action:
SEC v. Verde Retirement LLC, a California limited liability company, Verde FX Nevada, LLC, a California limited liability company, Covenant Capital Partners, a California corporation, and Steven L. Hamilton
Case number: 12-cv-0445 (United States District Court for the Southern District of California)
Case filed: February 21, 2012
Qualifying Judgment/Order: March 28, 2013
Notice No.:
2013-37
Action:
SEC v. 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis
Case number: 12-cv-01289 (United States District Court for the District of Oregon)
Case filed: July 17, 2012
Qualifying Judgment/Order: March 19, 2013
Notice No.:
2013-38
Action:
SEC v. Big Apple Consulting USA, Inc., MJMM Investments, LLC, Marc Jablon, Matthew Maguire, Mark C. Kaley, and Keith Jablon
Case number: 09-cv-01963 (United States District Court for the Middle District of Florida)
Case filed: November 18, 2009
Qualifying Judgment/Order: March 29, 2013
Notice No.:
2013-16
Action:
SEC v. Howard Brett Berger
Case number: 12-cv-04728 (United States District Court for the Eastern District of New York)
Case filed: September 21, 2012
Qualifying Judgment/Order: January 22, 2013
Notice No.:
2013-17
Action:
In the Matter of Focus Point Solutions, Inc., The H Group, Inc., and Christopher Keil Hicks
Administrative Proceeding File No.: 3-15011
Case filed: September 6, 2012
Qualifying Judgment/Order: September 6, 2012
Notice No.:
2013-18
Action:
SEC v. Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC and Richard H. Nickles
Case number: 10-cv-00423 (United States District Court for the Central District of California)
Case filed: April 7, 2010
Qualifying Judgment/Order: September 24, 2012
Notice No.:
2013-19
Action:
SEC v. Gilbert G. Lundstrom, James A. Laphen, and Trevor A. Lundstrom
Case number: 12-cv-00343 (United States District Court for the District of Nebraska)
Case filed: September 25, 2012
Qualifying Judgment/Order: September 27, 2012
Notice No.:
2013-20
Action:
SEC v. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc.
Case number: 10-cv-01720 (United States District Court for the Southern District of New York)
Case filed: March 4, 2010
Qualifying Judgment/Order: February 13, 2013
Notice No.:
2013-21
Action:
In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC
Administrative Proceeding File No.: 3-15238
Case filed: March 11, 2013
Qualifying Judgment/Order: March 11, 2013
Notice No.:
2013-22
Action:
SEC v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed Executrix
Case number: 08-cv-01112 (United States District Court for the Middle District of Tennessee)
Case filed: November 18, 2008
Qualifying Judgment/Order: February 26, 2013
Notice No.:
2013-23
Action:
SEC v. Peter Siris, Guerrilla Capital Management, LLC, and Hua Mei 21st Century, LLC
Case number: 12-cv-05810 (United States District Court for the Southern District of New York)
Case filed: July 30, 2012
Qualifying Judgment/Order: September 18, 2012
Notice No.:
2013-24
Action:
SEC v. Sky Way Global LLC (A/K/A Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S. Kent, Kenneth Bruce Baker (A/K/A Bruce Baker), and Kenneth R. Kramer
Case number: 09-cv-00455 (United States District Court for the Middle District of Florida)
Case filed: March 13, 2009
Qualifying Judgment/Order: February 22, 2013
Notice No.:
2013-25
Action:
SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC.
Case number: 10-cv-00263 (United States District Court for the District of New Mexico)
Case filed: March 23, 2010
Qualifying Judgment/Order: February 14, 2013
Notice No.:
2013-11
Action:
SEC v. Gary J. Martel, D/B/A Martel Financial Group, and MFG Funding
Case number: 12-cv-11095 (United States District Court for the District of Massachusetts)
Case filed: June 19, 2012
Qualifying judgment/order: January 7, 2013
Notice No.:
2013-12
Action:
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I
Case number: 12-cv-01862 (United States District Court for the District of Columbia)
Case filed: November 16, 2012
Qualifying judgment/order: January 8, 2013
Notice No.:
2013-13
Action:
SEC v. Igor Poteroba, Aleksey Koval and Alexander Vorobiev
Case number: 10-cv-02667 (United States District Court for the Southern District of New York)
Case filed: March 24, 2010
Qualifying judgment/order: January 15, 2013
Notice No.:
2013-14
Action:
SEC v. Eli Lilly and Company
Case number: 12-cv-02045 (United States District Court for the District of Columbia)
Case filed: December 20, 2012
Qualifying judgment/order: January 2, 2013
Notice No.:
2013-15
Action:
SEC v. David E. Ruskjer
Case number: 09-cv-00237 (United States District Court for the District of Hawaii)
Case filed: May 27, 2009
Qualifying judgment/order: January 2, 2013
Notice No.:
2013-1
Action:
SEC v. I. Joseph Massoud
Case number: 12-cv-01691 (United States District Court for the District of Connecticut)
Case filed: November 30, 2012
Qualifying judgment/order: December 10, 2012
Notice No.:
2013-2
Action:
In the Matter of Aladdin Capital Management LLC and Aladdin Capital LLC
Administrative Proceeding File No.: 3-15134
Case filed: December 17, 2012
Qualifying judgment/order: December 17, 2012
Notice No.:
2013-3
Action:
SEC v. EagleEye Asset Management, LLC and Jeffrey A. Liskov
Case number: 11-cv-11576 (United States District Court for the District of Massachusetts)
Case filed: September 8, 2011
Qualifying judgment/order: December 12, 2012
Notice No.:
2013-4
Action:
In the Matter of Fiduciary Asset Management, LLC
Administrative Proceeding File No.: 3-15140
Case filed: December 19, 2012
Qualifying judgment/order: December 19, 2012
Notice No.:
2013-5
Action:
SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDYLC Holdings Trust
Case number: 11-cv-00315 (United States District Court for the Central District of California)
Case filed: February 24, 2011
Qualifying judgment/order: December 18, 2012
Notice No.:
2013-6
Action:
In the Matter of Allianz SE
Administrative Proceeding File No.: 3-15132
Case filed: December 17, 2012
Qualifying judgment/order: December 17, 2012
Notice No.:
2013-7
Action:
SEC v. Igor Cornelsen and Bainbridge Group Inc.
Case number: 12-cv-08712 (United States District Court for the Southern District of New York)
Case filed: November 30, 2012
Qualifying judgment/order: December 11, 2012
Notice No.:
2013-8
Action:
SEC v. Tiger Asia Management, LLC, Tiger Asia Partners, LLC, Sung Kook (a/k/a Bill) Hwang, and Raymond Y.H. Park
Case number: 12-cv-07601 (United States District Court for the District of New Jersey)
Case filed: December 14, 2012
Qualifying judgment/order: December 17, 2012
Notice No.:
2013-9
Action:
SEC v. BP p.l.c.
Case number: 12-cv-02774 (United States District Court for the Eastern District of Louisiana)
Case filed: November 15, 2012
Qualifying judgment/order: December 10, 2012
Notice No.:
2013-10
Action:
SEC v. Management Solutions, Inc., a Texas Corporation; Wendell A. Jacobson; and Allen R. Jacobson
Case number: 11-cv-01165 (United States District Court for the District of Utah)
Case filed: December 15, 2011
Qualifying judgment/order: December 18, 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 No.:
2011-205
Action:
In the Matter of FTN Financial Securities Corp.
Administrative Proceeding File No.: 3-14632
Case filed: November 17, 2010
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 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 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 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 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 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 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 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 No.:
2011-217
Action:
In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-14620
Case filed: November 10, 2011
Notice No.:
2011-194
Action:
In the Matter of Pipeline Trading Systems LLC, Fred J. Federspiel, and Alfred R. Berkeley III
Administrative Proceeding File No.: 3-14600
Case filed: October 24, 2011
Notice No.:
2011-195
Action:
SEC v. Gregory N. McKnight, and Legisi Holdings, LLC
Case number: 08-cv-11887 (United States District Court for the Eastern District of Michigan)
Case filed: May 5, 2008
Notice No.:
2011-196
Action:
SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton
Case number: 07-cv-03444 (United States District Court for the Northern District of California)
Case filed: July 2, 2007
Notice No.:
2011-197
Action:
SEC v. Integrity Financial AZ LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller
Case number: 10-cv-00782 (United States District Court for the Northern District of Ohio)
Case filed: April 14, 2010
Notice No.:
2011-198
Action:
SEC v. Norman Forrest Germany, Germany Energy Company, and Eb Germany & Sons, LLC
Case number: 11-cv-01252 (United States District Court for the Northern District of Texas)
Case filed: June 10, 2011
Notice No.:
2011-199
Action:
SEC v. Drake Asset Management LLC, and Oliver R. Grace, Jr.
Case number: 11-cv-01905 (United States District Court for the District of Columbia)
Case filed: October 31, 2011
Notice No.:
2011-200
Action:
In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management LLC, and Samir H. Bhatt
Administrative Proceeding File No.: 3-14594
Case filed: October 19, 2011
Notice No.:
2011-201
Action:
In the Matter of Banco Espirito Santo S.A.
Administrative Proceeding File No.: 3-14599
Case filed: October 24, 2011
Notice No.:
2011-202
Action:
SEC v. America’s Hedge Fund, L.P., Worldwide Partners LLC, and Christian Kuretski
Case number: 04-cv-04640 (United States District Court for the Eastern District of New York)
Case filed: October 28, 2004
Notice No.:
2011-193
Action:
SEC v. Trade-LLC, Philip W. Milton, and William H. Center
Case number: 10-cv-80737 (United States District Court for the Southern District of Florida)
Case filed: June 22, 2010
Notice No.:
2011-192
Action:
In the Matter of Watts Water Technologies, Inc. and Leesen Chang
Administrative Proceeding File No.: 3-14585
Case filed: October 13, 2011
Notice No.:
2011-186
Action:
In the Matter of Barr M. Rosenberg
Administrative Proceeding File No.: 3-14559
Case filed: September 22, 2011
Notice No.:
2011-187
Action:
In the Matter of Hector Gallardo, Michael Zurita, and Orion Trading, LLC
Administrative Proceeding File No.: 3-14139
Case filed: September 28, 2011
Notice No.:
2011-188
Action:
SEC v. James O’Leary, CPA
Case number: 11-cv-2901 (United States District Court for the Northern District of Georgia)
Case filed: August 30, 2011
Notice No.:
2011-189
Action:
SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC
Case number: 11-cv-00056 (United States District Court for the Northern District of Georgia)
Case filed: January 6, 2011
Notice No.:
2011-190
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-02676 (United States District Court for the District of Colorado)
Case filed: November 16, 2009
Notice No.:
2011-191
Action:
In the Matter of RBC Capital Markets, LLC
Administrative Proceeding File No.: 3-14564
Case filed: September 27, 2011
Notice No.:
2011-172
Action:
SEC v. David A. Souza and D.A. Souza Investments, LLC
Case number: 09-cv-02421(United States District Court for the Eastern District of California)
Case filed: August 28, 2009
Notice No.:
2011-173
Action:
SEC v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland
Case number: 09-cv-02302 (United States District Court for the District of Northern California)
Case filed: May 26, 2009
Notice No.:
2011-174
Action:
SEC v. Gregory L. Reyes, Antonio Canova, and Stephanie Jensen
Case number: 06-cv-04435 (United States District Court for the Northern District of California)
Case filed: July 20, 2006
Notice No.:
2011-175
Action:
SEC v. Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson, and Roger A. Wittenbach
Case number: 11-cv-01168 (United States District Court for the Central District of California)
Case filed: August 4, 2011
Notice No.:
2011-176
Action:
SEC v. LADP Acquisition, Inc., William A. Goldstein, and Marc E. Bercoon
Case number: 10-cv-06835 (United States District Court for the Central District of California)
Case filed: September 14, 2010
Notice No.:
2011-177
Action:
SEC v. John Clement and Edgefund Capital, LLC
Case number: 11-cv-01034 (United States District Court for the Southern District of California)
Case filed: May 11, 2011
Notice No.:
2011-179
Action:
SEC v. Joseph R. Porche, Larry R Crowder, Konrad Kafarski, Carlton L. Williams, Gary K. Juncker, and Dale J. Engelhardt
Case number: 10-cv-01165 (United State District Court for the Central District of California)
Case filed: August 4, 2010
Notice No.:
2011-180
Action:
SEC v. Nova Gen Corporation, Margaret Grey, and Paul Randall Fraley
Case number: 09-cv-02711 (United States District Court for the Southern District of California)
Case filed: December 3, 2009
Notice No.:
2011-181
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-07594 (United States District Court for the Southern District of New York)
Case filed: September 1, 2009
Notice No.:
2011-182
Action:
SEC v. Wellco Energy LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White
Case number: 09-cv-01114 (United States District Court for the District of Colorado)
Case filed: May 14, 2009
Notice No.:
2011-183
Action:
SEC v. Pharma Holdings, Inc., Edward Klapp IV, and Edward Klapp Jr.
Case number: 10-cv-81615 (United States District Court for the Southern District of Florida)
Case filed: December 22, 2010
Notice No.:
2011-184
Action:
SEC v. Striker Petroleum, LLC, Mark S. Roberts, and Christopher E. Pippin
Case number: 09-cv-02304 (United States District Court for the Northern District of Texas)
Case filed: December 3, 2009
Notice No.:
2011-185
Action:
SEC v. Anthony J. Scolaro, Jr.
Case number: 11-cv-06112 (United States District Court for the Southern District of New York)
Case filed: August 31, 2011
Notice No.:
2011-160
Action:
SEC v. Watermark Financial Services Group, Inc., Watermark M-One Holdings, Inc., M-One Financial Services LLC, Watermark Capital Group LLC, Guy W. Gane, Jr., and Lorenzo Altadonna
Case number: 08-cv-00361 (United States District Court for the Western District of New York)
Case filed: May 15, 2008
Notice No.:
2011-32
Action:
SEC v. Randy M. Cho
Case number: 09-cv-6261 (United States District Court for the Northern District of Illinois)
Case filed: October 27, 2009
Notice No.:
2011-159
Action:
SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan
Case number: 10-cv-09239 (United States District Court for the Southern District of New York)
Case filed: December 10, 2010
Notice No.:
2011-31
Action:
SEC v. Chimay Capital Management Inc. and Guy Albert de Chimay
Case number: 10-cv-04582 (United States District Court for the Southern District of New York)
Case filed: June 11, 2010
Notice No.:
2011-158
Action:
SEC v. Video Without Boundaries, Inc. (d/b/a China Logistics Group Inc), Vernon Jeffrey Harrell, and David J. Aubel
Case number: 08-cv-61517 (United States District Court for the Southern District of Florida)
Case filed: September 24, 2008
Notice No.:
2011-157
Action:
SEC v. Jose O. Vianna, Jr., and Creswell Equities, Inc.
Case number: 10-cv-01842 (United States District Court for the Southern District of New York)
Case filed: March 9, 2010
Notice No.:
2011-156
Action:
SEC v. VesCor Capital Corp., VesCor Capital, Inc., VesCorp Capital LLC, VesCorp Capital IV-A LLC, VesCorp Capital IV-M LLC, and Val E. Southwick
Case number: 08-cv-00012 (United States District Court for the District of Utah)
Case filed: February 6, 2008
Notice No.:
2011-155
Action:
SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Maceiras, Leonardo Maceiras Jr., and Nildo Verdeja
Case number: 07-cv-22570 (United States District Court for the Southern District of Florida)
Case filed: September 28, 2007
Notice No.:
2011-30
Action:
SEC v. Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments
Case number: 11-cv-00136 (United States District Court for the Northern District of California)
Case filed: January 11, 2011
Notice No.:
2011-154
Action:
SEC v. Universal Corporation
Case number: 10-cv-01318 (United States District Court for the District of Columbia)
Case filed: August 6, 2010.
Notice No.:
2011-153
Action:
SEC v. UBS Financial Services Inc.
Case number: 11-cv-02539 (United States District Court for the District of New Jersey)
Case filed: May 4, 2011
Notice No.:
2011-29
Action:
In the Matter of Carlson Capital, LP
Administrative Proceeding File No.: 3-14066
Case filed: September 23, 2010
Notice No.:
2011-152
Action:
SEC v. UBS AG
Case number: 09-cv-00316 (United States District Court for the District of Columbia)
Case filed: February 18, 2009
Notice No.:
2011-151
Action:
SEC v. Tyson Foods, Inc.
Case number: 11-cv-00350 (United States District Court for the District of Columbia)
Case filed: February 10, 2011
Notice No.:
2011-28
Action:
SEC v. Gaston E. Cantens and Teresita Cantens
Case number: 10-cv-20635 (United States District Court for the Southern District of Florida)
Case filed: March 3, 2010
Notice No.:
2011-150
Action:
SEC v. David P. Turner and Ousama N. Naaman
Case number: 10-cv-01309 (United States District Court for the District of Columbia)
Case filed: August 5, 2010
Notice No.:
2011-27
Action:
SEC v. Canopy Financial, Inc. and Jeremy J. Blackburn
Case number: 09-cv-07429 (United States District Court for the Northern District of Illinois)
Case filed: November 30, 2009
Notice No.:
2011-149
Action:
SEC v. Lambert Vander Tuig, The Carolina Development Company, Inc., and Jonathan Carman
Case number: 06-cv-00172 (United States District Court for the Central District of California)
Case filed: February 16, 2006
Notice No.:
2011-25
Action:
In the Matter of Brookside Capital LLC
Administrative Proceeding File No.: 3-14444
Case filed: June 28, 2011
Notice No.:
2011-24
Action:
SEC v. BroCo Investments, Inc., and Valery Maltsev
Case number: 10-cv-02217 (United States District Court for the Southern District of New York)
Case filed: March 15, 2010
Notice No.:
2011-148
Action:
SEC v. Tuco Trading LLC and Douglas G. Frederick
Case number: 08-cv-00400 (United States District Court for the Southern District of California)
Case filed: March 4, 2008
Notice No.:
2011-147
Action:
SEC v. Transocean Inc.
Case number: 10-cv-01891 (United States District Court for the District of Columbia)
Case filed: November 4, 2010
Notice No.:
2011-23
Action:
SEC v. Joseph V. Braas and Michael J. Schlager
Case number: 11-cv-00087 (United States District Court for the Eastern District of Pennsylvania)
Case filed: January 6, 2011
Notice No.:
2011-146
Action:
SEC v. Tidewater Inc.
Case number: 10-cv-04180 (United States District Court for the Eastern District of Louisiana)
Case filed: November 4, 2010
Notice No.:
2011-22
Action:
In the Matter of BNY Mellon Securities LLC
Administrative Proceeding File No.: 3-14191
Case filed: January 14, 2011
Notice No.:
2011-145
Action:
SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff
Case number: 11-cv-00889 (United States District Court for the District of Columbia)
Case filed: May 12, 2011
Notice No.:
2011-144
Action:
SEC v. TG Capital LLC, Thanh Viet “Jeremy” Cao, and Lodavina Grosnickle
Case number: 07-cv-00579 (United States District Court for the Central District of California)
Case filed: May 22, 2007
Notice No.:
2011-21
Action:
SEC v. Carl E. Binette and Peter E. Talbot
Case number: 09-cv-30107 (United States District Court for the District Of Massachusetts)
Case filed: July 13, 2009
Notice No.:
2011-143
Action:
SEC v. Tecumseh Holdings Corporation, Tecumseh Tradevest LLC, S.B. Cantor & Co., Inc., John L. Milling, Gerard A. McCallion, Anthony M. Palovchik, and Dale Carone
Case number: 03-cv-5490 (United States District Court for the Southern District of New York)
Case filed: July 24, 2003
Notice No.:
2011-20
Action:
SEC v. Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper
Case number: 09-cv-00068 (United States District Court for the District of Hawaii)
Case filed: February 18, 2009
Notice No.:
2011-142
Action:
In the Matter of TD Ameritrade, Inc.
Administrative Proceeding File No.: 3-14225
Case filed: February 3, 2011
Notice No.:
2011-141
Action:
SEC v. Sun Empire LLC, ECAM LLC a/k/a Empire Capital Asset Management, Delilah A. Proctor, and Shauntel A. Mccoy
Case number: 09-cv-00399 (United States District Court for the Central District of California)
Case filed: April 2, 2009
Notice No.:
2011-140
Action:
SEC v. Robert J. Sucarato d/b/a/ New York Financial Company
Case number: 09-cv-04953 (United States District Court for the District of New Jersey)
Case filed: September 25, 2009
Notice No.:
2011-139
Action:
SEC v. James D. Sterling
Case number: 10-cv-08206 (United States District Court for the Southern District of New York)
Case filed: October 29, 2010
Notice No.:
2011-138
Action:
SEC v. Star Exploration, Inc. and James T. Gurgainers
Case number: 08-cv-02248 (United States District Court for the Northern District of Texas)
Case filed: December 22, 2008
Notice No.:
2011-136
Action:
SEC v. Brian J. Smart, and Smart Assets, LLC
Case number: 09-cv-00224 (United States District Court for the District of Utah)
Case filed: March 11, 2009
Notice No.:
2011-134
Action:
SEC v. Shidaal Express, Inc. and Mohamud Abdi Ahmed
Case number: 09-cv-02610 (United States District Court for the Southern District of California)
Case filed: November 19, 2009
Notice No.:
2011-133
Action:
SEC v. Rodney S. Shehyn, Rodney D. Marr, Donald L. Marr, and Karen S. Leigh
Case number: 04-cv-02003 (United States District Court for the Southern District of New York)
Case filed: March 15, 2004
Notice No.:
2011-132
Action:
SEC v. Satyam Computer Services Limited d.b.a. Mahindra Satyam
Case number: 11-cv-00672 (United States District Court for the District of Columbia)
Case filed: April 5, 2011
Notice No.:
2011-131
Action:
SEC v. Mark E. Salyer
Case number: 08-cv-00179 (United States District Court for the Eastern District of Tennessee)
Case filed: June 23, 2008
Notice No.:
2011-130
Action:
In the Matter of Royal Dutch Shell plc and Shell International Exploration and Production Inc.
Administrative Proceeding File No.: 3-14107
Case filed: November 4, 2010
Notice No.:
2011-129
Action:
SEC v. Rockwell Energy of Texas LLC, Rockwell Energy Management LLC, Gregory S. Shindler, Bradley M. James, W. Todd Smith, Stuart E. Rawitt, and Brian W. Walsh
Case number: 09-cv-04080 (United States District Court for the Southern District of Texas)
Case filed: December 23, 2009
Notice No.:
2011-128
Action:
In the Matter of Rockwell Automation, Inc.
Administrative Proceeding File No.: 3-14364
Case filed: May 3, 2011
Notice No.:
2011-127
Action:
SEC v. Rockford Funding Group, LLC
Case number: 09-cv-10047 (United States District Court for the Southern District of New York)
Case filed: December 8, 2009
Notice No.:
2011-126
Action:
SEC v. Archie Paul Reynolds and Success Trust
Case number: 06-cv-01801 (United States District Court for the Northern District of Georgia)
Case filed: August 2, 2006
Notice No.:
2011-125
Action:
SEC v. Regions Bank
Case number: 09-cv-22821 (United States District Court for the Southern District of Florida)
Case filed: September 21, 2009
Notice No.:
2011-124
Action:
SEC v. Steven L. Rattner
Case number: 10-cv-08699 (United States District Court for the Southern District of New York)
Case filed: November 18, 2010
Notice No.:
2011-123
Action:
SEC v. RAE Systems Inc.
Case number: 10-cv-02093 (United States District Court for the District of Columbia)
Case filed: December 10, 2010
Notice No.:
2011-122
Action:
SEC v. Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
Case number: 09-cv-01560 (United States District Court for the District of Arizona)
Case filed: July 28, 2009
Notice No.:
2011-121
Action:
SEC v. Joseph D. Radcliffe and Michael J. Radcliffe
Case number: 11-cv-00091 (United States District Court for the District of Columbia)
Case filed: January 14, 2011
Notice No.:
2011-17
Action:
SEC v. Ben-Wal Leasing Company, Ben-Wal Management, Inc., and Jerry E. Benson
Case number: 09-cv-06223 (United States District Court for the Central District of California)
Case filed: August 26, 2009
Notice No.:
2011-120
Action:
SEC v. Pride International, Inc.
Case number: 10-cv-04335 (United States District Court for the Southern District of Texas)
Case filed: November 4, 2010
Notice No.:
2011-119
Action:
In the Matter of Gordon Brent Pierce, Newport Capital Corp., and Jenirob Company Ltd.
Administrative Proceeding File No.: 3-13927
Case filed: June 8, 2010
Notice No.:
2011-16
Action:
In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, and Barr Rosenberg Research Center, LLC
Administrative Proceeding File No.: 3-14224
Case filed: February 3, 2011
Notice No.:
2011-118
Action:
SEC v. Panalpina, Inc.
Case number: 10-cv-04334 (United States District Court for the Southern District of Texas)
Case filed: November 4, 2010
Notice No.:
2011-15
Action:
SEC v. Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia
Case number: 09-cv-21592 (United States District Court for the Southern District of Florida)
Case filed: June 11, 2009
Notice No.:
2011-117
Action:
SEC v. One or More Unknown Traders in the Common Stock of Certain Issuers
Case number: 07-cv-00431 (United States District Court for the District of Columbia)
Case filed: March 6, 2007
Notice No.:
2011-14
Action:
In the Matter of Aristeia Capital, LLC
Administrative Proceeding File No.: 3-14360
Case filed: May 2, 2011
Notice No.:
2011-116
Action:
SEC v. Onele Trading & Finance Ltd
Case number: 10-cv-09159 (United States District Court for the Southern District of New York)
Case filed: December 8, 2010
Notice No.:
2011-115
Action:
SEC v. One Equity Corporation, Triangle Equities Group, Inc., Victory Management Group, Inc., Dafcan Finance, Inc., Michael S. Spillan and Melissa K. Spillan
Case number: 08-cv-00667 (United States District Court for the Southern District of Ohio)
Case filed: July 10, 2008
Notice No.:
2011-114
Action:
SEC v. Robert Olins, Spatialight, Inc., and Argyle Capital Management Corp.
Case number: 07-cv-06423 (United States District Court for the Northern District of California)
Case filed: December 20, 2007
Notice No.:
2011-13
Action:
SEC v. Sonja Anticevic
Case number: 05-cv-06991 (United States District Court for the Southern District of New York)
Case filed: August 5, 2005
Notice No.:
2011-12
Action:
SEC v. Daryl O. Anderson
Case number: 09-cv-01799 (United States District Court for the District of Nevada)
Case filed: September 10, 2009
Notice No.:
2011-112
Action:
SEC v. Noble Corporation
Case number: 10-cv-04336 (United States District Court for the Southern District of Texas)
Case filed: November 4, 2010
Notice No.:
2011-10
Action:
SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer
Case number: 09-cv-61716 (United States District Court for the Southern District of Florida)
Case filed: October 28, 2009
Notice No.:
2011-111
Action:
SEC v. NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur
Case number: 11-cv-02016 (United States District Court for the District of Kansas)
Case filed: January 12, 2011
Notice No.:
2011-9
Action:
SEC v. Alliance One International, Inc.
Case number: 10-cv-01319 (United States District Court for the District of Columbia)
Case filed: August 6, 2010
Notice No.:
2011-108
Action:
SEC v. Angelo Mozilo, David Sambol, and Eric Sieracki
Case number: 09-cv-03994 (United States District Court for the Central District of California)
Case filed: June 4, 2009
Notice No.:
2011-107
Action:
SEC v. William G. Mortensen and Feng Zheng
Case number: 10-cv-01142 (United States District Court for the Northern District of Texas)
Case filed: June 9, 2010
Notice No.:
2011-106
Action:
SEC v. Brad A. Morrice, Patti M. Dodge, David N. Kenneally
Case number: 09-cv-01426 (United States District Court for the Central District of California)
Case filed: December 7, 2009
Notice No.:
2011-8
Action:
SEC v. Edward A. Allen, David L. Olson, and A&O Investments LLC
Case number: 10-cv-01143 (United States District Court for the Northern District of Ohio)
Case filed: May 20, 2010
Notice No.:
2011-7
Action:
SEC v. Jacob “Kobi” Alexander, David Kreinberg, and William F. Sorin
Case number: 06-cv-03844 (United States District Court for the Eastern District of New York)
Case filed: August 9, 2006
Notice No.:
2011-103
Action:
SEC v. Mike Watson Capital LLC, Michael P. Watson, and Joshua F. Escobeda
Case number: 11-cv-00275 (United States District Court for the District of Utah)
Case filed: March 23, 2011
Notice No.:
2011-101
Action:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated
Administrative Proceeding File No.: 3-14204
Case filed: January 25, 2011
Notice No.:
2011-6
Action:
SEC v. Alcatel-Lucent, S.A.
Case number: 10-cv-24620 (United States District Court for the Southern District of Florida)
Case filed: December 27, 2010
Notice No.:
2011-5
Action:
SEC v. Hazem Khalid Al-Braikan, United Gulf Bank (B.S.C.) E.C., KIPCO Asset Management Co., and Al-Raya Investment Co.
Case number: 09-cv-06533 (United States District Court for the Southern District of New York)
Case filed: July 23, 2009
Notice No.:
2011-4
Action:
SEC v. Advanced Technologies Group LTD, Alexander Stelmak, and Abelis Raskas
Case number: 10-cv-04868 (United States District Court for the Southern District of New York)
Case filed: June 23, 2010
Notice No.:
2011-2
Action:
SEC v. ABB LTD
Case number: 10-cv-01648 (United States District Court for the District of Columbia)
Case filed: Sept. 29, 2010
Notice No.:
2011-1
Action:
SEC v. Giuseppe Tullio Abatemarco
Case number: 10-cv-09527 (United States District Court for the Southern District of New York)
Case filed: April 20, 2011
Notice No.:
2011-100
Action:
SEC v. Paul P. Merklinger and Encore Associated Leasing, LLC
Case number: 08-cv-13184 (United States District Court for the Eastern District of Michigan)
Case filed: July 24, 2008
Notice No.:
2011-99
Action:
SEC v. Merchant Capital LLC, Steven C. Wyer, and Kurt Beasley
Case number: 02-cv-02984 (United States District Court for the Northern District of Georgia)
Case filed: November 4, 2002
Notice No.:
2011-97
Action:
SEC v. Carol McKeown, Daniel F. Ryan, Meadow Vista Financial Corp., and Downshire Capital, Inc.
Case number: 10-80748 (United States District Court for the Southern District of Florida)
Case filed: June 23, 2010
Notice No.:
2011-96
Action:
SEC v. Ian McCarthy
Case number: 11-cv-00667 (United States District Court for the Northern District of Georgia)
Case filed: March 3, 2011
Notice No.:
2011-95
Action:
SEC v. Maxwell Technologies, Inc.
Case number: 11-cv-00258 (United States District Court for the District of Columbia)
Case filed: January 31, 2011
Notice No.:
2011-94
Action:
SEC v. Javeed A. Matin and Wilshire Equity, Inc.
Case number: 10-cv-01686 (United States District Court for the Central District of California)
Case filed: November 1, 2010
Notice No.:
2011-93
Action:
SEC v. Amit Mathur and Entrust Capital Mangement, Inc.
Case number: 05-cv-10729 (United States District Court for the District of Massachusetts)
Case filed: April 12, 2005
Notice No.:
2011-92
Action:
SEC v. Madison Real Estate Group LLC, Richard Ames Higgins, Brandon S. Higgins, and Allan D. Christensen
Case number: 08-cv-00243 (United States District Court for the District of Utah)
Case filed: March 28, 2008
Notice No.:
2011-90
Action:
SEC v. Alfred Clay Ludlum III, Printz Capital Management LLC, Printz Financial Group, Inc., and PCM Global Holdings LLC
Case number: 10-cv-07379 (United States District Court for Eastern District of Pennsylvania)
Case filed: December 20, 2010
Notice No.:
2011-88
Action:
SEC v. Locke Capital Management, Inc. and Leila C. Jenkins
Case number: 09-cv-00100 (United States District Court for the District of Rhode Island)
Case filed: March 9, 2009
Notice No.:
2011-86
Action:
In the Matter of Level Global Investors LP
Administrative Proceeding File No.: 3-14443
Case filed: June 28, 2011
Notice No.:
2011-85
Action:
SEC v. John W. Lawton, Paramount Partners LP, and Crossroad Capital Management LLC
Case number: 09-cv-00368 (United States District Court for the District of Minnesota)
Case filed: February 18, 2009
Notice No.:
2011-84
Action:
In the Matter of KPMG Australia
Administrative Proceeding File No.: 3-14276
Case filed: February 28, 2011
Notice No.:
2011-83
Action:
SEC v. Mohit A. Khanna and MAK 1 Enterprises Group LLC
Case number: 09-cv-01784 (United States District Court for the Southern District of California)
Case filed: August 17, 2009
Notice No.:
2011-81
Action:
SEC v. Dennis Lee Keating II
Case number: 10-cv-00419 (United States District Court for the District of Utah)
Case filed: May 6, 2010
Notice No.:
2011-79
Action:
SEC v. Albert Fase Kaleta and Kaleta Capital Management, Inc.
Case number: 09-cv-03674 (United States District Court for the Southern District of Texas)
Case filed: November 13, 2009
Notice No.:
2011-78
Action:
SEC v. J.P. Morgan Securities LLC
Case number: 11-cv-04206 (United States District Court for the Southern District of New York)
Case filed: June 21, 2011
Notice No.:
2011-77
Action:
SEC v. J.P. Morgan Securities LLC
Case number: 11-cv-03877 (United States District Court for the District of New Jersey)
Case filed: July 7, 2011
Notice No.:
2011-76
Action:
SEC v. Johnson & Johnson
Case number: 11-cv-00686 (United States District Court for the District of Columbia)
Case filed: April 8, 2011
Notice No.:
2011-75
Action:
SEC v. Carl W. Jasper
Case number: 07-cv-06122 (United States District Court for the Northern District of California)
Case filed: December 4, 2007
Notice No.:
2011-74
Action:
SEC v. International Realty Holdings, Inc., Ottoniel Medrano, and Leticia Isabel Medrano
Case number: 09-cv-01945 (United States District Court for the Central District of California)
Case filed: March 23, 2009
Notice No.:
2011-73
Action:
SEC v. Imperia Invest IBC
Case number: 10-cv-00986 (United States District Court for the District of Utah)
Case filed: October 6, 2010
Notice No.:
2011-71
Action:
In the Matter of Horseman Capital Management, L.P.
Administrative Proceeding File No.: 3-14202
Order filed: January 24, 2011
Notice No.:
2011-70
Action:
SEC v. Homestead Properties LP, Homestead Limited LLC, California Wealth Management Group, d.b.a. IFC Advisory, Heath M. Biddlecome, and William C. Tak
Case number: 09-cv-01331 (United States District Court for the Central District of California)
Case filed: December 24, 2009
Notice No.:
2011-69
Action:
SEC v. Hedgelender LLC, Daniel W. Stafford, and Fred R. Wahler, Jr.
Case number: 09-cv-00859 (United States District Court for the Southern District of Ohio)
Case filed: September 30, 2009
Notice No.:
2011-68
Action:
SEC v. Gary L. Harden, Sr. and Philip E. Lowery
Case number: 05-cv-00354 (United States District Court for the Western District of Michigan)
Case filed: May 19, 2005
Notice No.:
2011-67
Action:
SEC v. Lowell Gene “Bob” Hancher, Commerce Street Venture Group, Inc., Edward T. Whelan, and Grace Holdings
Case number: 11-cv-04005 (United States District Court for the Northern District of Iowa)
Case filed: January 13, 2011
Notice No.:
2011-66
Action:
SEC v. Great American Technologies, Inc. and Vincent Setteducate a/k/a Vincent Sette
Case number: 07-cv-10694 (United States District Court for the Southern District of New York)
Case filed: November 30, 2007
Notice No.:
2011-65
Action:
SEC v. George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki
Case number: 09-cv-00061 (United States District Court for the Northern District of Oklahoma)
Case filed: February 10, 2009
Notice No.:
2011-64
Action:
SEC v. Lawrence R. Goldfarb and Baystar Capital Management, LLC
Case number: 11-cv-00938 (United States District Court for the Northern District of California)
Case filed: March 1, 2011
Notice No.:
2011-63
Action:
SEC v. Golden Apple Oil and Gas, Inc., Jay Budd, John Briner, and Ethos Investments, Inc.
Case number: 09-cv-07580 (United States District Court for the Southern District of New York)
Case filed: August 31, 2009
Notice No.:
2011-62
Action:
SEC v. GlobalSantaFe Corp.
Case number: 10-cv-01890 (United States District Court for the District of Columbia)
Case filed: November 4, 2010
Notice No.:
2011-59
Action:
SEC v. Gen-See Capital Corporation a/k/a Gen Unlimited and Richard S. Piccoli
Case number: 09-cv-00014 (United States District Court for the Western District of New York)
Case filed: January 8, 2009
Notice No.:
2011-58
Action:
SEC v. Jason M. Genet
Case number: 09-cv-04215 (United States District Court for the Eastern District of New York)
Case filed: September 30, 2009
Notice No.:
2011-57
Action:
SEC v. General Electric Company, Ionics, Inc., and Amersham plc
Case number: 10-cv-01258 (United States District Court for the District of Columbia)
Case filed: July 27, 2010
Notice No.:
2011-56
Action:
SEC v. Gendreau & Associates, Inc., and Jacques R. Gendreau
Case number: 09-cv-03697 (United States District Court for the Central District of California)
Case filed: May 26, 2009
Notice No.:
2011-55
Action:
In the Matter of Gartmore Investment Limited
Administrative Proceeding File No.: 3-14154
Case filed: December 8, 2010
Notice No.:
2011-53
Action:
SEC v. FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a/ FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez
Case number: 09-cv-04755 (United States District Court for the Southern District of New York)
Case filed: May 20, 2009
Notice No.:
2011-52
Action:
SEC v. Gregory Todd Froning
Case number: 10-cv-01503 (United States District Court for the Northern District of Texas)
Case filed: August 2, 2010
Notice No.:
2011-50
Action:
SEC v. Otto Sam Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC
Case number: 11-cv-04447 (United States District Court for the Eastern District of Pennsylvania)
Case filed: July 12, 2011
Notice No.:
2011-49
Action:
SEC v. Thomas P. Flanagan and Thomas T. Flanagan
Case number: 10-cv-04885 (United States District Court for the Northern District of Illinois)
Case filed: August 4, 2010
Notice No.:
2011-48
Action:
SEC v. Robert Feinblatt, Jeffrey Yokuty, Trivium Capital Management LLC, Sunil Bhalla, and Shammara Hussain
Case number: 11-cv-00170 (United States District Court for the Southern District of New York)
Case filed: January 10, 2011
Notice No.:
2011-47
Action:
SEC v. Anthony Fareri, Fareri Financial Services, Inc. d/b/a/ Amerifinancial, and Anthony Fareri & Associates, Inc.
Case number: 09-cv-80360 (United States District Court for the Southern District of Florida)
Case filed: March 3, 2009
Notice No.:
2011-46
Action:
SEC v. Robert M. Esposito, Gregory A. King, Jack R. Belluscio, and Anscott Industries, Inc.
Case number: 08-cv-00494 (United States District Court for the Middle District of Florida)
Case filed: March 17, 2008
Notice No.:
2011-45
Action:
SEC v. Earthly Mineral Solutions, Inc., Natural Minerals Processing Company, Roy D. Higgs, Frank L. Schwartz, and Rick Lawton
Case number: 07-cv-01057 (United States District Court for the District of Nevada)
Case filed: August 9, 2007
Notice No.:
2011-44
Action:
SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon
Case number: 03-cv-12154 (United States District Court for the District of Massachusetts)
Case filed: November 4, 2003
Notice No.:
2011-43
Action:
SEC v. Gianluca Di Nardo, Corralero Holdings, Inc., Oscar Ronzoni, Paolo Busardo, Tatus Corp., and A-Round Investment SA (originally filed as SEC v. One or More Purchasers of Call Options for the Common Stock of DRS Technologies, Inc. and American Power Conversion Corp.)
Case number: 08-cv-06609 (United States District Court for the Southern District of New York)
Case filed: July 25, 2008
Notice No.:
2011-42
Action:
In the Matter of Diageo plc
Administrative Proceeding File No.: 3-14490
Case filed: July 27, 2011
Notice No.:
2011-39
Action:
In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA
Administrative Proceeding File No.: 3-14216
Case filed: February 2, 2011
Notice No.:
2011-72
Action:
SEC v. W. Anthony Huff, Danny L. Pixler, Anthony R. Russo, Otha Ray McCartha, and Charles J. Spinelli
Case number: 08-cv-60315 (United States District Court for the Southern District of Florida)
Case filed: March 6, 2008
Notice No.:
2011-38
Action:
SEC v. Joseph A. Dawson
Case number: 11-cv-01615 (United States District Court for the Northern District of Illinois)
Case filed: March 8, 2011
Notice No.:
2011-37
Action:
SEC v. Credit Bancorp, Ltd., Credit Bancorp, Inc., Richard Jonathan Blech, Thomas M. Rittweger, and Douglas C. Brandon
Case number: 99-cv-11395 (United States District Court for the Southern District of New York)
Case filed: November 11, 1999
Notice No.:
2011-36
Action:
SEC v. ConnectAJet.com, Inc., Martin T. Cantu, Martin M. Cantu, Firenze Funds LLC, Timothy T. Page, Testre LP, Verona Funds LLC, and Stephen Fayette
Case number: 09-cv-01742 (United States District Court for the Northern District of Texas)
Case filed: September 18, 2009
Notice No.:
2011-35
Action:
SEC v. Nicolas Patrick Benoit Condroyer and Gilles Robert Roger
Case number: 09-cv-03600 (United States District Court for the Northern District of Georgia)
Case filed: December 22, 2009
Notice No.:
2011-34
Action:
SEC v. Comverse Technology, Inc.
Case number: 11-cv-01704 (United States District Court for the Eastern District of New York)
Case filed: April 7, 2011
Notice No.:
2011-33
Action:
SEC v. Citigroup Inc.
Case number: 10-cv-01277 (United States District Court for the District of Columbia)
Case filed: July 29, 2010
Notice No.:
2011-170
Action:
SEC v. ZNext Mining Corporation, Inc. and Elvira G. Gamboa
Case number: 09-cv-02611 (United States District Court for the Northern District of California)
Case filed: June 12, 2009
Notice No.:
2011-161
Action:
SEC v. Martin T. Wegener, Wealth Resources LLC, and Wealth Resources, Inc.
Case number: 10-cv-00566 (United States District Court for the Western District of Michigan)
Case filed: June 14, 2010
Notice No.:
2011-162
Action:
In the Matter of Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC)
Administrative Proceeding File No.: 3-14320
Case filed: April 5, 2011
Notice No.:
2011-163
Action:
SEC v. Darrel West and Own My Travel LLC
Case number: 09-cv-01419 (United States District Court for the Middle District of Florida)
Case filed: August 14, 2009
Notice No.:
2011-165
Action:
SEC v. David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC
Case number: 09-cv-02709 (United States District Court for the Central District of California)
Case filed: April 20, 2009
Notice No.:
2011-166
Action:
SEC v. Winning Kids, Inc., Christian Hainsworth, Robert Comiskey, Edward Tamimi, and Victor Selenow
Case number: 10-cv-80186 (United States District Court for the Southern District of Florida)
Case filed: January 29, 2010
Notice No.:
2011-167
Action:
SEC v. Stuart H. Wolff and Peter B. Tafeen
Case number: 05-cv-03132 (United States District Court for the Central District of California)
Case filed: April 28, 2005
Notice No.:
2011-168
Action:
SEC v. Travis L. Wright
Case number: 10-cv-00602 (United States District Court for the District of Utah)
Case filed: July 2, 2010
Notice No.:
2011-169
Action:
SEC v. Louis W. Zehil, Strong Branch Ventures IV LP, and Chestnut Capital Partners II, LLC
Case number: 07-cv-01439 (United States District Court for the Southern District of New York)
Case filed: February 28, 2007