Rewards Tracker

Private citizens are instrumental to helping the SEC enforce securities laws and regulations. When the information that an individual provides leads to a successful enforcement action and monetary sanctions exceeding $1 million, that individual becomes eligible to apply for a reward from the SEC’s Office of the Whistleblower.

To date, the young program has already paid out more than $63 million in whistleblower rewards with many more expected on the horizon.

Awards

21-Aug-2012

30-Aug-2012

01-Oct-2013

30-Oct-2013

03-Jun-2014

Award of
Anti-Retailiation Protection

16-Jun-2014

22-Jul-2014

31-Jul-2014

29-Aug-2014

22-Sep-2014

02-Mar-2015

22-Apr-2015

28-Apr-2015

Award of
> $3,000,000

07-Jul-2015

05-Nov-2015

15-Jan-2016

08-Mar-2016

17-Apr-2016

13-May-2016

17-May-2016

20-May-2016

09-Jun-2016

30-Jun-2016

14-Nov-2016

05-Dec-2016

06-Jan-2017

Award Details

Award Date: 21-Aug-2012
Award Amount: $50,000

August 2012 marked the first award ever issued under the SEC’s whistleblower program. The SEC awarded the whistleblower 30% of the amount collected in its enforcement action, the maximum allowable under the law. According to the SEC, the information provided allowed the SEC “to move at an accelerated pace and prevent the fraud from ensnaring additional victims.”

On April 4, 2014, this very same whistleblower who received the first ever award from the OWB received an additional $150,000 from the SEC after the Commission collected additional funds from the defendant.

Award Date: 30-Aug-2012
Award Amount: $125,000

In August 2013, the SEC awarded three whistleblowers $25,000 for information that led to an enforcement action against Locust Offshore Management and its CEO Andrey C. Hicks. The award is expected to increase to $125,000 as more assets are collected from the company and from Hicks and as additional funds are recouped during related criminal actions. This is an important case as it demonstrates that the information an individual provides can be used in both SEC enforcement actions and criminal proceedings, each of which can increase the total award to a potential whistleblower.

Award Date: 01-Oct-2013
Award Amount: $14,000,000

The SEC provided $14 million to a whistleblower whose information led to the recovery of a substantial amount of investor funds. The quality of this whistleblower’s information was so strong that the SEC was able to bring a successful enforcement action against the company within six months, thus leading to the substantial award amount.

In addition, the very same whistleblower who received the $14 million reward received another $140,000 in FY 2014 due to additional amounts being collected from the defendant.

Award Date: 30-Oct-2013
Award Amount: > $150,000

Little information is known about this whistleblower. (S)he wanted to remain completely anonymous and the SEC did not disclose the company about whom (s)he provided information. What is important is that she received the maximum amount allowable under the law (30%) due to the quality of information provided and the enforcement action to be brought.

Award Date: 03-Jun-2014
Award Amount: $875,000

On June 3, 2014, two whistleblowers split an award of $875,000. According to the SEC, “These whistleblowers acted in concert to voluntarily provide information and assistance that helped the SEC bring a successful enforcement action.” This is yet another case illustrating how two individuals can work together to stop fraud upon the government with each getting a share of the award.

Award Date: 16-Jun-2014
Award Amount: Anti-Retailiation Protection

Though not a true “award,” per se, the Commission’s actions on June 16, 2014, show the extent to which it is willing to help protect whistleblowers from retaliation. Here, the SEC found that after the head trader at Paradigm Capital Management blew the whistle on the company, PCM began a campaign to strip him of his job duties and marginalized him. As stated by Chief of the SEC’s Office of the Whistleblower Sean McKessy, “For whistleblowers to come forward, they must feel assured that they’re protected from retaliation and the law is on their side should it occur. We will continue to exercise our anti-retaliation authority in these and other types of situations where a whistleblower is wrongfully targeted for doing the right thing and reporting a possible securities law violation.” Read More

Award Date: 22-Jul-2014
Award Amount: Unknown

On July 22, 2014, the SEC issued what is referred to as an “award claim.” Therein, it awarded three whistleblowers 30% of the recoveries of an unknown SEC enforcement action. One whistleblower received 15%, another 10%, and a third 5%. Though very little is known about this case, it is helpful for illustrating how three people can work together to stop fraud while all sharing in the government’s recovery.

Award Date: 31-Jul-2014
Award Amount: $400,000

As with other awards, little is known about either the whistleblower and the company. What we do know, however, is very interesting and demonstrative of the SEC’s commitment to rewarding whistleblowers who provide it with valuable information. Here, the company had looked into and closed the matter. As part of the company’s investigation, it requested information from the whistleblower. Normally, Rule 21F-4(a)(1)(ii) under the Exchange Act would preclude the individual from receiving a reward, because the information was not “voluntarily” provided to the SEC. As stated in the 2014 Report to Congress, however, “On the unique facts of this case, however, the Commission found it in the public interest and consistent with the protection of investors to invoke its general exemptive authority under Section 36(a) of the Exchange Act and waive the ‘voluntary’ requirement in order to make an award to the whistleblower.”

Award Date: 29-Aug-2014
Award Amount: $300,000

As with most rewards from the SEC, little is known about the whistleblower, the fraud, or the company for which the whistleblower worked. What is most interesting about this case, however is the fact that the whistleblower performed audit and compliance work for the company.

Award Date: 22-Sep-2014
Award Amount: $30,000,000

Little is known about this award or the circumstances surrounding it. The heavily redacted SEC documents indicate only that the award was made to a foreign tipster who exposed “ongoing fraud that would have been very difficult to detect.” The SEC order also makes clear that, had the whistleblower acted more quickly, he would likely have received an even larger share of the recovered funds.

Award Date: 02-Mar-2015
Award Amount: $475,000

Generally speaking, company officers, directors, trustees, or partners are ineligible to claim rewards. This is true unless, as stated by the SEC, the officer or director reports the information to the SEC more than 120 days after other responsible compliance personnel possessed the information and failed to adequately address the issue. This is the first SEC whistleblower reward where such an officer, director, or trustee has received a reward.

Award Date: 22-Apr-2015
Award Amount: $1.4M+

On April 22, 2015, the SEC awarded more than $1,400,000 to a compliance officer who disclosed information to the SEC about his company’s actions. While the SEC’s press release lauds the employee for coming forth with information to prevent imminent harm, the real lesson learned here is that even individuals working in a compliance function can be eligible for a reward.

Press Release: http://www.sec.gov/news/pressrelease/2015-73.html

Award Date: 28-Apr-2015
Award Amount: $600,000

In the first retaliation case in which the SEC intervened, a whistleblower will receive more than $600,000 for providing information leading to an SEC enforcement action. In an emphatic defense of whistleblowers everywhere, Sean Mckessy, Chief of the SEC’s Office of the Whistleblower, stated that, “Retaliation against whistleblowers is entirely unacceptable… My hope is that the award today encourages potential whistleblowers to come forward in light of our demonstrated commitment to protect them against retaliatory conduct and make significant financial awards to whistleblowers who suffer employment hardships as a result of reporting possible securities law violations.” This award sends a strong message to employers that the Commission will not tolerate companies retaliating against employees for reporting information to the agency.

Press Release: https://www.sec.gov/news/pressrelease/2015-75.html

Award Date: 07-Jul-2015
Award Amount: > $3,000,000

On July 17, 2015, the SEC’s Office of the Whistleblower announced the issuance of a $3 million reward to a whistleblower. Very little information is known about this case except that, according to the SEC, the “company insider” “helped the SEC crack a complex fraud.” Given the size of the award – the third largest in the history of office – it must be assumed that the individual provided a clear roadmap of the fraud and that the recovery by the SEC was somewhere between $30 and $90 million.

Award Date: 05-Nov-2015
Award Amount: $325,000

On November 5, 2015, the SEC issued a whistleblower an award of $325,000 to an investment firm employee for disclosing information that led to a successful enforcement action. As with other rewards, from the SEC, not much is known about this whistleblower. But, despite not knowing the whistleblower’s or company’s identity, there are still important lessons to be learned from this case. Specifically, the SEC’s announcement indicated that the whistleblower would have been eligible for an even greater reward if he had not “hesitated” in bringing his information to the SEC. While we will never know how long the whistleblower held on to the information before coming forward, this case underscores the importance of promptly reporting your information to the SEC.

Award Date: 15-Jan-2016
Award Amount: $700,000

In a first for the SEC’s Office of the Whistleblower, a whistleblower received a reward for conducting and providing an independent analysis that led to a successful SEC enforcement action. Perhaps the most interesting aspect of this award is that the whistleblower did not, in fact, work for the company. Instead, the whistleblower, referred to as an “industry expert,” reviewed publicly available data and was able to provide invaluable analysis and information to the SEC.

Award Date: 08-Mar-2016
Award Amount: $2,000,000

On March 8, 2016, the SEC awarded approximately $2 million to a group of three whistleblowers who provided information to the SEC. Though the SEC keeps confidential both the individuals who disclosed the information as well as the company against whom the enforcement action was made, it did release some interesting information that can help guide whistleblowers in the future. First, $1.8 million of the total reward was paid to a single whistleblower. The SEC determined that the “relative contribution” of this whistleblower’s information to the enforcement action was greater than the other two and warranted a greater reward. Second, and perhaps of even greater significance, the SEC denied altogether the reward to a fourth individual because it concluded that the whistleblower, himself, had made false representations to the SEC over a period of several years. This award underscores two important points. First, it is important to get your information into the SEC quickly but equally important to provide high quality information. Second, where the SEC determines that the whistleblower, himself, has engaged in fraudulent conduct, it is possible that the SEC will decline to issue him a reward.

Award Date: 17-Apr-2016
Award Amount: $275,000

On April 7, 2016, the SEC ordered that a whistleblower was to receive approximately $275,000 for information that she provided to the SEC which led to an enforcement action against an unidentified company. In an interesting turn of events, the SEC found that the whistleblower, herself, was intricately connected to the wrongdoing and liable in the same or a related matter. Accordingly, the SEC determined that, while it was going to issue the whistleblower a $275,000 reward, that amount would be offset by any unpaid amount that the whistleblower owed in connection to the other matter for which she was found to be liable.

Award Date: 13-May-2016
Award Amount: $3,500,000

On May 13, 2016, the SEC issued an award of $3.5 million to a whistleblower who, according to the SEC, helped to “bolster an ongoing investigation.” As stated by the Director of the SEC’s Division of Enforcement, Andrew Ceresney, “Whistleblowers can receive an award not only when their tip initiates an investigation, but also when they provide new information or documentation that advances an existing inquiry.”

Award Date: 17-May-2016
Award Amount: $5,000,000

In the third highest award to a whistleblower to date, the SEC announced on May 17, 2016, that it would provide a $5,000,000 to $6,000,000 award to an individual who, according to the SEC, “led the agency to uncover securities violations that would have been nearly impossible for it to detect but for the whistleblower’s information.” As with all other cases, the SEC, in an effort to protect the identity of its whistleblowers, does not provide information about the whistleblower or the company at issue.

Award Date: 20-May-2016
Award Amount: $450,000

On May 20, 2016, the SEC, in its third award of the week, awarded $450,000 to two individuals for their disclosures concerning an ongoing corporate accounting investigation. Particularly interesting with this award, the SEC noted that the two whistlelbowers provided “valuable assistance as [the SEC] proceeded with its investigation.” This shows that, once a whistleblower discloses information to the government, his or her role is not over. Often, the SEC will want to continue working with those whistleblowers and, in doing so, the whistleblowers may ultimately increase the amount of any reward that they receive.

Award Date: 09-Jun-2016
Award Amount: $17,000,000

On June 9, 2016, the SEC issued its second largest reward to date, providing $17 million to a whistleblower who helped the SEC by providing a “detailed tip substantially advanc[ing] the agency’s investigation and ultimate enforcement action.” As with other rewards, the SEC has kept secret the identity of both the company and the whistleblower.

Award Date: 30-Jun-2016
Award Amount: $22,500,000

On August 30, 2016, the SEC awarded a former executive from Monsanto $22.5 million for alerting the SEC to possible accounting violations related to the company’s weed-killer, Roundup. Interestingly, this is one of the few times where the SEC has disclosed the identity of the company alleged to have engaged in securities fraud.

Award Date: 14-Nov-2016
Award Amount: $20,000,000

On November 14, 2016, the SEC issued a $20 million award to a whistleblower who enabled the agency to secure “a near-total recovery” of investor funds. Though the SEC declined to identify the whistleblower, this shows how important it is to come forward with information quickly.

Award Date: 05-Dec-2016
Award Amount: $3,500,000

On December 5, 2016, the SEC continued its streak of providing whistleblowers with multi-million dollar rewards for information that leads to successful enforcement actions. In this case, the SEC awarded a whistleblower $3.5 million for coming forward with information. No additional information was provided by the SEC due to the SEC’s policy of protecting the identity of whistleblowers.

Award Date: 06-Jan-2017
Award Amount: $5,500,000

On January 6, 2017, the SEC showed that it was willing to be flexible in its interpretation of its own rules by providing a whistleblower with a $5.5 million reward despite the fact that the whistleblower did not provide his information in writing. This was an unusual case and should not be construed as giving would-be whistleblowers a green light to proceed without lodging written tips with the SEC. Rather, it shows that the SEC will act in accordance with the equities of a given case.

For more information about eligibility and how to collect a reward, please visit: Claim a Reward

Recent Enforcement Actions

Published date grouping	Notice No.	Action	Notice Date	Claim Due Date
Published date grouping:May 2023	Notice No.:2023-058 New	Action: SEC v. David J. Bunevacz, Mary Hayca Bunevacz, Caesarbrutus LLC, CB Holding Group Corp., and Brutus California Ventures Corp. Case Number: 22-cv-02284 (United States District Court for the Central District of California) Date Filed: April 5, 2022 Date of Qualifying Judgment/Order: April 4, 2023	Notice Date:05/31/2023	Claim Due Date:08/29/2023
Published date grouping:May 2023	Notice No.:2023-059 New	Action: SEC v. Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro Case Number: 14-cv-04346 (United States District Court for the Eastern District of California) Date Filed: July 17, 2014 Date of Qualifying Judgment/Order: March 31, 2023	Notice Date:05/31/2023	Claim Due Date:08/29/2023
Published date grouping:May 2023	Notice No.:2023-060 New	Action: SEC v. Martin Silver Case Number: 21-cv-03179 (United States District Court for the Southern District of New York) Date Filed: April 13, 2021 Date of Qualifying Judgment/Order: March 23, 2023	Notice Date:05/31/2023	Claim Due Date:08/29/2023
Published date grouping:May 2023	Notice No.:2023-061 New	Action: In the Matter of Chatham Asset Management, LLC, and Anthony Melchiorre Administrative Proceeding File No.: 3-21355 Date Filed: April 3, 2023 Date of Qualifying Judgment/Order: April 3, 2023	Notice Date:05/31/2023	Claim Due Date:08/29/2023
Published date grouping:May 2023	Notice No.:2023-062 New	Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Administrative Proceeding File No.: 3-21356 Date Filed: April 3, 2023 Date of Qualifying Judgment/Order: April 3, 2023	Notice Date:05/31/2023	Claim Due Date:08/29/2023
Published date grouping:May 2023	Notice No.:2023-063 New	Action: SEC v. Frank Okunak Case Number: 22-cv-06389 (United States District Court for the Southern District of New York) Date Filed: July 27, 2022 Date of Qualifying Judgment/Order: March 23, 2023	Notice Date:05/31/2023	Claim Due Date:08/29/2023
Published date grouping:May 2023	Notice No.:2023-064 New	Action: In the Matter of Betterment LLC Administrative Proceeding File No.: 3-21373 Date Filed: April 18, 2023 Date of Qualifying Judgment/Order: April 18, 2023	Notice Date:05/31/2023	Claim Due Date:08/29/2023
Published date grouping:April 2023	Notice No.:2023-037	Action: SEC v. Star Chain, Inc., and Timur Efe, a/k/a Omer Casurluk Case Number: 21-cv-03944 (United States District Court for the Northern District of Georgia) Date Filed: September 24, 2021 Date of Qualifying Judgment/Order: February 6, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-038	Action: SEC v. Mark J. Varacchi and Sentinel Growth Fund Management LLC Case Number: 17-cv-00155 (United States District Court for the District of Connecticut) Date Filed: February 2, 2017 Date of Qualifying Judgment/Order: February 7, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-039	Action: SEC v. Medsis International Inc., Joshua Dax Cabrera and Paul Hess Case Number: 21-cv-11356 (United States District Court for the District of Massachusetts) Date Filed: August 19, 2021 Date of Qualifying Judgment/Order: March 10, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-040	Action: SEC v. Candlestick Capital Management LP Case Number: 23-cv-00206 (United States District Court for the District of Connecticut) Date Filed: February 17, 2023 Date of Qualifying Judgment/Order: February 24, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-041	Action: SEC v. Bradley J. Moynes, Digatrade Financial Group Case Number: 22-cv-11006 (United States District Court for the District of Massachusetts) Date Filed: June 27, 2022 Date of Qualifying Judgment/Order: March 8, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-042	Action: In the Matter of Roadrunner Transportation Systems, Inc. Administrative Proceeding File No.: 3-21301 Date Filed: February 14, 2023 Date of Qualifying Judgment/Order: February 14, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-043	Action: SEC v. Phillip Hudnall, Todd Esh, Birddog Business Group, LLC, and Birddog Oil Equipment, LLC Case Number: 20-cv-00327 (United States District Court for the Western District of Missouri) Date Filed: April 23, 2020 Date of Qualifying Judgment/Order: March 27, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-044	Action: In the Matter of Foresight Wealth Management, LLC and Adam E. Nugent Administrative Proceeding File No.: 3-21312 Date Filed: February 27, 2023 Date of Qualifying Judgment/Order: February 27, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-045	Action: SEC v. John Barksdale and Jonatina L. Barksdale Case Number: 22-cv-01933 (United States District Court for the Southern District of New York) Date Filed: March 8, 2022 Date of Qualifying Judgment/Order: March 15, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-046	Action: In the Matter of Centaurus Financial, Inc., Ricky A. Mantei, and Atul Makharia Administrative Proceeding File No.: 3-21295 Date Filed: February 6, 2023 Date of Qualifying Judgment/Order: February 6, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-047	Action: SEC v. GexCrypto Corp. (a/k/a GexCrypto Global Trading Corp.) and Emiliano S. Ryn. Case Number: 23-cv-00191 (United States District Court for the District of Nevada) Date Filed: February 6, 2023 Date of Qualifying Judgment/Order: March 2, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-048	Action: In the Matter of Flutter Entertainment plc, as successor-in-interest to the Stars Group, Inc. Administrative Proceeding File No.: 3-21330 Date Filed: March 6, 2023 Date of Qualifying Judgment/Order: March 6, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-049	Action: In the Matter of Dxc Technology Company Administrative Proceeding File No.: 3-21342 Date Filed: March 14, 2023 Date of Qualifying Judgment/Order: March 14, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-050	Action: In the Matter of Equity Acquisition Company Ltd. and Carsten Klein Administrative Proceeding File No.: 3-21326 Date Filed: March 3, 2023 Date of Qualifying Judgment/Order: March 3, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-051	Action: In the Matter of Daniel J. Mackle, Sr. and Silver Edge Financial LLC Administrative Proceeding File No.: 3-21325 Date Filed: March 3, 2023 Date of Qualifying Judgment/Order: March 3, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-052	Action: SEC v. Payward Ventures, Inc. (d/b/a Kraken); and Payward Trading, Ltd. (d/b/a Kraken) Case Number: 23-cv-00588 (United States District Court for the Northern District of California) Date Filed: February 9, 2023 Date of Qualifying Judgment/Order: February 13, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-053	Action: In the Matter of Rio Tinto Plc Administrative Proceeding File No.: 3-21335 Date Filed: March 6, 2023 Date of Qualifying Judgment/Order: March 6, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-054	Action: SEC v. Patrick Jevon Johnson, Charles Everett (aka Charly Everett), Frank Ekejija, and NVC Fund, LLC. Case Number: 20-cv-08985 (United States District Court for the Central District of California) Date Filed: September 30, 2020 Date of Qualifying Judgment/Order: March 22, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:April 2023	Notice No.:2023-055	Action: In the Matter of Blackbaud, Inc. Administrative Proceeding File No.: 3-21339 Date Filed: March 9, 2023 Date of Qualifying Judgment/Order: March 9, 2023	Notice Date:04/28/2023	Claim Due Date:07/27/2023
Published date grouping:March 2023	Notice No.:2023-024	Action: SEC v. Charlie Abujudeh Case Number: 21-cv-04110 (United States District Court for the Eastern District of New York) Date Filed: July 22, 2021 Date of Qualifying Judgment/Order: January 20, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-025	Action: In the Matter of Moors & Cabot, Inc. Administrative Proceeding File No.: 3-21282 Date Filed: January 19, 2023 Date of Qualifying Judgment/Order: January 19, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-026	Action: In the Matter of The Options Clearing Corporation Administrative Proceeding File No.: 3-21304 Date Filed: February 16, 2023 Date of Qualifying Judgment/Order: February 16, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-027	Action: SEC v. Edward E. Matthes Case Number: 20-cv-00125 (United States District Court for the Eastern District of Wisconsin) Date Filed: January 28, 2020 Date of Qualifying Judgment/Order: February 2, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-028	Action: In the Matter of Activision Blizzard, Inc. Administrative Proceeding File No.: 3-21294 Date Filed: February 3, 2023 Date of Qualifying Judgment/Order: February 3, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-029	Action: SEC v. Duncan J. Macdonald, III and Gloria Solomon Case Number: 13-cv-02275 (United States District Court for the Northern District of Texas) Date Filed: June 17, 2013 Date of Qualifying Judgment/Order: February 6, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-031	Action: In the Matter of Gentex Corporation and Kevin C. Nash Administrative Proceeding File No.: 3-21296 Date Filed: February 7, 2023 Date of Qualifying Judgment/Order: February 7, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-032	Action: SEC v. Back to Green Mining, LLC, Jose M. Jimenez Cruz, Manuel Portalatin Case Number: 21-cv-01455 (United States District Court for the Central District of Puerto Rico) Date Filed: September 21, 2021 Date of Qualifying Judgment/Order: February 22, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-033	Action: In the Matter of Nexo Capital Inc. Administrative Proceeding File No.: 3-21281 Date Filed: January 19, 2023 Date of Qualifying Judgment/Order: January 19, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-034	Action: SEC v. Derek J. Slattery and Tradesmart Software Ric Corporation Case Number: 22-cv-00715 (United States District Court for the District of Nevada) Date Filed: May 4, 2022 Date of Qualifying Judgment/Order: February 8, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-035	Action: In the Matter of Paul Anthony Pierce Administrative Proceeding File No.: 3-21305 Date Filed: February 17, 2023 Date of Qualifying Judgment/Order: February 17, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:March 2023	Notice No.:2023-036	Action: In the Matter of Ensign Peak Advisors, Inc., and The Church of Jesus Christ of Latter-Day Saints Administrative Proceeding File No.: 3-21306 Date Filed: February 21, 2023 Date of Qualifying Judgment/Order: February 21, 2023	Notice Date:03/31/2023	Claim Due Date:06/29/2023
Published date grouping:February 2023	Notice No.:2023-008	Action: In the Matter of Bloomberg Financial L.P. Administrative Proceeding File No: 3-21284 Date Filed: January 23, 2023 Date of Qualifying Judgment/Order: January 23, 2023	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-009	Action: SEC v. Michael A. Liberty, Brittany Liberty, Paul Hess, Richard Liberty, George Marcus, Esq, Mozido Invesco, LLC, Family Mobile, LLC, Brtmdo, LLC, Brentwood Financial, LLC, and TL Holdings Group, LLC Case Number: 18-cv-00139 (United States District Court for the District of Maine) Date Filed: March 30, 2018 Date of Qualifying Judgment/Order: December 23, 2022	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-010	Action: SEC v. Conrad A. Coggeshall Case Number: 19-cv-05667 (United States District Court for Arizona) Date Filed: November 22, 2019 Date of Qualifying Judgment/Order: December 19, 2022	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-011	Action: SEC v. Jason P. Wooten, Ronald Frank Stevenson, Family Tree Estate Planning, LLC, and American Financial Security, LLC Case Number: 21-cv-00482 (United States District Court for the District of Arizona) Date Filed: March 22, 2021 Date of Qualifying Judgment/Order: January 5, 2023	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-012	Action: SEC v. Michael W. Ackerman Case Number: 20-cv-01181 (United States District Court for the Southern District of New York) Date Filed: February 11, 2020 Date of Qualifying Judgment/Order: December 20, 2022	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-013	Action: SEC v. Carlos Pingarron Case Number: 22-cv-22143 (United States District Court for the Southern District of Florida) Date Filed: July 13, 2022 Date of Qualifying Judgment/Order: December 19, 2022	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-014	Action: SEC v. Carlos Sorondo Case Number: 22-cv-22144 (United States District Court for the Southern District of Florida) Date Filed: July 13, 2022 Date of Qualifying Judgment/Order: December 28, 2022	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-015	Action: SEC v. The Lifepay Group Group, LLC; Smdre, LLC; Clifton E. Stanley; and Michael E. Watts Case Number: 18-cv-01098 (United States District Court for the Southern District of Texas) Date Filed: April 6, 2018 Date of Qualifying Judgment/Order: December 19, 2022	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-016	Action: SEC v. Spot Tech House, Ltd; formerly known as, Spot Option Ltd; Malhaz Pinhas Patarkazishvili, also known as Pini Peter and Pinhas Peter, and Ran Amiran Case Number: 21-cv-00632 (United States District Court for Nevada) Date Filed: April 16, 2021 Date of Qualifying Judgment/Order: January 6, 2023	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-017	Action: SEC v. Justin W. Keener d/b/a JMJ Financial Case Number: 20-cv-21254 (United States District Court for the Southern District of Florida) Date Filed: March 24, 2020 Date of Qualifying Judgment/Order: December 20, 2022	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-018	Action: In the Matter of Stephen J. Easterbrook and McDonald's Corporation Administrative Proceeding File No: 3-21269 Date Filed: January 9, 2023 Date of Qualifying Judgment/Order: January 9, 2023	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-019	Action: SEC v. Jason Sugarman Case Number: 19-cv-05998 (United States District Court for the Southern District of New York) Date Filed: June 26, 2019 Date of Qualifying Judgment/Order: January 10, 2023	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-020	Action: SEC v. Gregory Altieri Case Number: 20-cv-06343 (United States District Court for the Eastern District of New York) Date Filed: December 30, 2020 Date of Qualifying Judgment/Order: January 5, 2023	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-021	Action: SEC v. Archer Capital Management Group, Archer Growth Fund, Hdr Management LLC, and Silvermoon Group LLC Case Number: 22-cv-61632 (United States District Court for the Eastern District of New York) Date Filed: September 1, 2022 Date of Qualifying Judgment/Order: January 12, 2023	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-022	Action: SEC v. S-Ray Incorporated and Stephen Alexander Baird Case Number: 22-cv-05150 (United States District Court for the Western District of Washington) Date Filed: March 15, 2022 Date of Qualifying Judgment/Order: January 6, 2023	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:February 2023	Notice No.:2023-023	Action: SEC v. Danske Bank A/S Case Number: 22-cv-10509 (United States District Court for the Southern District of New York) Date Filed: December 13, 2022 Date of Qualifying Judgment/Order: December 16, 2022	Notice Date:02/28/2023	Claim Due Date:05/29/2023
Published date grouping:January 2023	Notice No.:2023-001	Action: SEC v. Anthony Michael Holland Case Number: 22-cv-00590 (United States District for the Western District of Texas) Date Filed: June 16, 2022 Date of Qualifying Judgment/Order: December 15, 2022	Notice Date:01/31/2023	Claim Due Date:05/01/2023
Published date grouping:January 2023	Notice No.:2023-002	Action: SEC v. John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC Case Number: 21-cv-03413 (United States District Court for the Northern District of Georgia) Date Filed: August 20, 2021 Date of Qualifying Judgment/Order: November 14, 2022	Notice Date:01/31/2023	Claim Due Date:05/01/2023
Published date grouping:January 2023	Notice No.:2023-003	Action: SEC v. Eric T. Landis and Ridgeview Capital Partners, LLC Case Number: 18-cv-12453 (United States District Court for the District of Massachusetts) Date Filed: November 28, 2018 Date of Qualifying Judgment/Order: December 5, 2022	Notice Date:01/31/2023	Claim Due Date:05/01/2023
Published date grouping:January 2023	Notice No.:2023-004	Action: SEC v. Joseph Boulos Case Number: 22-cv-22142 (United States District Court for the Southern District of Florida) Date Filed: July 13, 2022 Date of Qualifying Judgment/Order: December 14, 2022	Notice Date:01/31/2023	Claim Due Date:05/01/2023
Published date grouping:January 2023	Notice No.:2023-005	Action: In the Matter of ABB Ltd. Administrative Proceeding File No: 3-21248 Date Filed: December 3, 2022 Date of Qualifying Judgment/Order: December 3, 2022	Notice Date:01/31/2023	Claim Due Date:05/01/2023
Published date grouping:January 2023	Notice No.:2023-006	Action: In the Matter of Honeywell International, Inc. Administrative Proceeding File No: 3-21255 Date Filed: December 19, 2022 Date of Qualifying Judgment/Order: December 19, 2022	Notice Date:01/31/2023	Claim Due Date:05/01/2023
Published date grouping:January 2023	Notice No.:2023-007	Action: SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black Case Number: 21-cv-01951 (United States District Court for the Southern District of New York) Date Filed: March 5, 2021 Date of Qualifying Judgment/Order: December 5, 2022	Notice Date:01/31/2023	Claim Due Date:05/01/2023
Published date grouping:December 2022	Notice No.:2022-156	Action: SEC v. Taronis Technologies, Inc. (n/k/a BBHC, Inc.), Taronis Fuels, Inc., Scott David Mahoney and Tyler Burnett Wilson Case Number: 22-cv-01939 (United States District Court for the District of Florida) Date Filed: August 24, 2022 Date of Qualifying Judgment/Order: November 2, 2022	Notice Date:12/30/2022	Claim Due Date:03/30/2023
Published date grouping:December 2022	Notice No.:2022-157	Action: In the Matter of S&P Global Ratings Administrative Proceeding File No.: 3-21240 Date Filed: November 14, 2022 Date of Qualifying Judgment/Order: November 14, 2022	Notice Date:12/30/2022	Claim Due Date:03/30/2023
Published date grouping:December 2022	Notice No.:2022-158	Action: In the Matter of Koppers Holdings Inc. Administrative Proceeding File No.: 3-21223 Date Filed: November 1, 2022 Date of Qualifying Judgment/Order: November 1, 2022	Notice Date:12/30/2022	Claim Due Date:03/30/2023
Published date grouping:December 2022	Notice No.:2022-159	Action: SEC v. Jonathan William Mikula, Christian Fernandez, Amit Raj Beri, Sway Energy Corporation, Avtar Singh Dhillon, Emerald Health Pharmaceuticals Inc., and James M. Demesa Case Number: 22-cv-07096 (United States District Court for the District of California) Date Filed: September 30, 2022 Date of Qualifying Judgment/Order: October 21, 2022	Notice Date:12/30/2022	Claim Due Date:03/30/2023
Published date grouping:December 2022	Notice No.:2022-160	Action: SEC v. Roger Nils-Jonas Karlsson (a/k/a Euclid Diodorus, Steve Heyden, Joshua Millard, and Lars Georgsson) Case Number: 20-cv-04615 (United States District Court for the Eastern District of New York) Date Filed: June 30, 2021 Date of Qualifying Judgment/Order: October 31, 2022	Notice Date:12/30/2022	Claim Due Date:03/30/2023
Published date grouping:December 2022	Notice No.:2022-161	Action: In the Matter of Goldman Sachs Asset Management, L.P. Administrative Proceeding File No.: 3-21245 Date Filed: November 22, 2022 Date of Qualifying Judgement/Order: November 22, 2022	Notice Date:12/30/2022	Claim Due Date:03/30/2023
Published date grouping:December 2022	Notice No.:2022-162	Action: SEC v. William Sadleir Case Number: 20-cv-03997 (United States District Court for the Southern District of New York) Date Filed: May 22. 2022 Date of Qualifying Judgment/Order: November 28, 2022	Notice Date:12/30/2022	Claim Due Date:03/30/2023
Published date grouping:December 2022	Notice No.:2022-163	Action: SEC v. Donald G. Blakstad, Martha Patricia Bustos, and Robert J. Maron Case Number: 19-cv-06387 (United States District Court for the Southern District of New York) Date Filed: August 30, 2021 Date of Qualifying Judgment/Order: November 21, 2022	Notice Date:12/30/2022	Claim Due Date:03/30/2023
Published date grouping:November 2022	Notice No.:2022-138	Action: In the Matter of RSM US LLP Administrative Proceeding File No.: 3-21183 Date Filed: September 30, 2022 Date of Qualifying Judgment/Order: September 30, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-139	Action: In the Matter of Friedman LLP Administrative Proceeding File No.: 3-21142 Date Filed: September 23, 2022 Date of Qualifying Judgment/Order: September 23, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-140	Action: SEC v. Cetera Advisors LLC and Cetera Advisor Networks LLC Case Number: 19-cv-02461 (United States District Court for the District of Colorado) Date Filed: October 11, 2019 Date of Qualifying Judgment/Order: October 13, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-141	Action: SEC v. Ramiro Jose Sugranes UCB Financial Advisers, Inc. and USB Financial Services Limited Case Number: 21-cv-22152 (United States District Court for the Southern District of Florida) Date Filed: June 10, 2021 Date of Qualifying Judgment/Order: October 3, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-142	Action: SEC v. Property Income Investors LLC, Equinox Holdings Inc., Property Income Investors 26 LLC, Property Income Investors 304 LLC, Property Income Investors 201 LLC, Property Income Investors 3504 LLC, Property Income Investors 1361 LLC, Property Income Investors 4020 LLC, Property Income Investors 9007 LLC, Property Income Investors 417 LLC, Property Income Investors 4450 LLC, Property Income Investors 3050 LLC, Larry B. Broman, and Anthony Nicolosi (f/k/a Anthony Peluso) Case Number: 21-cv-61176 (United States District for the Southern District of Florida) Date Filed: June 7, 2021 Date of Qualifying Judgment/Order: October 4, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-143	Action: SEC v. Joseph Salvatore Devito (a/k/a Salvatore Devito) and Dean Anthony Esposito (a/k/a Dean Anthony) Case Number: 22-cv-60733 (United States District for the Southern District of Florida) Date Filed: April 13, 2022 Date of Qualifying Judgment/Order: October 3, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-144	Action: In the Matter of Oracle Corporation Administrative Proceeding File No.: 3-21158 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-145	Action: In the Matter of Deloitte Touche Tohmatsu Certified Public Accountants, LLP Administrative Proceeding File No.: 3-21178 Date Filed: September 29, 2022 Date of Qualifying Judgment/Order: September 29, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-146	Action: In the Matter of Mattel, Inc. Administrative Proceeding File No.: 3-21213 Date Filed: October 21, 2022 Date of Qualifying Judgment/Order: October 21, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-147	Action: In the Matter of Cemtrex Inc., and Saagar Govil Administrative Proceeding File No.: 3-21189 Date Filed: September 30, 2022 Date of Qualifying Judgment/Order: September 30, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-148	Action: SEC v. Lev Parnas and David Correia Case Number: 21-cv-00995 (United States District Court for the Southern District of New York) Date Filed: February 4, 2021 Date of Qualifying Judgment/Order: October 11, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-149	Action: In the Matter of Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc., and DWS Distributors, Inc. Administrative Proceeding File No.: 3-21173 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-150	Action: In the Matter of Cantor Fitzgerald & Co. Administrative Proceeding File No.: 3-21172 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-151	Action: In the Matter of Jefferies LLC Administrative Proceeding File No.: 3-21168 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-152	Action: In the Matter of Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney LLC Administrative Proceeding File No.: 3-21169 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-153	Action: In the Matter of Kimberly Kardashian Administrative Proceeding File No.: 3-21197 Date Filed: October 3, 2022 Date of Qualifying Judgment/Order: October 3, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-154	Action: In the Matter of Barclays PLC and Barclays Bank PLC Administrative Proceeding File No.: 3-21181 Date Filed: September 29, 2022 Date of Qualifying Judgment/Order: September 29, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:November 2022	Notice No.:2022-155	Action: SEC v. Alexander Bevil, Richard McCall Bohnsack, Daniel Thomas Broyles, Charles Cary Davis, William James Roth, Glenn Joseph Story, and Harold Wasserman Case Number: 19-cv-00590 (United States District Court for the District of Nevada) Date Filed: April 8, 2019 Date of Qualifying Judgment/Order: September 30, 2022	Notice Date:11/30/2022	Claim Due Date:02/28/2023
Published date grouping:October 2022	Notice No.:2022-119	Action: In the Matter of Sparkster, Ltd., and Sajjad Daya Administrative Proceeding File No.: 3-21103 Date Filed: September 19, 2022 Date of Qualifying Judgment/Order: September 19, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-112	Action: SEC v. Swapnil J. Rege and SwapStar Capital, LLC Case Number: 21-cv-19313 (United States District Court of New Jersey) Date Filed: October 26, 2021 Date of Qualifying Judgment/Order: August 23, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-113	Action: SEC v. Hartman Wright Group, LLC and Tytus W. Harkins Case Number: 19-cv-02418 (United States District Court for the District of Colorado) Date Filed: August 26, 2019 Date of Qualifying Judgment/Order: September 7, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-114	Action: In the Matter of GOL Linhas Aereas Inteligentes S.A. a/k/a GOL Intelligent Airlines Inc. Administrative Proceeding File No.: 3-21094 Date Filed: September 15, 2022 Date of Qualifying Judgment/Order: September 15, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-115	Action: SEC v. DeAndre P. Sears and Masears LLC d/b/a Picasso Group Case Number: 20-cv-03114 (United States District Court Middle District of Florida) Date Filed: December 31, 2020 Date of Qualifying Judgment/Order: August 11, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-116	Action: SEC v. GreneCo, LLC, Gene D. Larson, Gregory K. Womack, and Womack Investment Advisors, Inc. Case Number: 22-cv-00673 (United States District Court for the Western District of Oklahoma) Date Filed: August 8, 2022 Date of Qualifying Judgment/Order: August 15, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-117	Action: In the Matter of Hudson Advisors, L.P. and Lone Star Global Acquisitions, Ltd. Administrative Proceeding File No.: 3-21062 Date Filed: September 12, 2022 Date of Qualifying Judgment/Order: September 12, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-118	Action: In the Matter of Compass Minerals International, Inc. Administrative Proceeding File No.: 3-21145 Date Filed: September 23, 2022 Date of Qualifying Judgment/Order: September 23, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-120	Action: In the Matter of VMware, Inc. Administrative Proceeding File No.: 3-21065 Date Filed: September 12, 2022 Date of Qualifying Judgment/Order: September 12, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-121	Action: SEC v. Premier Links, Inc., Dwayne Malloy, Chris Damon, Theirry Ruffin a/k/a Theirry Regan Case Number: 14-cv-07375 (United States District Court for the Eastern District of New York) Date Filed: December 18, 2014 Date of Qualifying Judgment/Order: September 16, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-122	Action: SEC v. David Hu Case Number: 20-cv-05496 (United States District Court for the Southern District of New York) Date Filed: July 17, 2020 Date of Qualifying Judgment/Order: September 22, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-123	Action: In the Matter of The Boeing Company Administrative Proceeding File No.: 3-21140 Date Filed: September 22, 2022 Date of Qualifying Judgment/Order: September 22, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-124	Action: SEC v. Scott Adam Brander Case Number: 22-cv-05506 (United States District Court for the District of New Jersey) Date Filed: September 12, 2022 Date of Qualifying Judgment/Order: September 14, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-125	Action: In the Matter of Morgan Stanley Smith Barney LLC Administrative Proceeding File No.: 3-21112 Date Filed: September 20, 2022 Date of Qualifying Judgment/Order: September 20, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-126	Action: In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-21164 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-127	Action: In the Matter of BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated Administrative Proceeding File No.: 3-21166 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-128	Action: In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-21171 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-129	Action: In the Matter of Citigroup Global Markets Inc. Administrative Proceeding File No.: 3-21165 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-130	Action: In re Goldman Sachs & Co. LLC Administrative Proceeding File No.: 3-21167 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-131	Action: In the Matter of Nomura Securities International, Inc. Administrative Proceeding File No.: 3-21170 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-132	Action: In the Matter of UBS Financial Services, Inc. and UBS Securities, LLC Administrative Proceeding File No.: 3-21174 Date Filed: September 27, 2022 Date of Qualifying Judgment/Order: September 27, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-133	Action: SEC v. Kevin B. Merrill; Jay B. Ledford; Cameron R. Jezierski; Global Credit Recovery, LLC; Delmarva Capital, LLC; Rhino Capital Group, LLC; Deville Asset Management Ltd; and Riverwalk Financial Corporation Case Number: 18-cv-02844 (United States District Court for the District of Maryland) Date Filed: September 13, 2018 Date of Qualifying Judgment/Order: August 31, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-134	Action: SEC v. Ambassadors Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young Case Number: 20-cv-02274 (United States District Court for the Eastern District of Pennsylvania) Date Filed: May 13, 2020 Date of Qualifying Judgment/Order: September 7, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-135	Action: In the Matter of Perceptive Advisors LLC Administrative Proceeding File No.: 3-21031 Date Filed: September 6, 2022 Date of Qualifying Judgment/Order: September 6, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-136	Action: SEC v. Granite Construction Inc. Case Number: 22-cv-04857 (United States District Court for the Northern District of California) Date Filed: August 25, 2022 Date of Qualifying Judgment/Order: September 9, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:October 2022	Notice No.:2022-137	Action: SEC v. Gaylen Dean Rust and Rust Rare Coin, Inc. Case Number: 18-cv-00147 (United States District Court for the District of Utah) Date Filed: November 15, 2018 Date of Qualifying Judgment/Order: May 19, 2022	Notice Date:10/31/2022	Claim Due Date:01/29/2023
Published date grouping:September 2022	Notice No.:2022-096	Action: SEC v. Naseem Salamah Mohammed Case Number: 21-cv-50371 (United States District Court for the Southern District of Illinois) Date Filed: September 28, 2021 Date of Qualifying Judgment/Order: July 6, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-097	Action: SEC v. German Nino Case Number: 22-cv-60162 (United States District Court for the Southern District of Florida) Date Filed: January 21, 2022 Date of Qualifying Judgment/Order: August 2, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-098	Action: SEC v. William J. Milles, Jr., and Donald J. Lutzko Case Number: 19-cv-00714 (United States District Court for the Western District of Texas) Date Filed: July 17, 2019 Date of Qualifying Judgment/Order: July 18, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-099	Action: SEC v. Victor Lee Farias and Integrity Aviation & Leasing, LLC Case Number: 20-cv-00885 (United States District Court for the Western District of Texas) Date Filed: July 30, 2020 Date of Qualifying Judgment/Order: August 1, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-100	Action: In the Matter of Aegis Capital Corp. Administrative Proceeding File No.: 3-20940 Date Filed: July 28, 2022 Date of Qualifying Judgment/Order: July 28, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-101	Action: In the Matter of Eagle Bancorp., Inc. Administrative Proceeding File No.: 3-20963 Date Filed: August 16, 2022 Date of Qualifying Judgment/Order: August 16, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-102	Action: In the Matter of Surgalign Holdings, Inc., and Robert P. Jordheim Administrative Proceeding File No.: 3-20945 Date Filed: August 3, 2022 Date of Qualifying Judgment/Order: August 3, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-103	Action: SEC v. Crown Bridge Partners, LLC, Soheil Ahdoot, and Sepas Adhoot Case Number: 22-cv-06537 (United States District Court for the Southern District of New York) Date Filed: August 2, 2022 Date of Qualifying Judgment/Order: August 9, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-104	Action: In the Matter of J.P. Morgan Securities, LLC Administrative Proceeding File No.: 3-20936 Date Filed: July 27, 2022 Date of Qualifying Judgment/Order: July 27, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-105	Action: In the Matter of Bancorp., Inc. Administrative Proceeding File No.: 3-20997 Date Filed: August 24, 2022 Date of Qualifying Judgment/Order: August 24, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-106	Action: In the Matter of Angel Oak Capital Advisors, LLC and Ashish Negandhi Administrative Proceeding File No.: 3-20953 Date Filed: August 10, 2022 Date of Qualifying Judgment/Order: August 10, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-107	Action: In the Matter of Deccan Value Investors, LP and Vinit Bodas Administrative Proceeding File No.: 3-20944 Date Filed: August 3, 2022 Date of Qualifying Judgment/Order: August 3, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-108	Action: SEC v. Sergei Polevikov and Maryna Arystava Case Number: 21-cv-07925 (United States District Court for the Southern District of New York) Date Filed: September 23, 2021 Date of Qualifying Judgment/Order: July 29, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-109	Action: SEC v. Christopher D. Dougherty; C&D Professional Services, Inc. dba C&N Wealth Management; JTA Farm Enterprises, LLC; and JTA Real Estate Holdings, LLC Case Number: 19-cv-00769 (United States District Court for the Southern District of California) Date Filed: April 26, 2019 Date of Qualifying Judgment/Order: August 19, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-110	Action: SEC v. Aron Govil Case Number: 21-cv-06150 (United States District Court for the Southern District of New York) Date Filed: July 19, 2021 Date of Qualifying Judgment/Order: July 5, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:September 2022	Notice No.:2022-111	Action: SEC v. Shimon Rosenfeld Case Number: 21-cv-03902 (United States District Court for the Eastern District of New York) Date Filed: July 12, 2021 Date of Qualifying Judgment/Order: July 5, 2022	Notice Date:09/30/2022	Claim Due Date:12/29/2022
Published date grouping:August 2022	Notice No.:2022-083	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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-084	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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-085	Action: SEC v. NIT Enterprises, Inc. (Delaware), NIT Enterprises, Inc. (Florida), NIT Enterprises FL, Inc., Gary R. Smith, Jason M. Ganton, and James E. Cleary 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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-086	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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-087	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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-088	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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-089	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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-090	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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-091	Action: SEC v. Matthew J. Skinner, Empire West Equity, Inc., Longacre Estates, LP, Bayside Equity, LP, Freedom Equity Fund LLC, and Simple Growth, LLC 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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-092	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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-093	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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-094	Action: In the Matter of Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc. Administrative Proceeding File No.: 3-20897 Date Filed: June 13, 2022 Date of Qualifying Judgment/Order: June 13, 2022	Notice Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:August 2022	Notice No.:2022-095	Action: SEC v. Alex Duain Forester; Michael Robert Hicks; Yarden Moshe Mony Krampf; Christopher Byungin Lee; Sean Andrew O'Neal, Michael Roy Raynor; Lee Sobel 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 Date:08/31/2022	Claim Due Date:11/29/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 2022	Notice No.:2022-066	Action: SEC v. Shuang Chen, Lirong Gao, Jing Guan, Tonghu Jia, Xuejie Jia, Vicky Liu, Shun Sui, Lujun Sun, Huailong Wang, Jiadong Wang, Jiafeng Want, Jiali Want, Xiaosong Wang, Linlin Wu, Lin Xing, Yong Yan, Jiancheng Zhao, and Forrest (HK) Co., Limited Case Number: 19-cv-12127 (United States District Court for the District of Massachusetts) Date Filed: October 15, 2019 Date of Qualifying Judgment/Order: June 9, 2022	Notice Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:July 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 Date:07/29/2022	Claim Due Date:10/27/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:June 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 Date:06/30/2022	Claim Due Date:09/28/2022
Published date grouping:May 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 Northern District of Georgia) Date Filed: December 26, 2018 Date of Qualifying Judgment/Order: April 18, 2022	Notice Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:May 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 Date:05/31/2022	Claim Due Date:08/29/2022
Published date grouping:April 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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:April 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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:April 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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:April 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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:April 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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:April 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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:April 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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:April 2022	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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:April 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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:April 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 Date:04/29/2022	Claim Due Date:07/28/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 2022	Notice No.:2022-024	Action: SEC v. Complete Business Solutions Group, Inc. d/b/a Par Funding, Full Spectrum Processing, Inc. ABetterFinancialPlan.com LLC d/b/a A Better Financial Plan, ABFP Management Company, LLC, f/k/a Pillar Life Settlement Management Company, LLC, ABFP Income Fund, LLC, ABFP Income Fund 2, L.P., United Fidelis Group Corp., Fidelis Financial Planning LLC, Retirement Evolution Group, LLC, Reirement Evolution Income Fund, LLC, f/k/a Re Income Fund, LLC, Re Income Fund 2, LLC, Lisa McElhone, Joseph Cole Barleta, a/k/a Joe Cole, Joseph W. LaForte, a/k/a Joe Mack, a/k/a Joe Macki, a/k/a Joe McElhone, Perry S. Abbonizio, Dean J. Vagnozzi, Michael C. Furman, and John Gissas Case Number: 20-cv-81205 (United States District Court for the Southern District of Florida) Date Filed: July 24, 2020 Date of Qualifying Judgment/Order: February 25, 2022	Notice Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:March 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 Date:03/31/2022	Claim Due Date:06/29/2022
Published date grouping:February 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 Date:02/28/2022	Claim Due Date:05/29/2022
Published date grouping:February 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 Date:02/28/2022	Claim Due Date:05/29/2022
Published date grouping:February 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 Date:02/28/2022	Claim Due Date:05/29/2022
Published date grouping:February 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 Date:02/28/2022	Claim Due Date:05/29/2022
Published date grouping:February 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 Date:02/28/2022	Claim Due Date:05/29/2022
Published date grouping:January 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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	Notice No.:2022-004	Action: SEC v. Robert Samuel Shumake, Jr., Willard L. Jackson, Nicole T. Birch, 420 Real Estate, LLC, Vicent Petrescu aka Vincent Petrescu, and TruCrow, Inc. dba Fundanna 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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	Notice No.:2022-008	Action: SEC v. Peter Baker, Prestige Global Trading, Ltd., Elizabeth Oharriz, Diversified Initiatives Consulting & Logistics, Inc., and Sienna Business Group, Inc. 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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:January 2022	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 Date:01/31/2022	Claim Due Date:05/01/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:December 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 Date:12/30/2021	Claim Due Date:03/30/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:November 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 Date:11/30/2021	Claim Due Date:02/28/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:October 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 Date:10/29/2021	Claim Due Date:01/27/2022
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:September 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 Date:09/30/2021	Claim Due Date:12/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:August 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 Date:08/31/2021	Claim Due Date:11/29/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 2021	Notice No.:2021-066	Action: SEC v. The Owings Group, LLC, Owings-1, LLC, Owings Capital Group, LLC, Owings Capital Funds, LLC, Mark Johnson, Kevin Drost, Brian Koslow, David Waltzer 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:July 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 Date:07/30/2021	Claim Due Date:10/28/2021
Published date grouping:June 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 Date:06/30/2021	Claim Due Date:09/28/2021
Published date grouping:June 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 Date:06/30/2021	Claim Due Date:09/28/2021
Published date grouping:June 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 Date:06/30/2021	Claim Due Date:09/28/2021
Published date grouping:June 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 Date:06/30/2021	Claim Due Date:09/28/2021
Published date grouping:June 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 Date:06/30/2021	Claim Due Date:09/28/2021
Published date grouping:June 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 Date:06/30/2021	Claim Due Date:09/28/2021
Published date grouping:May 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 Date:05/31/2021	Claim Due Date:08/29/2021
Published date grouping:May 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 Date:05/31/2021	Claim Due Date:08/29/2021
Published date grouping:May 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 Date:05/31/2021	Claim Due Date:08/29/2021
Published date grouping:May 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 Date:05/31/2021	Claim Due Date:08/29/2021
Published date grouping:May 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 Date:05/31/2021	Claim Due Date:08/29/2021
Published date grouping:May 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 Date:05/31/2021	Claim Due Date:08/29/2021
Published date grouping:May 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 Date:05/31/2021	Claim Due Date:08/29/2021
Published date grouping:April 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 Date:04/30/2021	Claim Due Date:07/29/2021
Published date grouping:April 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 Date:04/30/2021	Claim Due Date:07/29/2021
Published date grouping:April 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 Date:04/30/2021	Claim Due Date:07/29/2021
Published date grouping:April 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 Date:04/30/2021	Claim Due Date:07/29/2021
Published date grouping:April 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 Date:04/30/2021	Claim Due Date:07/29/2021
Published date grouping:April 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 Date:04/30/2021	Claim Due Date:07/29/2021
Published date grouping:April 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 Date:04/30/2021	Claim Due Date:07/29/2021
Published date grouping:April 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 Date:04/30/2021	Claim Due Date:07/29/2021
Published date grouping:April 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 Date:04/30/2021	Claim Due Date:07/29/2021
Published date grouping:March 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 Date:03/31/2021	Claim Due Date:06/29/2021
Published date grouping:March 2021	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 Date:03/31/2021	Claim Due Date:06/29/2021
Published date grouping:March 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 Date:03/31/2021	Claim Due Date:06/29/2021
Published date grouping:March 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 Date:03/31/2021	Claim Due Date:06/29/2021
Published date grouping:March 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 Date:03/31/2021	Claim Due Date:06/29/2021
Published date grouping:March 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 Date:03/31/2021	Claim Due Date:06/29/2021
Published date grouping:March 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 Date:03/31/2021	Claim Due Date:06/29/2021
Published date grouping:March 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 Date:03/31/2021	Claim Due Date:06/29/2021
Published date grouping:March 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 Date:03/31/2021	Claim Due Date:06/29/2021
Published date grouping:February 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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	Notice No.:2021-017	Action: In the Matter of Covia Holdings Corp, and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC Administrative Proceeding File No.: 3-20163 Date Filed: December 8, 2020 Date of Qualifying Judgment / Order: December 8, 2020	Notice Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:February 2021	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 Date:02/26/2021	Claim Due Date:05/27/2021
Published date grouping:January 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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	Notice No.:2021-007	Action: In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. Administrative Proceeding File No.: 3-20173 Date Filed: December 17, 2020 Date of Qualifying Judgment / Order: December 17, 2020	Notice Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	Notice No.:2021-002	Action: SEC v. Nelson Gomes, Michael Luckhoo-Bouche, Shane Schmidt, Douglas Roe, Kelly Warawa, FFS Capital Limited, Paifang Trading Limited, Artefactor Limited, Atlantean Management Corporation, Meadow Asia Limited, and Thyme International Limited 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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:January 2021	Notice No.:2021-001	Action: SEC v. Scana Corporation, Dominion Energy South Carolina, Inc (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Bryne 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 Date:01/29/2021	Claim Due Date:04/29/2021
Published date grouping:December 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 Date:12/31/2020	Claim Due Date:03/31/2021
Published date grouping:December 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 Date:12/31/2020	Claim Due Date:03/31/2021
Published date grouping:December 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 Date:12/31/2020	Claim Due Date:03/31/2021
Published date grouping:December 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 Date:12/31/2020	Claim Due Date:03/31/2021
Published date grouping:December 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 Date:12/31/2020	Claim Due Date:03/31/2021
Published date grouping:December 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 Date:12/31/2020	Claim Due Date:03/31/2021
Published date grouping:December 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 Date:12/31/2020	Claim Due Date:03/31/2021
Published date grouping:December 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 Date:12/31/2020	Claim Due Date:03/31/2021
Published date grouping:December 2020	Notice No.:2020-145	Action: Commission Deferred Prosecution Agreement with Tenaris, S.A. Date: May 17, 2011	Notice Date:12/07/2020	Claim Due Date:03/07/2021
Published date grouping:December 2020	Notice No.:2020-144	Action: Commission Deferred Prosecution Agreement with The PBSJ Corporation Date: January 21, 2015	Notice Date:12/07/2020	Claim Due Date:03/07/2021
Published date grouping:December 2020	Notice No.:2020-143	Action: Commission Deferred Prosecution with Regions Financial Corp. Date: June 19, 2014	Notice Date:12/07/2020	Claim Due Date:03/07/2021
Published date grouping:November 2020	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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:November 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 Date:11/30/2020	Claim Due Date:02/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:October 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 Date:10/30/2020	Claim Due Date:01/28/2021
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:September 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 Date:09/30/2020	Claim Due Date:12/29/2020
Published date grouping:August 2020	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 Date:08/31/2020	Claim Due Date:11/29/2020
Published date grouping:August 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 Date:08/31/2020	Claim Due Date:11/29/2020
Published date grouping:August 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 Date:08/31/2020	Claim Due Date:11/29/2020
Published date grouping:August 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 Date:08/31/2020	Claim Due Date:11/29/2020
Published date grouping:August 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 Date:08/31/2020	Claim Due Date:11/29/2020
Published date grouping:August 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 Date:08/31/2020	Claim Due Date:11/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:July 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 Date:07/31/2020	Claim Due Date:10/29/2020
Published date grouping:June 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 Date:06/30/2020	Claim Due Date:09/28/2020
Published date grouping:June 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 Date:06/30/2020	Claim Due Date:09/28/2020
Published date grouping:June 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 Date:06/30/2020	Claim Due Date:09/28/2020
Published date grouping:June 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 Date:06/30/2020	Claim Due Date:09/28/2020
Published date grouping:June 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 Date:06/30/2020	Claim Due Date:09/28/2020
Published date grouping:June 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 Date:06/30/2020	Claim Due Date:09/28/2020
Published date grouping:June 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 Date:06/30/2020	Claim Due Date:09/28/2020
Published date grouping:June 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 Date:06/30/2020	Claim Due Date:09/28/2020
Published date grouping:May 2020	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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:May 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 Date:05/29/2020	Claim Due Date:08/27/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:April 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 Date:04/30/2020	Claim Due Date:07/29/2020
Published date grouping:March 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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:March 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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:March 2020	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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:March 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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:March 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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:March 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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:March 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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:March 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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:March 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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:March 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 Date:03/31/2020	Claim Due Date:06/29/2020
Published date grouping:February 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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 2020	Notice No.:2020-023	Action: SEC v. Michael B. Rothenberg, and Rothenberg Ventures LLC (f/k/a Frontier Technology Venture Capital LLC and Rothenberg Ventures Management Company, LLC) 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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 2020	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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 2020	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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 2020	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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 2020	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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:February 2020	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 Date:02/28/2020	Claim Due Date:05/28/2020
Published date grouping:January 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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:January 2020	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 Date:01/31/2020	Claim Due Date:04/30/2020
Published date grouping:December 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 Date:12/31/2019	Claim Due Date:03/30/2020
Published date grouping:December 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 Date:12/31/2019	Claim Due Date:03/30/2020
Published date grouping:December 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 Date:12/31/2019	Claim Due Date:03/30/2020
Published date grouping:December 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 Date:12/31/2019	Claim Due Date:03/30/2020
Published date grouping:December 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 Date:12/31/2019	Claim Due Date:03/30/2020
Published date grouping:December 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 Date:12/31/2019	Claim Due Date:03/30/2020
Published date grouping:December 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 Date:12/31/2019	Claim Due Date:03/30/2020
Published date grouping:December 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 Date:12/31/2019	Claim Due Date:03/30/2020
Published date grouping:December 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 Date:12/31/2019	Claim Due Date:03/30/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:November 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 Date:11/29/2019	Claim Due Date:02/27/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 2019	Notice No.:2019-153	Action: SEC v. Bio Defense Corporation, Michael Lu, May’s International Corporation, Jonathan Morrone d/b/a/ JM International, Inc., Z. Paul Jurberg d/b/a Brookline Capital Partners, Inc., Brett Hamburger, d/b/a JCBH Consulting, LLC, Anthony Orth d/b/a Grand Traverse Equities, Inc. Case Number: 12-cv-11669 (United States District Court for the District of Massachusetts) Date Filed: September 10, 2012 Date of Qualifying Judgment/Order: September 6, 2019	Notice Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/31/2019	Claim Due Date:01/29/2020
Published date grouping:October 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 Date:10/24/2019	Claim Due Date:01/22/2020
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due Date:12/29/2019
Published date grouping:September 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 Date:09/30/2019	Claim Due D

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