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.

Award Details

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