Whistleblower Program: Notices of Covered Action

In the Matter of BF Borgers CPA PC, and Benjamin F. Borgers, CPA
Case Number: 3-21926
Date Filed: May 3, 2024
Date of Qualifying Judgment/Order: May 3, 2024

In the Matter of Intercontinental Exchange Inc., Archipelago Trading Services, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., ICE Clear Credit LLC, ICE Clear Europe Ltd., NYSE Chicago, Inc., NYSE National, Inc., and Securities Industry Automation Corporation 
Administrative Proceeding File No.: 3-21947
Date Filed: May 21, 2024
Date of Qualifying Judgment/Order: May 21, 2024

SEC v. Tyler Loudon
Case Number: 24-cv-00622 (United States District Court for the Southern District of Texas) 
Date Filed: February 22, 2024
Date of Qualifying Judgment/Order: May 28, 2024
 

In the Matter of Kershner Trading Americas, LLC
Administrative Proceeding File No.: 3-21942
Date Filed: May 20, 2024
Date of Qualifying Judgment/Order: May 20, 2024

SEC v. Chimene Van Gundy, Outstanding Real Estate Solutions, Inc., Michael Trofimoff, Santos Kidd, Maria Tosta 
Case Number: 23-cv-00700 (United States District Court for the Western District of Texas) 
Date Filed: May 30, 2023 
Date of Qualifying Judgment/Order: May 22, 2024 

SEC v. 4D Circle LLC a/k/a Enoetics, Mantford C. Hawkins, and David E. Bell
Case Number: 17-cv-00321 (United States District Court for the Northern District of Texas)
Date Filed: April 13, 2017
Date of Qualifying Judgment/Order: May 7, 2024
 

SEC v. Gerald C. Parker
Case Number: 19-cv-23943 (United States States District Court for the Southern District of Florida)
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: May 21, 2024

SEC v. Rahim Mohamed, Davies (“Dave”) Wong, Glenn B. Laken, Richard C. S. Tang, Zoltan Nagy, Jeffrey D. Cox, Phillip G. Sewell, Breanne M. Wong, Christophe Merani, Anna Tang, Robert W. Seeley, Richard B. Smith, Christopher R. Smith, H.E. Capital SA, Pop Holdings Ltd., Maximum Ventures Holdings LLC, Harmony Ridge Corp., and Avatele Group LLC 
Case Number: 22-cv-03252 (United States District Court for the Northern District of Georgia)
Date Filed: August 15, 2022
Date of Qualifying Judgment/Order: May 23, 2024

SEC v. Genesis Global Capital, LLC and Gemini Trust Company, LLC
Case Number: 23-cv-00287
Date Filed: January 11, 2023
Date of Qualifying Judgment/Order: March 17, 2024

In the Matter of Varun Aggarwal, CPA
Administrative Proceeding File No.: 3-21938
Date Filed: May 17, 2024
Date of Qualifying Judgment/Order: May 17, 2024

SEC v. Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc., and Slig High Interest Liquid Savings Company
Case Number: 23-cv-08009 (Unied States District Court for the Central District of California)
Date Filed: September 25, 2023
Date of Qualifying Judgment/Order: May 10, 2024

SEC v. Joshua Sason, Marc Manuel, Kautilya (a/k/a Tony) Sharma, Perian Salviola, Magna Management, LLC (f/k/a Magna Group, LLC), Magna Equities II, LLC (f/k/a Hanover Holdings I. LLC), MG Partners. Ltd., and Pallas Holdings, LLC
Case Number: 19-cv-01459 (United States District Court for the Southern District of New York)
Date Filed: February 15, 2019
Date of Qualifying Judgment/Order: May 2, 2024

SEC v. Ruless Pierre a/k/a Rules Pierre
Case Number: 19-cv-10299 (United States District Court for the Southern District of New York)
Date Filed: November 6, 2019
Date of Qualifying Judgment/Order: May 15, 2024

SEC v. Red Rock Secured, LLC, Sean Kelly, Anthony Spencer, and Jeffrey Ward
Case Number: 23-cv-03682 (United States District Court for the Central District of California)
Date Filed: May 15, 2023
Date of Qualifying Judgment/Order: April 23, 2024

SEC v. Douglas McKelvey
Case Number: 23-cv-00564 (United States District Court for the Northern District of Texas)
Date Filed: June 6. 2023
Date of Qualifying Judgment/Order: April 26, 2024 

SEC v. George Heckler
Case Number: 21-cv-04587 (United States District Court for the District of New Jersey)
Date Filed: March 9, 2021
Date of Qualifying Judgment/Order: May 10, 2024

In the Matter of Raymond Lawrence Lent (dba The Putney Financial Group, Registered Investment Advisors)
Administrative Proceeding File No.: 3-21943
Date Filed: May 20, 2024
Date of Qualifying Judgment/Order: May 20, 2024 

SEC v. Mine Shaft Brewing LLC, Timothy A. Nemecka, John A. Logan, and Charlies V. Whittington
Case Number: 21-cv-00457 (United States District Court for the District of Utah)
Date Filed: July 27, 2021
Date of Qualifying Judgment/Order: March 4, 2024

SEC v. Flik, Coinspark, Ryan Felton, William W. Sparks, Jr., Owen B. Smith, and Chance B. White  
Case Number: 20-cv-03739 (United States District Court for the Northern District of Georgia)
Date Filed: September 10, 2020
Date of Qualifying Judgment/Order: March 28, 2024

SEC v. Ongkaruck Sripetch, Amanda Flores, Brehnen Knight, Andrew McAlpine Ashmit Patel, Michael Wexler, Dominic Williams, Adtron Inc. Aka StockPalooza.com, ATG Inc., DOIT, Ltd., DOJI Capital, Inc., King Mutual Solutions Inc., Optimus Prime Financial Inc., Orca Bridge, Redline International, and UAIM Corporation
Case Number: 20-cv-01864 (United States District Court for the Southern District of California)
Date Filed: September 21, 2020
Date of Qualifying Judgment/Order: April 17, 2024

SEC v. Roy N. Cook, Jeffrey A. Natrop, Peter S. Renner, James Rudolph and Peter Williams
Case Number: 24-cv-313 (United States District Court for the Eastern District of Wisconsin)
Date Filed: March 12, 2024
Date of Qualifying Judgment/Order: April 10, 2024

SEC v. Jonathan Mimun (aka Johnathan Maymon) and Ronn Benharav
Case Number: 21-cv-01314 (United States District of Court for the District of Nevada)
Date Filed: July 12, 2021
Date of Qualifying Judgment/Order: March 29, 2024

SEC v. Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC
Case Number: 18-cv-01316 (United States District Court for the Eastern District of New York)
Date Filed: March 2, 2018
Date of Qualifying Judgment/Order: March 25, 2024

In the Matter of Senvest Management, LLC
Administrative Proceeding File No.: 3-21900
Date Filed: April 3, 2024
Date of Qualifying Judgment/Order: April 3, 2024

SEC v. Shawn C. Cutting 
Case Number: 21-cv-00103 (United States District Court for the District of Idaho) 
Date Filed: March 5, 2021 
Date of Qualifying Judgment/Order: March 29, 2024