Whistleblower Program: Notices of Covered Action

In the Matter of Robinhood Financial LLC and Robinhood Securities, LLC
Administrative Proceeding File No: 3-22405
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 13, 2025

SEC v. Hari Prasad Sure, Lokesh Lagudu, Chotu Prabhu Tej Pulagam, Dileep Kumar Reddy Kamujula, Sai Mounika Nekkalapudi, Abhishek Dharmapurikar, and Chetan Prabhu Sree Karteek Pulagam
Case Number: 22-cv-01967 (United States District Court for the Northern District of California)
Date Filed: March 28, 2022
Date of Qualifying Judgment/Order: January 9, 2025

SEC v. William K. Ichioka 
Case Number: 23-cv-03093  (United States District Court for the Northern District of California)
Date Filed: June 22, 2023
Date of Qualifying Judgment/Order: January 8, 2025

SEC v. American Equities Inc., American Eagle Mortgage Management, LLC, Ross C. Miles and Maureen T. Wile 
Case Number: 22-cv-00621 (United States District Court for the District of Oregon)
Date Filed: April 27, 2022
Date of Qualifying Judgment/Order: January 15, 2025

In the Matter of Two Sigma Investments, LP, and Two Sigma Advisors, LP
Administrative Proceeding File No: 3-22418
Date Filed: January 16, 2025
Date of Qualifying Judgment/Order: January 16, 2025

In the Matter of TPG Capital Advisors, LLC
Administrative Proceeding File No: 3-22400
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 13, 2025

In the Matter of Kohlberg Kravis Roberts &  Co. L.P.
Administrative Proceeding File No: 3-22401
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 13, 2025

In the Matter of Carlyle Investment Management L.L.C., Carlyle Global Credit Investment Management L.L.C., and AlpInvest Partners B.V.
Administrative Proceeding File No: 3-22403
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 13, 2025

In the Matter of Blackstone Alternative Credit Advisors LP, Blackstone Management Partners LLC, and Blackstone Real Estate Advisors L.P. 
Administrative Proceeding File No: 3-22399
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 13, 2025

In the Matter of Apollo Capital Management, L.P.
Administrative Proceeding File No: 3-22402
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 13, 2025

In the Matter of Liquidnet, Inc.
Administrative Proceeding File No: 3-22394
Date Filed: January 10, 2025
Date of Qualifying Judgment/Order: January 10, 2025

SEC v. Christopher S. Kirchner
Case Number: 2023-cv-00147 (United States District Court for the Northern District of Texas)
Date Filed: February 14, 2023
Date of Qualifying Judgment/Order: January 3, 2025

In the Matter of Vincent Kennedy McMahon
Administrative Proceeding File No: 3-22391
Date Filed: January 10, 2025
Date of Qualifying Judgment/Order: January 10, 2025

SEC v. Alfred V. Tobia, Jr., and Elizabeth Lee
Case Number: 25-cv-00280 (United States District Court for the Southern District of New York)
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 16, 2025

In the Matter of Santander US Capital Markets LLC
Administrative Proceeding File No: 3-22406
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 13, 2025

In the Matter of Charles Schwab & Co., Inc.
Administrative Proceeding File No: 3-22407
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 13, 2025

SEC v. Michael Caridi
Case Number: 23-cv-01243 (United States District Court for the District of Connecticut)
Date Filed: September 22, 2023
Date of Qualifying Judgment/Order: January 2, 2025

In the Matter of Paul John McCabe, Jr. and PMAC Consulting, LLC
Administrative Proceeding File No: 3-22431
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

In the Matter of Morgan Stanley Smith Barney LLC
Administrative Proceeding File No: 3-22339
Date Filed: December 9, 2024
Date of Qualifying Judgment/Order: December 9, 2024

SEC v. Joseph M. Laura, Anthony R. Sichenzio, and Walter Gil De Rubio
Case Number: 18-cv-05075 (United States District Court for the Eastern District of New York)
Date Filed: September 7, 2018
Date of Qualifying Judgment/Order: January 16, 2025

SEC v. Annette Bongiorno
Case Number: 10-cv-08701 (United States District Court for the Southern District of New York)
Date Filed: November 18, 2010
Date of Qualifying Judgment/Order: December 13, 2024

SEC v. Joann Crupi
Case Number: 10-cv-08702 (United States District Court for the Southern District of New York)
Date Filed: November 18, 2010
Date of Qualifying Judgment/Order: December 13, 2024

SEC v. Daniel Bonventre
Case Number: 10-cv-01576 (United States District Court for the Southern District of New York)
Date Filed: February 25, 2010
Date of Qualifying Judgment/Order: December 13, 2024

SEC v. Cohmad Securities Corporation, Maurice J. Cohn, Marcia B. Cohn, and Robert M. Jaffe
Case Number: 09-cv-05680 (United States District Court for the Southern District of New York)
Date Filed: June 22, 2009
Date of Qualifying Judgment/Order: December 13, 2024

SEC v. David G. Friehling, Friehling & Horowitz, CPA's P.C.
Case Number: 09-cv-02467 (United States District Court for the Southern District of New York)
Date Filed: March 18, 2009
Date of Qualifying Judgment/Order: December 13, 2024

SEC v. Julie Anne Darrah and Vivid Financial Management, Inc.
Case Number: 23-cv-08843 (United States District Court for the Central District of California)
Date Filed: October 20, 2023
Date of Qualifying Judgment/Order: December 18, 2024

SEC v. Christopher Booth Kennedy
Case Number: 24-cv-10608 (United States District Court for the Central District of California)
Date Filed: December 10, 2024
Date of Qualifying Judgment/Order: January 10, 2025

SEC v. Ryan Choi
Case Number: 24-cv-09082 (United States District Court for the Central District of California)
Date Filed: October 22, 2024
Date of Qualifying Judgment/Order: January 24, 2025

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Case Number: 3-22433 
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

SEC v. Plutus Lending, LLC d/b/a Abra
Case Number: 24-cv-02457 (United States District Court for the District of Columbia)
Date Filed: August 26, 2024
Date of Qualifying Judgment/Order: January 13, 2025

In the Matter of LPL Financial LLC
Case Number: 3-22422 
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

In the Matter of Digital Currency Group, Inc.
Case Number: 3-22427 
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

In the Matter of BMO Capital Markets Corp.
Case Number: 3-22398 
Date Filed: January 13, 2025
Date of Qualifying Judgment/Order: January 13, 2025

In the Matter of The Vanguard Group, Inc.
Case Number: 3-22435 
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

SEC v. Entergy Corporation
Case Number: 24-cv-03554 (United States District Court for the District of Columbia)
Date Filed: December 20, 2024
Date of Qualifying Judgment/Order: January 2, 2025

In the Matter of Transamerica Retirement Advisors, LLC
Case Number: 3-22426 
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

In the Matter of GrubMarket, Inc.
Case Number: 3-22421 
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

In the Matter of Celsius Holdings, Inc.
Case Number: 3-22429 
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

SEC v. Crystal World Holdings, Inc., The New Sports Economy Institute and Christopher Paul Rabalais
Case Number: 19-cv-02490 (United States District Court for the District of Columbia)
Date Filed: August 19, 2019
Date of Qualifying Judgment/Order: January 28, 2025

SEC v. Manuel Alvis
Case Number: 22-cv-22140 (United States District Court for the Southern District of Florida)
Date Filed: July 13, 2022
Date of Qualifying Judgment/Order: January 10, 2025

In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Case Number: 3-22430 
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

SEC v. Jon Patrick Kubler, Aksarben Evolution, LLC., AV BHill, LLC. CFH Texas, LLC, Green Saddle, LLC, and Kubler Consulting. LLC
Case Number: 23-cv-00408 (United States District Court for the District of Nebraska)
Date Filed: September 14, 2023
Date of Qualifying Judgment/Order: January 22, 2025

In the Matter of One Thousand & One Voices Management, LLC; Family Legacy Capital Credit Management, LLC; and Hendrik F. Jordaan
Case Number: 3-22392 
Date Filed: January 10, 2025
Date of Qualifying Judgment/Order: January 10, 2025

SEC v. Charles T. Lawrence, Jr.
Case Number: 23-cv-00550 (United States District Court for the Eastern District of Wisconsin)
Date Filed: May 1, 2023
Date of Qualifying Judgment/Order: October 31, 2024

SEC v. Spartan Trading Company, LLC, The Estate of Richard Myre
Case Number: 23-cv-01997 (United States District Court for the District of Minnesota)
Date Filed: June 29, 2023
Date of Qualifying Judgment/Order: January 13, 2025

In the Matter of American Electric Power Company, Inc.
Case Number: 3-22425 
Date Filed: January 17, 2025
Date of Qualifying Judgment/Order: January 17, 2025

SEC v. Sai-Hong Ignatius OU
Case Number: 24-cv-13113 (United States District Court for the District of Massachusetts)
Date Filed: December 18, 2024
Date of Qualifying Judgment/Order: January 7, 2025

SEC v. Francis Biller, Raymond Dove, Chester Alvarez, Troy Gran-Brooks and Justin Plaizier
Case Number: 22-cv-01406 (United States District Court for the Eastern District of New York)
Date Filed: March 14, 2022
Date of Qualifying Judgment/Order: January 24, 2025

SEC v. Timothy Page, Trevor Page, Ticino Capital Limited, Wellesley Holdings Limited, Porrima Limited, Emergent Investments Company, and FJ Investments International Inc.
Case Number: 21-cv-05292 (United States District Court for the Eastern District of New York)
Date Filed: September 23, 2021
Date of Qualifying Judgment/Order: November 14, 2024

SEC v. Detroit Memorial Partners and Mark Morrow
Case Number: 13-cv-01817 (United States District Court for the Northern District of Georgia)
Date Filed: May 30, 2013
Date of Qualifying Judgment/Order: December 5, 2024

In the Matter of Snow Lake Capital (HK) Limited
Administrative Proceeding File No: 3-22372
Date Filed: December 19, 2024
Date of Qualifying Judgment/Order: December 19, 2024

SEC v. Morningview Financial, LLC and Miles M. Riccio
Case Number: 22-cv-08142 (United States District Court for the Southern District of New York)
Date Filed: September 23, 2022
Date of Qualifying Judgment/Order: December 23, 2024

In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No: 3-22375
Date Filed: December 20, 2024
Date of Qualifying Judgment/Order: December 20, 2024

SEC v. Jerome O'Hara and George Perez
Case Number: 09-cv-09425 (United States District Court for the Southern District of New York)
Date Filed: November 13, 2009
Date of Qualifying Judgment/Order: December 13, 2024

In the Matter of Tai Mo Shan Limited
Administrative Proceeding File No: 3-22382
Date Filed: December 20, 2024
Date of Qualifying Judgment/Order: December 20, 2024

In the Matter of Cantor Fitzgerald, L.P. 
Administrative Proceeding File No: 3-22348
Date Filed: December 12, 2024
Date of Qualifying Judgment/Order: December 12, 2024

SEC v. Brad Hare and Mammoth West Corporation 
Case Number: 24-cv-12134 (United States District Court for the Northern District of Illinois)
Date Filed: November 25, 2024
Date of Qualifying Judgment/Order: December 4, 2024

In the Matter of Becton, Dickinson and Company 
Administrative Proceeding File No: 3-22361
Date Filed: December 16, 2024
Date of Qualifying Judgment/Order: December 16, 2024

SEC v. Leena Jaitley, d/b/a Managed Options Trading and Options by Pros
Case Number: 21-cv-00832 (United States District Court for the Western District of Texas)
Date Filed: September 20, 2021
Date of Qualifying Judgment/Order: December 12, 2024

In the Matter of AAR Corp. 
Administrative Proceeding File No: 3-22369
Date Filed: December 19, 2024
Date of Qualifying Judgment/Order: December 19, 2024

SEC v. Guosheng Qi and Gridsum Holding Inc. 
Case Number: 23-cv-07924 (United States District Court for the Southern District of New York)
Date Filed: September 7, 2023
Date of Qualifying Judgment/Order: December 3, 2024

SEC v. Ronald Bauer a/k/a Ronald J. Bauer and Ronald Jacob Bauer, Craig James Auringer, Alon Friedlander, Massililiano ("Max") Pozzoni, Daniel Mark Ferris, Petar Dmitrov Mihaylov, David Sidoo and Adam Christopher Kambeitz
Case Number: 22-cv-03089 (United States District Court for the Southern District of New York)
Date Filed: April 14, 2022
Date of Qualifying Judgment/Order: December 18, 2024

SEC v. Christopher Slaga a/k/a Keith Renko, Q4 Capital Group, LLC, J4 Capital Advisors LLC, and Hayden Greene 
Case Number: 23-cv-01425 (United States District Court for the Central District of California)
Date Filed: August 7, 2023
Date of Qualifying Judgment/Order: December 23, 2024

SEC v. Austal Limited and Austal USA, LLC
Case Number: 24-cv-00307 (United States District Court for the Southern District of Alabama)
Date Filed: August 26, 2024
Date of Qualifying Judgment/Order: December 2, 2024

In the Matter of Flagstar Bancorp, Inc., now known as "Flagstar Financial, Inc."
Administrative Proceeding File No: 3-22360
Date Filed: December 16, 2024
Date of Qualifying Judgment/Order: December 16, 2024

SEC v. Edward S. Walczak
Case Number: 20-cv-00076 (United States District Court for the Western District of Wisconsin)
Date Filed: January 27, 2020
Date of Qualifying Judgment/Order: November 19, 2024

In the Matter of J.P. Morgan Securities LLC 
Administrative Proceeding File No: 3-22280
Date Filed: October 31, 2024
Date of Qualifying Judgment/Order: October 31, 2024

In the Matter of J.P. Morgan Investment Management Inc.
Administrative Proceeding File No: 3-22281
Date Filed: October 31, 2024
Date of Qualifying Judgment/Order: October 31, 2024

In the Matter of FiveT Capital AG 
Administrative Proceeding File No: 3-22334
Date Filed: November 26, 2024
Date of Qualifying Judgment/Order: November 26, 2024

In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No: 3-22278
Date Filed: October 31, 2024
Date of Qualifying Judgment/Order: October 31, 2024

SEC v. Mikhail Kokorich
Case Number: 21-cv-01869 (United States District Court for the District of Columbia)
Date Filed: July 13, 2021
Date of Qualifying Judgment/Order: November 25, 2024

In the Matter of Elanco Animal Health Inc.
Administrative Proceeding File No: 3-22309
Date Filed: November 12, 2024
Date of Qualifying Judgment/Order: November 12, 2024

In the Matter of BIT Mining, Ltd.
Administrative Proceeding File No: 3-22324
Date Filed: November 18, 2024
Date of Qualifying Judgment/Order: November 18, 2024

SEC v. Joseph C. Lewis, Carolyn W. Carter, Patrick J. O'Connor, and Bryan L. Waugh
Case Number: 23-cv-06438 (United States District Court for the Southern District of New York)
Date Filed: July 26, 2023
Date of Qualifying Judgment/Order: November 26, 2024

In the Matter of United Parcel Service, Inc.
Administrative Proceeding File No: 3-22327
Date Filed: November 22, 2024
Date of Qualifying Judgment/Order: November 22, 2024

SEC v. Pavel Ruiz
Case Number: 22-cv-61609 (United States District Court for the Southern District of Florida)
Date Filed: August 29, 2022
Date of Qualifying Judgment/Order: November 19, 2024

SEC v. Donna Dellomo, Yoon Um, and The Lovesac Company
Case Number: 24-cv-01727 (United States District Court for the District of Connecticut)
Date Filed: October 29, 2024
Date of Qualifying Judgment/Order: November 13, 2024

In the Matter of Invesco Advisers, Inc.
Administrative Proceeding File No: 3-22306
Date Filed: November 8, 2024
Date of Qualifying Judgment/Order: November 8, 2024

SEC v. Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC; R&D Global, LLC
Case Number: 20-cv-00301 (United States District Court for the District of Utah)
Date Filed: May 7, 2020
Date of Qualifying Judgment/Order: September 10, 2024

In the Matter of WisdomTree Asset Management, Inc. 
Administrative Proceeding File No: 3-22268
Date Filed: October 21, 2024
Date of Qualifying Judgment/Order: October 21, 2024

In the Matter of Gustavo Dolfino 
Administrative Proceeding File No: 3-22254
Date Filed: October 15, 2024
Date of Qualifying Judgment/Order: October 15, 2024

In the Matter of Marathon Asset Management, L.P. 
Administrative Proceeding File No: 3-22219
Date Filed: September 30, 2024
Date of Qualifying Judgment/Order: September 30, 2024

SEC v. James Bernard Moore, and Universal Voicetech, Inc.
Case Number: 18-cv-07803 (United States District Court for the Southern District of New York)
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: October 10, 2024

SEC v. Raskob Kambourian Financial Advisors, Ltd.
Case Number: 24-cv-00442 (United States District Court for the District of Arizona)
Date Filed: September 5, 2024
Date of Qualifying Judgment/Order: September 20, 2024

In the Matter of TD Securities (USA) LLC 
Administrative Proceeding File No: 3-22223
Date Filed: September 30, 2024
Date of Qualifying Judgment/Order: September 30, 2024

In the Matter of Moog Inc.
Administrative Proceeding File No: 3-22237
Date Filed: October 11, 2024
Date of Qualifying Judgment/Order: October 11, 2024

SEC v. Cassava Sciences, Inc.; Remi Barbier; and Lindsay Burns
Case Number: 24-cv-01150 (United States District Court for the Western District of Texas)
Date Filed: September 26, 2024
Date of Qualifying Judgment/Order: October 18, 2024

In the Matter of RTX Corporation 
Administrative Proceeding File No: 3-22256
Date Filed: October 16, 2024
Date of Qualifying Judgment/Order: October 16, 2024

SEC v. Toller Stern Financial, LLC, Francisco Javier Malave Hernandez, and Ricardo Javier Guerra Farias
Case Number: 24-cv-23370 (United States District Court for the Southern District of Florida)
Date Filed: September 3, 2024
Date of Qualifying Judgment/Order: October 15, 2024

SEC v. PreIPO Corp., John A. Mattera and David P. Grzan
Case Number: 23-cv-81141 (United States District Court for the Southern District of Florida)
Date Filed: August 14, 2023
Date of Qualifying Judgment/Order: October 17, 2024

SEC v. Prager Metis CPAs, LLC and Prager Metis CPAs LLP
Case Number: 23-cv-23723 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: October 3, 2024

SEC v. Adam P. Rogas and Paul G. Korol 
Case Number: 20-cv-07628 (United States District Court for the Southern District of New York)
Date Filed: September 17, 2020
Date of Qualifying Judgment/Order: September 18, 2024

In the Matter of Unisys Corporation 
Administrative Proceeding File No: 3-22272
Date Filed: October 22, 2024
Date of Qualifying Judgment/Order: October 22, 2024

SEC v. Shawn E. Good
Case Number: 22-cv-00060 (United States District Court for the Eastern District of North Carolina)
Date Filed: April 18, 2022
Date of Qualifying Judgment/Order: October 16, 2024

In the Matter of Zymergen Inc.
Administrative Proceeding File No: 3-22112
Date Filed: September 13, 2024
Date of Qualifying Judgment/Order: September 13, 2024

SEC v. Mmobuosi Odogwu Banye (a/k/a Dozy Mmobuosi), Tingo Group, Inc., Agri-Fintech Holdings, Inc. (f/k/a Tingo, Inc.), and Tingo International Holdings, Inc.
Case Number: 23-cv-10928 (United States District Court for the Southern District of New York)
Date Filed: December 18, 2023
Date of Qualifying Judgment/Order: August 28, 2024

In the Matter of S&P Global Ratings
Administrative Proceeding File No: 3-22055
Date Filed: September 3, 2024
Date of Qualifying Judgment/Order: September 3, 2024

In the Matter of Moody’s Investors Service, Inc.
Administrative Proceeding File No: 3-22054
Date Filed: September 3, 2024
Date of Qualifying Judgment/Order: September 3, 2024

In the Matter of Fitch Ratings, Inc.
Administrative Proceeding File No: 3-22051
Date Filed: September 3, 2024
Date of Qualifying Judgment/Order: September 3, 2024

In the Matter of eToro USA LLC
Administrative Proceeding File No: 3-22106
Date Filed: September 12, 2024
Date of Qualifying Judgment/Order: September 12, 2024