Whistleblower Program: Notices of Covered Action

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

In the Matter of BNY Mellon Securities Corporation LLC
Administrative Proceeding File No: 3-22009
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of Stifel, Nicolaus & Company, Inc.
Administrative Proceeding File No: 3-22168
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

In the Matter of Intesa Sanpaolo IMI Securities Corp.
Administrative Proceeding File No: 3-22161
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

In the Matter of CIBC World Markets Corp. and CIBC Private Wealth Advisors, Inc.
Administrative Proceeding File No: 3-22160
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

In the Matter of Canaccord Genuity LLC
Administrative Proceeding File No: 3-22166
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

In the Matter of Robert Seropian
Administrative Proceeding File No: 3-22108
Date Filed: September 12, 2024
Date of Qualifying Judgment/Order: September 12, 2024

In the Matter of Vora Wealth Management, PLLC and Dharmesh Virendra Vora
Administrative Proceeding File No: 3-22116
Date Filed: September 16, 2024
Date of Qualifying Judgment/Order: September 16, 2024

SEC v. Zera Financial LLC, Luis A. Romero, aka Luis A. Romero- Naverette; aka Luis A. Romero- Naverrette
Case Number: 23-cv-01807 (United States District Court for the Central District of California)
Date Filed: September 27, 2023
Date of Qualifying Judgment/Order: September 3, 2024

In the Matter of WM Technology, Inc.
Administrative Proceeding File No: 3-22172
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

SEC v. JMJ Capital Group and Richard Lee Ramirez
Case Number: 22-cv-01481 (United States District Court for the Southern District of California)
Date Filed: September 30, 2022
Date of Qualifying Judgment/Order: August 26, 2024

SEC v. Shaohua (Michael) Yin and Benjamin Bin Chow
Case Number: 17-cv-00972 (United States District Court for the Southern District of New York)
Date Filed: February 10, 2017
Date of Qualifying Judgment/Order: August 16, 2024

In the Matter of Deere & Company
Administrative Proceeding File No: 3-22102
Date Filed: September 10, 2024
Date of Qualifying Judgment/Order: September 10, 2024

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No: 3-22173
Date Filed: September 25, 2024
Date of Qualifying Judgment/Order: September 25, 2024

In the Matter of Harvest Volatility Management, LLC
Administrative Proceeding File No: 3-22174
Date Filed: September 25, 2024
Date of Qualifying Judgment/Order: September 25, 2024

In the Matter of Glazer Capital, LLC
Administrative Proceeding File No: 3-22164
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

In the Matter of Invesco Distributors, Inc. and Invesco Advisers, Inc.
Administrative Proceeding File No: 3-22165
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

SEC v. Third Friday Management, LLC and Michael E. Lewitt
Case Number: 23-cv-81332 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: September 4, 2024

In the Matter of Macquarie Investment Management Business Trust 
Administrative Proceeding File No: 3-22144
Date Filed: September 19, 2024
Date of Qualifying Judgment/Order: September 19, 2024

In the Matter of Acadia Healthcare Company, Inc.
Administrative Proceeding File No: 3-22079
Date Filed: September 9, 2024
Date of Qualifying Judgment/Order: September 9, 2024

SEC v. Kris A. Swaffer, Sean K. Williams, and POHIH, Inc.
Case Number: 22-cv-01554 (United States District Court for the Northern District of Ohio)
Date Filed: September 1, 2022
Date of Qualifying Judgment/Order: September 13, 2024

In the Matter of FirstEnergy Corp.
Administrative Proceeding File No: 3-22111
Date Filed: September 12, 2024
Date of Qualifying Judgment/Order: September 12, 2024

SEC v. The Heartland Group Ventures, LLC; Heartland Production and Recovery LLC; Heartland Production and Recovery Fund LLC; Heartland Production and Recovery Fund II LLC; The Heartland Group Fund III LLC; Heartland Drilling Fund I, LP; Carson Oil Field Development Fund II, LP; Alternative Office Solutions, LLC; Arcooil Corp.; Barron Petroleum LLC; James Ikey; John Muratore; Thomas Brad Pearsey; Manjit Singh (aka Roger) Sahota; and Rustin Brunson
Case Number: 21-cv-01310 (United States District Court for the Northern District of Texas)
Date Filed: December 1, 2021
Date of Qualifying Judgment/Order: September 24, 2024

SEC v. Carebourn Capital, L.P. and Chip Alvin Rice
Case Number: 21-cv-02114 (United States District Court for the District of Minnesota)
Date Filed: September 24, 2021
Date of Qualifying Judgment/Order: September 23, 2024

In the Matter of Centerline Investment Management Limited
Administrative Proceeding File No: 3-22156
Date Filed: September 23, 2024
Date of Qualifying Judgment/Order: September 23, 2024

In the Matter of Keurig Dr Pepper Inc.
Administrative Proceeding File No: 3-22100
Date Filed: September 10, 2024
Date of Qualifying Judgment/Order: September 10, 2024

SEC v. Patrick N. Thayer
Case Number: 23-cv-00362 (United States District Court for the Southern District of Ohio)
Date Filed: June 13, 2023
Date of Qualifying Judgment/Order: August 26, 2024

In the Matter of Apex Clearing Corporation 
Administrative Proceeding File No.: 3-21998 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

SEC v. Brenda A. Smith, Broad Reach Capital, LP, Broad Reach Partners, LLC, and Bristol Advisors, LLC 
Case Number: 2019-cv-17213 (United States District Court for the District of New Jersey)
Date Filed: August 27, 2019
Date of Qualifying Judgment/Order: July 24, 2024

In the Matter of Sound Point Capital Management, LP 
Administrative Proceeding File No.: 3-22032 
Date Filed: August 26, 2024
Date of Qualifying Judgment/Order: August 26, 2024

In the Matter of Edward D. Jones & Co., L.P. 
Administrative Proceeding File No.: 3- 22001 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of OTC Link LLC 
Administrative Proceeding File No.: 3-21991 
Date Filed: August 12, 2024
Date of Qualifying Judgment/Order: August 12, 2024

In the Matter of Cadaret, Grant & Co., Inc. 
Administrative Proceeding File No.: 3-21990 
Date Filed: August 12, 2024
Date of Qualifying Judgment/Order: August 12, 2024

In the Matter of Raymond James & Associates, Inc. 
Administrative Proceeding File No.: 3-22002 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of P. Schoenfeld Asset Management LP 
Administrative Proceeding File No.: 3-21999 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of LPL Financial LLC 
Administrative Proceeding File No.: 3-22006 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC 
Administrative Proceeding File No.: 3-22007 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of Ameriprise Financial Services, LLC 
Administrative Proceeding File No.: 3-22004 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc. 
Administrative Proceeding File No.: 3-22008 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of RBC Capital Markets, LLC 
Administrative Proceeding File No.: 3-22003 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

SEC v. Richard Xia, a/k/a Yi Xia, and Fleet New York Metropolitan Regional Center, LLC, f/k/a Federal New York Metropolitan Regional Center, LLC 
Case Number: 21-cv-05350 (United States District Court for the Eastern District of New York)
Date Filed: September 27, 2021
Date of Qualifying Judgment/Order: July 26, 2024

SEC v Ripple Labs, Inc., Bradley Garlinghouse, and Christian A. Larsen 
Case Number: 20-cv-10832 (United States District Court for the Southern District of New York)
Date Filed: December 22, 2020
Date of Qualifying Judgment/Order: August 7, 2024

In the Matter of Truist Securities, Inc., Truist Investment Services, Inc., and Trust Advisory Services, Inc. 
Administrative Proceeding File No.: 3-22000 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

SEC v. Terraform Labs PTE, Ltd., and Do Hyeong Kwon 
Case Number: 23-cv-01346 (United States District Court for the Southern District of New York)
Date Filed: February 16, 2023
Date of Qualifying Judgment/Order: June 12, 2024

Date of Qualifying JudgmSEC v. Alexander Elbanna, Digital World Exchange, LLC, BoostedPro, LLC, and D.W. Exchange, LLC 
Case Number: 23-cv-01638 (United States District Court for the Middle District of Florida)
Date Filed: July 20, 2023
Date of Qualifying Judgment/Order: July 28, 2024ent/Order: August 9, 2024

In the Matter of Zheng (Bruno) Wu 
Administrative Proceeding File No.: 3-21989 
Date Filed: August 9, 2024
Date of Qualifying Judgment/Order: August 9, 2024

In the Matter of Ideanomics, Inc. (f/k/a Seven Stars Cloud Group, Inc.), Alfred Poor, and Federico Tovar 
Administrative Proceeding File No.: 3-21988 
Date Filed: August 9, 2024
Date of Qualifying Judgment/Order: August 9, 2024

In the Matter of Hilltop Securities Inc. 
Administrative Proceeding File No.: 3-21993 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of Cetera Advisor Networks LLC and Cetera Investment Services LLC 
Administrative Proceeding File No.: 3-21995 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of First Trust Portfolios L.P. 
Administrative Proceeding File No.: 3-21996 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of Great Point Capital, LLC 
Administrative Proceeding File No.: 3-21992 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of Osaic Services, Inc., and Osaic Wealth, Inc.  
Administrative Proceeding File No.: 3-21997 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of Piper Sandler & Co
Administrative Proceeding File No.: 3-21994 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of GHS Investments, LLC, Mark S. Grober, Sarfraz S. Hajee, and Matthew L. Schissler
Administrative Proceeding File No.: 3-22020 
Date Filed: August 19, 2024
Date of Qualifying Judgment/Order: August 19, 2024

SEC v. Wilson J. Rondini, III, Falcon Capital LLP, and Falcon Capital Partners Limited  
Case Number: 23-cv-81285 (United States District Court for the Southern District of Florida)
Date Filed: September 18, 2023
Date of Qualifying Judgment/Order: August 13, 2024

SEC v. Christopher Joseph Borgiono, and Jason Allan Arthur 
Case Number: 20-cv-00469 (United States District Court for the Northern District of Ohio) 
Date Filed: February 28, 2020 
Date of Qualifying Judgment/Order: July 18, 2024 

SEC v. Sivannarayana Barama
Case Number: 19-cv-08207 (United States District Court for the Northern District of California) 
Date Filed: December 17, 2019 
Date of Qualifying Judgment/Order: July 24, 2024 

SEC v. Silvergate Capital Corporation, Alan J. Lane, Kathleen Fraher, Antonio Martino 
Case Number: 24-cv-04987 (United States District Court for the Southern District of New York) 
Date Filed: July 1, 2024 
Date of Qualifying Judgment/Order: July 7, 2024 

SEC v. Yossi Engel 
Case Number: 23-cv-00213 (United States District Court for the Central District of California) 
Date Filed: January 12, 2023 
Date of Qualifying Judgment/Order: July 14, 2024 

SEC v. C3 International, Inc., Steele Clarke Smith III, and Theresa Smith
Case Number: 21-cv-01586 (United States District for the Central District of California) 
Date Filed: September 28, 2021 
Date of Qualifying Judgment/Order: July 17, 2024 

SEC v. Gene Daniel Levoff
Case Number: 19-cv-05536 (United States District of New Jersey) 
Date Filed: February 13, 2019 
Date of Qualifying Judgment/Order: July 1, 2024 

SEC v. Phillip W. Offill, Jr., and Justin W. Herman 
Case Number: 22-cv-00121 (United States District Court for the Northern District of Texas) 
Date Filed: January 19, 2022 
Date of Qualifying Judgment/Order: July 16, 2024 

SEC v. Brook Church-Koegel, David H. Goldman, and Nicole J. Walker 
Case Number: 20-cv-08480 (United States District Court for the Central District of California) 
Date Filed: March 5, 2020 
Date of Qualifying Judgment/Order: June 27, 2024 

SEC v. Brent Borland, Borland Capital Group, LLC, and Belize Infrastructure Fund I, LLC 
Case Number: 18-cv-04352 (United States District Court for the Southern District of New York) 
Date Filed: May 16, 2018 
Date of Qualifying Judgment/Order: May 15, 2024 

SEC v. Prosper Beyond Moore, Prosperity Investments & Solutions, LLC f/k/a Prosperity, Investments & Lending, LLC 
Case Number: 24-cv-00242 (United States District Court for the Northern District of Georgia) 
Date Filed: January 18, 2024 
Date of Qualifying Judgment/Order: July 15, 2024 

SEC v. Angelo A. Alleca, Summit Wealth Management, Inc., Asset Class Diversification Fund, LP, and Private Credit Opportunities Fund, LLC 
Case Number: 12-cv-03261 (United States District Court for the Northern District of Georgia) 
Date Filed: September 18, 2012 
Date of Qualifying Judgment/Order: July 14, 2024 

In the Matter of Anders J. Lindgren
Administrative Proceeding File No.: 3-21954 
Date Filed: June 5, 2024 
Date of Qualifying Judgment/Order: June 5, 2024 

SEC v Amit Bhardwaj, Dhirenkumar Patel, Srinivasa Kakkera, Abbas Saeedi, and Ramesh Chitor
Case Number: 22-cv-06277 (United States District Court for the Southern District of New York) 
Date Filed: July 25, 2022 
Date of Qualifying Judgment/Order: June 12, 2024 

In the Matter of Janusz (John) Zukowski and Jerry Samaras
Administrative Proceeding File No.: 3-21964 
Date Filed: June 13, 2024 
Date of Qualifying Judgment/Order: June 13, 2024 

SEC v. Gannon Giguiere, Oliver-Barret Lindsay, Andrew Hackett, Kevin Gillespie, and Annetta Budhu
Case Number: 18-cv-01530 (United States District Court for the Southern District of California) 
Date Filed: July 6, 2018 
Date of Qualifying Judgment/Order: June 24, 2024 

In the Matter of Anson Funds Management, LP, and Anson Advisors, Inc.  
Administrative Proceeding File No.: 3-21961 
Date Filed: June 11, 2024 
Date of Qualifying Judgment/Order: June 11, 2024 

In the Matter of HF Foods Group Inc.  
Administrative Proceeding File No.: 3-21959 
Date Filed: June 6, 2024 
Date of Qualifying Judgment/Order: June 6, 2024 

SEC v. Zhou Min Ni, and Jian Ming Ni, also known as Jonathan Ni, also known as Jianming Ni
Case Number: 24-cv-01632 (United States District Court for the District of Columbia) 
Date Filed: June 3, 2024 
Date of Qualifying Judgment/Order: June 9, 2024 

SEC v. John D. Fierro and JDF Capital, Inc.
Case Number: 20-cv-02104 (United States District Court for the District of New Jersey) 
Date Filed: February 26, 2020 
Date of Qualifying Judgment/Order: May 21, 2024 

SEC v. Christopher R. Bentley and Bellatorum Resources, LLC
Case Number: 22-cv-02772 (United States District Court for the Southern District of Texas) 
Date Filed: August 16, 2022 
Date of Qualifying Judgment/Order: May 30, 2024

SEC v. Royal Bengal Logistics, Inc., and Sanjay Singh
Case Number: 23-cv-61179 (United States District Court for the Southern District of Florida) 
Date Filed: June 20, 2023 
Date of Qualifying Judgment/Order: June 10, 2024

SEC v. Peter D. Krieger
Case Number: 23-cv-80398 (United States District Court for the Southern District of Florida) 
Date Filed: March 13, 2023 
Date of Qualifying Judgment/Order: June 17, 2024

SEC v. David Lee Stone and John D. Robson
Case Number: 22-cv-03553 (United States District Court for the Southern District of New York) 
Date Filed: May 3, 2022 
Date of Qualifying Judgment/Order: May 29, 2024 

SEC v. Joseph Michael Todd, Todd Financial Services, LLC, and TFS Insurance Services LLC  
Case Number: 23-cv-00431 (United States District Court for the Middle District of Florida) 
Date Filed: July 12, 2023 
Date of Qualifying Judgment/Order: June 20, 2024