Whistleblower Program: Notices of Covered Action

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

In the Matter of R.R. Donnelley & Sons Co
Administrative Proceeding File No.: 3-21969 
Date Filed: June 18, 2024 
Date of Qualifying Judgment/Order: June 18, 2024 

SEC v. Neil S. Chandran, Garry J. Davidson, Michael T. Glaspie, Linda C. Knott, Amy S. Mossel, AEO Publishing Inc., Banner Co-op, Inc., and Bannersgo, LLC
Case Number: 23-cv-10017 (United States District Court for the Eastern District of Michigan) 
Date Filed: January 4, 2023 
Date of Qualifying Judgment/Order: June 3, 2024 

SEC v. Windsor Jones LLC and Anthony Collins 
Case Number: 23-cv-00841 (United States District Court for the Central District of California) 
Date Filed: February 3, 2023 
Date of Qualifying Judgment/Order: June 25, 2024

SEC v. Michael J. French, MJF Holdings, LLC, and MJF Capital, LLC  
Case Number: 23-cv-01443 (United States District Court for the Northern District of Georgia) 
Date Filed: April 3, 2023 
Date of Qualifying Judgment/Order: April 30, 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. 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

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. 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. 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. 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. 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

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. 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 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