Notice of Covered Actions

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 

SEC v. Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network  
Case Number: 19-cv-11655 (United States District Court for the District of Massachusetts)  
Date Filed: August 1, 2019 
Date of Qualifying Judgment/Order: April 1, 2024

SEC v. Charles Winn LLC, Aaron David Scott-Britten, aka Aaron David K. Britten, Ohran Emmanuel Stewart, aka Elliott Stewart, Casey Alexander, and Charlie Jake Smith  
Case Number: 23-cv-02988 (United States District for the Central District of California) 
Date Filed: April 20, 2023 
Date of Qualifying Judgment/Order: March 26, 2024 

SEC v. Treasure Enterprise LLC, Patricia Enright Gray, and Larry Allen Holley 
Case Number: 17-cv-10963 (United States District Court for the Eastern District of Michigan) 
Date Filed: March 28, 2017 
Date of Qualifying Judgment/Order: February 5, 2024 

SEC v. Volkswagen Aktiengesellschaft, Martin Winterkorn, Volkswagen Group of America Finance, LLC, and VW Credit, Inc.  
Case Number: 19-cv-01391 (United States District Court for the Northern District of California) 
Date Filed: March 14, 2019  
Date of Qualifying Judgment/Order: April 3, 2024 

SEC v. GA Investors and John Does Nos. 1-4 
Case Number: 23-cv-11050 (United States District Court for the District of Massachusetts) 
Date Filed: May 11, 2023 
Date of Qualifying Judgment/Order: April 1, 2024 

SEC v. Joseph A. Padilla and Kevin C. Dills 
Case Number: 23-cv-11331 (United States District Court for the District of Massachusetts) 
Date Filed: June 13, 2023 
Date of Qualifying Judgment/Order: March 20, 2024

SEC v. iFresh, Inc. and Long Deng  
Case Number: 22-cv-03200 (United States District Court for the Eastern District of New York)
Date Filed: May 31, 2022
Date of Qualifying Judgment/Order: February 7, 2024

SEC v. Anthony B. Liddle
Case Number: 23-cv-00054 (United States District Court for the Western District of Wisconsin)
Date Filed: January 24, 2023
Date of Qualifying Judgment/Order: February 28, 2024

In the Matter of Lordstown Motors Corp.  
Administrative Proceeding File No.: 3-21875
Date Filed: February 29, 2024
Date of Qualifying Judgement/Order: February 29, 2024

SEC v. Ishan Wahi, Nikhil Wahi, and Sameer Ramani
Case Number: 22-cv-01009 (United States District Court for the Western District of Washington)
Date Filed: July 21, 2022
Date of Qualifying Judgment/Order: March 1, 2024

In the Matter of Skechers U.S.A., Inc.
Administrative Proceeding File No.: 3-21893
Date Filed: March 7, 2024
Date of Qualifying Judgement/Order: March 7, 2024

SEC v. Brian Sewell and Rockwell Capital Management LLC  
Case Number: 24-cv-00137 (United States District Court for the District of Delaware) 
Date Filed: February 2, 2024 
Date of Qualifying Judgment/Order: February 8, 2024

In the Matter of TIAA-CREF Individual & Institutional Services, LLC  
Administrative Proceeding File No.: 3-21856 
Date Filed: February 16, 2024 
Date of Qualifying Judgment/Order: February 16, 2024

In the Matter of U.S. Bancorp Investments, Inc.  
Administrative Proceeding File No.: 3-21854 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024

In the Matter of Oppenheimer & Co. Inc. 
Administrative Proceeding File No.: 3-21852 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024

In the Matter of Guggenheim Securities LLC and Guggenheim Parners Investment Management LLC  
Administrative Proceeding File No.: 3-21851 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024

In the Matter of Van Eck Associates Corporation  
Administrative Proceeding File No.: 3-21857 
Date Filed: February 16, 2024 
Date of Qualifying Judgment/Order: February 16, 2024 

In the Matter of David B. Bodner  
Administrative Proceeding File No.: 3-21842 
Date Filed: February 2, 2024 
Date of Qualifying Judgment/Order: February 2, 2024 

SEC v. Zachary J. Horwitz, and 1inmm Capital, LLC  
Case Number: 21-cv-02927 (United States District Court for the Central District for California) 
Date Filed: April 5, 2021 
Date of Qualifying Judgment/Order: February 15, 2024 

In the Matter of TradeStation Crypto, Inc. 
Administrative Proceeding File No.: 3-21845 
Date Filed: February 7, 2024 
Date of Qualifying Judgment/Order: February 7, 2024 

In the Matter of Morgan Stanley & Co. LLC  
Administrative Proceeding File No.: 3-21825 
Date Filed: January 12, 2024 
Date of Qualifying Judgment/Order: January 12, 2024

SEC v. Boron Capital, LLC, BC Holdings 2017, LLC, United BNB Fund 2018, LLC, and Blake Robert Templeton
Case Number: 22-cv-00114 (United States District Court for the Northern District of Texas) 
Date Filed: June 14, 2022 
Date of Qualifying Judgment/Order: February 13, 2024 

SEC v. Mark Allan Plummer, Emilio Barrera, Jr. (A/K/A Mike Barrera), PRT Consulting, LLC D/B/A Petroleum Resources of Texas, Richmond Engineering, Inc., Todd J Prince, George Rauch (F/K/A George B Fasciano), and Todd Stuart Breitling   
Case Number: 21-cv-02331 (United States District Court for the Northern District of Texas) 
Date Filed: September 30, 2021 
Date of Qualifying Judgment/Order: February 21, 2024 

SEC v. Steven Chiang a/k/a Cyrus Kong, Eric Tippetts, James Hardy, and Maurice “Butch” Chelliah
Case Number: 22-cv-00600 (United States District Court for the Southern District of California) 
Date Filed: April 28, 2022 
Date of Qualifying Judgment/Order: February 1, 2024 

In the Matter of The Huntington Investment Company, Huntington Securities, Inc., and Capstone Capital Markets LLC 
Administrative Proceeding File No.: 3-21853 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024 

In the Matter of Lincoln Financial Advisors Corporation and Lincoln Financial Securities Corporation 
Administrative Proceeding File No.: 3-21848
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024 

In the Matter of Cambridge Investment Research, Inc. And Cambridge Investment Research Advisors, Inc.  
Administrative Proceeding File No.: 3-21847 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024  

In the Matter of Key Investment Services LLC, and KeyBanc Capital Markets Inc.  
Administrative Proceeding File No.: 3-21849 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024 

In the Matter of Northwestern Mutual Investment Services, LLC, Northwestern Mutual Investment Management Company, LLC, and Mason Street Advisors, LLC  
Administrative Proceeding File No.: 3-21850
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024 

SEC v. Beaxy Digital, Ltd., Artak Hamazaspyan, Windy Inc., Nicholas Murphy, Randolph Bay Abbott, Braverock Investments, LLC, Future Digital Markets, Inc., Windy Financial LLC, Future Financial LLC, and Brian Peterson  
Case Number: 23-cv-01962 (United States District Court for the Northern District of Illinois) 
Date Filed: March 29, 2023 
Date of Qualifying Judgment/Order: February 13, 2024  

SEC v. John Feloni and Stock Squirrel, Inc.
Case Number: 23-cv-12233 (United States District Court for the District of Massachusetts)
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: February 8, 2024

SEC v. Aryeh Goldsten, Adar Bays, LLC, and Adar Alef, LLC 
Case Number: 24-cv-20261 (United States District Court for the Southern District of Florida) 
Date Filed: January 23, 2024 
Date of Qualifying Judgment/Order: February 13, 2024 

SEC v. Jared Jeffrey David and Dale Burke Pinchot
Case Number: 18-cv-02829 (United States District Court for the Northern District of Ohio)
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: January 18, 2024

SEC v. Vincenzo Carnovale and Amar Bahadoorsingh  
Case Number: 21-cv-11938 (United States District Court for the District of Massachusetts) 
Date Filed: December 2, 2021 
Date of Qualifying Judgment/Order: January 2, 2024

In the Matter of Aon Investments USA Inc., fka Aon Hewitt Investment Consulting, Inc.  
Administrative Proceeding File No.: 3-21837 
Date Filed: January 25, 2024 
Date of Qualifying Judgment/Order: January 25, 2024 

SEC v. Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen  
Case Number: 23-cv-06553 (United States District Court for the Western District of New York) 
Date Filed: September 26, 2023 
Date of Qualifying Judgment/Order: January 17, 2024 

SEC v. Robert Joseph Armijo and Joseph Financial, Inc.  
Case Number: 21-cv-01107 (United States District Court for the Southern District of California) 
Date Filed: June 14, 2021 
Date of Qualifying Judgment/Order: January 9, 2024 

SEC v. Ronald E. Filoramo  
Case Number: 23-cv-61858 (United States District Court for the Southern District of Florida) 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: January 8, 2024 

SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliot  
Case Number: 17-cv-07994 (United States District Court for the Southern District of New York) 
Date Filed: October 17, 2017 
Date of Qualifying Judgment/Order: November 20, 2023 

SEC v. Crowd Machine, Inc., MetaVine, Inc., and Craig Derel Sproule  
Case Number: 22-cv-00076 (United States District Court for the Northern District of California) 
Date Filed: January 6, 2022 
Date of Qualifying Judgment/Order: January 17,2024 

In the Matter of J.P. Morgan Securities LLC  
Administrative Proceeding File No.: 3-21829 
Date Filed: January 16, 2024 
Date of Qualifying Judgment/Order: January 16, 2024 

In the Matter of Brooge Energy Limited Nicolaas Lammert Paardenkooper and Lina Saheb  
Administrative Proceeding File No.: 3-21816 
Date Filed: December 22, 2023 
Date of Qualifying Judgment/Order: December 22, 2023 

In the Matter of Barnbridge Dao
Administrative Proceeding File No.: 3-21817
Date Filed: December 22, 2023
Date of Qualifying Judgment/Order: December 22, 2023

In the Matter of OEP Capital Advisors, L.P.
Administrative Proceeding File No.: 3-21819
Date Filed: December 26, 2023
Date of Qualifying Judgment/Order: December 26, 2023

In the Matter of SAP SE
Administrative Proceeding File No.: 3-21824
Date Filed: January 10, 2024
Date of Qualifying Judgment/Order: January 10, 2024

SEC v. SHE Beverage Company, Inc., Lupe L. Rose, Sonja F. Shelby and Katherine E. Dirden
Case Number: 21-cv-07339 (United States District Court for the Central District of California)
Date Filed: September 14, 2021
Date of Qualifying Judgment/Order: January 22, 2024

SEC v. Steven Keith Woodard, Sr
Case Number: 23-cv-00112 (United States District Court for the District of Hawaii)
Date Filed: March 1, 2023
Date of Qualifying Judgment/Order: January 2, 2024

SEC v. Joseph A. Cammarata, Erik Cohen, David H. Puturieri, AlphaPlus Portfolio Recovery Corp., and Alpha Plus Recovery LLC
Case Number: 21-cv-04845 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: November 3, 2021
Date of Qualifying Judgment/Order: January 23, 2024

In the Matter of Northern Star Investment Corp. II
Administrative Proceeding File No.: 3-21838
Date Filed: January 25, 2024
Date of Qualifying Judgment/Order: January 25, 2024

SEC v. Dennis M. Jali
Case Number: 20-cv-02491 (United States District Court for the District of Maryland)
Date Filed: August 28, 2020
Date of Qualifying Judgment/Order: November 9, 2023  

SEC v. Mark Marchi
Case Number: 22-cv-02661 (United States District Court for the District of New Jersey)
Date Filed: May 5, 2022
Date of Qualifying Judgment/Order: December 13, 2023

SEC v. Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, Elite Stock Research, Inc.
Case Number: 18-cv-06501 (United States District Court for the Eastern District of New York)
Date Filed: November 15, 2018
Date of Qualifying Judgment/Order: November 29, 2023

SEC v. Bradley C. Reifler
Case Number: 20-cv-00511 (United States District Court for the District of Nevada)
Date Filed: March 12, 2020
Date of Qualifying Judgment/Order: December 1, 2023

In the Matter of Credit Suisse Securities (USA) LLC; Credit Suisse Asset Management, LLC; and Credit Suisse Asset Management Limited
Administrative Proceeding File No.: 3-21811
Date Filed: December 13, 2023
Date of Qualifying Judgment/Order: December 13, 2023

SEC v. Michael K. Molen, Enviro Impact Resources, Inc., Seth M. Molen, and Pixel Arcanum, Inc.
Case Number: 23-cv-00735 (United States District Court for the Northern District of Georgia)
Date Filed: February 16, 2023
Date of Qualifying Judgment/Order: December 1, 2023

SEC v. ABFP Income Fund Parallel, Inc., ABFP Fund 3, LLC, ABFP Income Fund 3 Parallel, LLC, ABFP Income Fund 4, LLC, ABFP Income Fund 4 Parallel, LLC, ABFP Income Fund 6, LLC, ABFP Income Fund 6 Parallel, LLC, ABFP Multi-Strategy Investment Fund, LP, and ABFP Multi-Strategy Investment Fund 2, LP
Case Number: 23-cv-23721 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: November 8, 2023
 

SEC v. Brent Seaman, Accanito Equity, LLC, Accanito Equity II, LLC, Accanito Equity III, LLC, Accanito Equity IV, LLC, Accanito Capital Group, LLC, Surge, LLC, Accanito Holdings, LLC
Case Number: 23-cv-22791 (United States District Court for the Southern District of Florida)
Date Filed: July 27, 2023
Date of Qualifying Judgment/Order: November 14, 2023 
 

In the Matter of Charter Communications, Inc.
Administrative Proceeding File No.: 3-21797
Date Filed: November 14, 2023
Date of Qualifying Judgment/Order: November 14, 2023
 

SEC v. Marguerite Cassandra Toroian and Bell Rock Capital, LLC
Case Number: 22-cv-00715 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: February 25, 2022
Date of Qualifying Judgment/Order: November 16, 2023
 

In the Matter of Royal Bank of Canada
Administrative Proceeding File No.: 3-21792
Date Filed: November 2, 2023
Date of Qualifying Judgment/Order: November 2, 2023
 

In the Matter of DBRS, Inc.
Administrative Proceeding File No.: 3-21773
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: September 29, 2023

In the Matter of Exelon Corporation and Commonwealth Edison Company   
Administrative Proceeding File No.: 3-21761 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023 

In the Matter of DBRS, Inc. 
Administrative Proceeding File No.: 3-21772 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Willaim Blair & Company, L.L.C; and William Blair Investment Management, LLC  
Administrative Proceeding File No.: 3-21764 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Fifth Third Securities, Inc. 
Administrative Proceeding File No.: 3-21765 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Nuveen Securities, LLC 
Administrative Proceeding File No.: 3-21767 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Robert W. Baird & Co. Incorporated 
Administrative Proceeding File No.: 3-21768 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

SEC v. Nano-X Imaging Ltd., and Ran Poliakine  
Case Number: 23-cv-08611 (United States District Court for the Southern District of New York) 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: October 3, 2023 

In the Matter of Anson Advisors Inc.  
Administrative Proceeding File No.: 3-21783 
Date Filed: October 19, 2023 
Date of Qualifying Judgment/Order: October 19, 2023

SEC v. Harmel S. Rayat, and Renovacare, Inc. 
Case Number: 21-cv-04777 (United States District Court for the Southern District of New York) 
Date Filed: May 28, 2021 
Date of Qualifying Judgment/Order: October 17, 2023 

In the Matter of Albemarle Corporation  
Administrative Proceeding File No.: 3-21763 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Clear Channel Outdoor Holdings, Inc. 
Administrative Proceeding File No.: 3-21755 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023

In the Matter of TAL Education Group  
Administrative Proceeding File No.: 3-21754 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023 

In the Matter of Newell Brands Inc. and Michael B. Polk  
Administrative Proceeding File No.: 3-21766 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Spruce Power Holding Corporation  
Administrative Proceeding File No.: 3-21748 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023

SEC v. Johnny Tseng (a/k/a Kuanhao J. Tseng, Kuanhao Tseng), Kevin Zhang (a/k/a Kevin Huapeng Zhang, Huapeng Zhang), and Summitcrest Capital, Inc.  
Case Number: 23-cv-01488 (United States District Court for the Central District of California) 
Date Filed: July 28, 2023 
Date of Qualifying Judgment/Order: October 23, 2023 

SEC v. Bitconnect, Satish Kumbhani, Glenn Arcaro, and Future Money Ltd 
Case Number: 21-cv-07349 (United States District Court for the Southern District of New York) 
Date Filed: September 1, 2021 
Date of Qualifying Judgment/Order: September 29, 2023

In the Matter of Blackrock Advisors, LLC  
Administrative Proceeding File No.: 3-21786 
Date Filed: October 24, 2023 
Date of Qualifying Judgment/Order:  October 24, 2023

In the Matter of D.E. Shaw & Co, L.P.  
Administrative Proceeding File No.: 3-21775 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Citigroup Global Markets, Inc., and Citi International Financial Services, LLC, now known as Insigneo International Financial Services, LLC 
Administrative Proceeding File No.: 3-21753 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023

In the Matter of Perella Weinberg Partners, LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP
Administrative Proceeding File No.: 3-21769 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Interactive Brokers Corp. and Interactive Brokers LLC  
Administrative Proceeding File No.: 3-21770 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023

In the Matter of Kroll Bond Rating Agency, LLC 
Administrative Proceeding File No.: 3-21776 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 
 

In the Matter of Wilmington Trust Investment Management, LLC  
Administrative Proceeding File No.: 3-21780 
Date Filed: October 10, 2023 
Date of Qualifying Judgment/Order: October 10, 2023 

SEC v. Thor Technologies, Inc. and David Chin  
Case Number: 22-cv-09043 (United States District Court for the Northern District of California) 
Date Filed: December 21, 2022 
Date of Qualifying Judgment/Order: October 18, 2023 

SEC v. Brett M. Bartlett, Scott A. Miller, Dynasty Toys, Inc., The 7M EGroup Corp., Concept Management Company LLC, and Dynasty, Inc
Case Number: 23-cv-00765 (United States District Court for the Central District of California)
Date Filed: May 2, 2023
Date of Qualifying Judgment/Order: September 20, 2023

SEC v. Seong Yeol Lee and Ameritrust Corporation
Case Number: 23-cv-00125 (United States District Court for the District of Connecticut
Date Filed: February 2, 2023
Date of Qualifying Judgment/Order: September 5, 2023

In the Matter of Citadel Securities, LLC
Administrative Proceeding File No.: 3-21703
Date Filed: September 22, 2023
Date of Qualifying Judgment/Order: September 22, 2023

SEC v. Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger
Case Number: 19-cv-08086 (United States District Court for the Southern District of New York)
Date Filed: August 29, 2019
Date of Qualifying Judgment/Order: September 19, 2023

SEC v. George Stubos
Case Number: 22-cv-04674 (United States District Court for the Southern District of New York) 
Date Filed: June 6, 2022
Date of Qualifying Judgment/Order: September 8, 2023

In the Matter of GlennCap LLC and Jonathan Vincent Glenn
Administrative Proceeding File No.: 3-21667
Date Filed: September 14, 2023
Date of Qualifying Judgment/Order: September 14, 2023

In the Matter of YieldStreet Inc., and YieldStreet Management, LLC
Administrative Proceeding File No.: 3-21651
Date Filed: September 12, 2023
Date of Qualifying Judgment/Order: September 12, 2023

SEC v. Douglas Macwright and Highlander Capital Management, LLC
Case Number: 23-cv-20609 (United States District Court for the District of New Jersey)
Date Filed: September 25, 2023
Date of Qualifying Judgment/Order: September 27, 2023

SEC v. Thomas Collins, Patrick Thomas, Gary Kouletas, Scott Levine, and Brian Kingsfield
Case Number: 23-cv-00676 (United States District Court for the Northern District of Texas)
Date Filed: June 30, 2023
Date of Qualifying Judgment/Order: September 5, 2023

In the Matter of Plug Power Inc. 
Administrative Proceeding File No.: 3-21588
Date Filed: August 30, 2023
Date of Qualifying Judgment/Order: August 30, 2023

In the Matter of Fluor Corporation
Administrative Proceeding File No.: 3-21610
Date Filed: September 6, 2023
Date of Qualifying Judgment/Order: September 6, 2023

In the Matter of DWS Investment Management Americas, Inc.
Administrative Proceeding File No.: 3-21707
Date Filed: September 25, 2023
Date of Qualifying Judgment/Order: September 25, 2023

In the Matter of DWS Investment Management Americas, Inc
Administrative Proceeding File No.: 3-21709
Date Filed: September 25, 2023
Date of Qualifying Judgment/Order: September 25, 2023

SEC v. Marc J. Frankel
Case Number: 22-cv-06500 (United States District Court for the Central District of California)
Date Filed: September 12, 2022
Date of Qualifying Judgment/Order: September 20, 2023

In the Matter of Lyft, Inc.
Administrative Proceeding File No.: 3-21672
Date Filed: September 18, 2023
Date of Qualifying Judgment/Order: September 18, 2023

In the Matter of Prime Group Holdings, LLC
Administrative Proceeding File No.: 3-21602
Date Filed: September 5, 2023
Date of Qualifying Judgment/Order: September 5, 2023

In the Matter of Goldman Sachs & Co. LLC
Administrative Proceeding File No.: 3-21700
Date Filed: September 22, 2023
Date of Qualifying Judgment/Order: September 22, 2023

In the Matter of AssetMark, Inc.
Administrative Proceeding File No.: 3-21724
Date Filed: September 26, 2023
Date of Qualifying Judgment/Order: September 26, 2023

In the Matter of American Infrastructure Funds, LLC
Administrative Proceeding File No.: 3-21704
Date Filed: September 22, 2023
Date of Qualifying Judgment/Order: September 22, 2023

In the Matter of Jacob R. Orvidas
Administrative Proceeding File No.: 3-21630
Date Filed: September 8, 2023
Date of Qualifying Judgment/Order: September 8, 2023

SEC v. Alton Perkins, Yilaime Corporation of NC, Yilaime Corporation of Nevada, Perkins HSU Export Corporation, American Towne Holdings, Inc., and Mabiala Phuati
Case Number: 19-cv-00243 (United States District Court for the Eastern District of North Carolina)
Date Filed: June 13, 2019
Date of Qualifying Judgment/Order: August 22, 2023

SEC v. Timothy J. Allcott, Thomas D. Renison, and ARO Equity, LLC
Case Number: 20-cv-10027 (United States District Court for the District of Massachusetts)
Date Filed: January 8, 2020
Date of Qualifying Judgment/Order: July 27, 2023

In the Matter of 3M Company
Administrative Proceeding File No.: 3-21581
Date Filed: August 25, 2023
Date of Qualifying Judgment/Order: August 25, 2023

In the Matter of Archipelago Trading Services, Inc.
Administrative Proceeding File No.: 3-21587
Date Filed: August 29, 2023
Date of Qualifying Judgment/Order: August 29, 2023

In the Matter of Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-21580
Date Filed: August 25, 2023
Date of Qualifying Judgment/Order: August 25, 2023

SEC v. Mark Klein, Eduardo Rubinstein, and Pablo Rubinstein
Case Number: 22-cv-06426 (United States District Court for the Southern District of New York)
Date Filed: July 28, 2022
Date of Qualifying Judgment/Order: August 2, 2023

In the Matter of Canoo Inc.
Administrative Proceeding File No.: 3-21544
Date Filed: August 4, 2023
Date of Qualifying Judgment/Order: August 4, 2023

SEC v. Chad Stickforth
Case Number: 23-cv-02000 (United States District Court for the District of Colorado)
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 25, 2023

SEC v. RBF Trust LLC, a Florida company, Paulo Fernando de Bastos, Joao Pedro Fonseca, a/k/a Joao Pedro Fonseca de Bastos RBF Trust LLC, a Michigan company, D3 Gestion Immobiliere LLC, a Florida company, and D3 Gestion Immobiliere LLC, a Michigan company
Case Number: 22-cv-61831 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2022
Date of Qualifying Judgment/Order: August 1, 2023

In the Matter of Crowe U.K. LLP, Nigel D. Bostock, FCA, and Matthew C. Stallabrass, FCA
Administrative Proceeding File No.: 3-21560
Date Filed: August 14, 2023
Date of Qualifying Judgment/Order: August 14, 2023

In the Matter of Grupo Aval Acciones Y Valores S.A. and Corporacion Financiera Colombiana, S.A
Administrative Proceeding File No.: 3-21559
Date Filed: August 10, 2023
Date of Qualifying Judgment/Order: August 10, 2023

In the Matter of Exchange Traded Managers Group LLC, ETF Managers Group LLC, and Samuel R. Masucci
Administrative Proceeding File No.: 3-21542
Date Filed: August 1, 2023
Date of Qualifying Judgment/Order: August 1, 2023

In the Matter of Legacy Hospitality II, LLC, Legendary Capital Reit III, LLC, and Corey R. Maple
Administrative Proceeding File No.: 3-21586
Date Filed: August 28, 2023
Date of Qualifying Judgment/Order: August 28, 2023

In the Matter of Titan Global Capital Management USA LLC
Administrative Proceeding File No.: 3-21569
Date Filed: August 21, 2023
Date of Qualifying Judgment/Order: August 21, 2023

SEC v. George Iakovou, Vika Ventures LLC, Penelope Zbravos
Case Number: 22-cv-00194 (United States District Court for the Middle District of Georgia)
Date Filed: December 7, 2022
Date of Qualifying Judgment/Order: August 9, 2023

In the Matter of Murray A. Huberfeld
Administrative Proceeding File No.: 3-21537
Date Filed: July 31, 2023
Date of Qualifying Judgment/Order: July 31, 2023

In the Matter of Moshe aka "Mark" Feuer and Scott A. Taylor
Administrative Proceeding File No.: 3-21538
Date Filed: July 31, 2023
Date of Qualifying Judgment/Order: July 31, 2023

SEC v. Bittrex, Inc., Bittrex Global Gmbh, and William Hiroaki Shihara
Case Number: 23-cv-00580 (United States District Court for the Western District of Washington)
Date Filed: April 17, 2023
Date of Qualifying Judgment/Order: August 15, 2023

In the Matter of Citigroup Global Markets Inc
Administrative Proceeding File No.: 3-21583
Date Filed: August 29, 2023
Date of Qualifying Judgment/Order: August 29, 2023

SEC v. Charles Rustin Holzer
Case Number: 23-cv-06753 (United States District Court for the Southern District of New York)
Date Filed: August 2, 2023
Date of Qualifying Judgment/Order: August 4, 2023

SEC v. Infinity Q Capital Management, LLC
Case Number: 23-cv-05081 (United States District Court for the Southern District of New York)
Date Filed: June 16, 2023
Date of Qualifying Judgment/Order: June 30, 2023

In the Matter of Wedbush Securities Inc.
Administrative Proceeding File No.: 3-21550
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of SG Americas Securities, LLC
Administrative Proceeding File No.: 3-21558
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of Mizuho Securities USA LLC
Administrative Proceeding File No.: 3-21557
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of SMBC Nikko Securities America, Inc.
Administrative Proceeding File No.: 3-21551
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of BMO Capital Markets Corp.
Administrative Proceeding File No.: 3-21556
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of Houlihan Lokey Capital, Inc
Administrative Proceeding File No.: 3-21553
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of Moelis & Company LLC
Administrative Proceeding File No.: 3-21554
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of BNP Paribus Securities Corp.
Administrative Proceeding File No.: 3-21555
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of Impact Theory, LLC
Administrative Proceeding File No.: 3-21585
Date Filed: August 28, 2023
Date of Qualifying Judgment/Order: August 28, 2023

In the Matter of Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-21552
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

SEC v. Robert D. Christensen; Anthony M. Matic; Foresee, Inc., The Commission Pdx, LLC; The Policy Pdx, LLC; Innings 150, LLC 
Case Number: 23-cv-00959 (United States District Court for the District of Oregon) 
Date Filed: June 30, 2023 
Date of Qualifying Judgment/Order: July 11, 2023

In the Matter of Quantstamp, Inc. 
Administrative Proceeding File No.: 3-21535 
Date Filed: July 21, 2023 
Date of Qualifying Judgment/Order: July 21, 2023

SEC v. BHP Capital NY, Inc., and Bryan Pantofel 
Case Number: 23-cv-22233 (United States District Court for the Southern District of Florida) 
Date Filed: June 16, 2023 
Date of Qualifying Judgment/Order: June 29, 2023

In the Matter of Digital World Acquisition Corp. 
Administrative Proceeding File No.: 3-21534 
Date Filed: July 20, 2023 
Date of Qualifying Judgment/Order: July 20, 2023

In the Matter of Cantor Fitzgerald & Co. 
Administrative Proceeding File No.: 3-21528 
Date Filed: July 14, 2023 
Date of Qualifying Judgment/Order: July 14, 2023

SEC v. Andrew Defrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine Defrancesco 
Case Number: 23-cv-00131 (United States District Court for the Southern District of New York) 
Date Filed: January 6, 2023
Date of Qualifying Judgment/Order: July 5, 2023

In the Matter of Future Fin Tech Group Inc. 
Administrative Proceeding File No.: 3-21511 
Date Filed: July 3, 2023 
Date of Qualifying Judgment/Order: July 3, 2023

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated; and BAC North America Holding Co. 
Administrative Proceeding File No.: 3-21524 
Date Filed: July 11, 2023 
Date of Qualifying Judgment/Order: July 11, 2023

SEC v. Leon Vaccarelli, individually and doing business as, Lux Financial Services, LWLVACC, LLC
Case Number: 17-cv-01471 (United States District Court for the District of Connecticut)
Date Filed: August 31, 2017
Date of Qualifying Judgment/Order: June 29, 2023

SEC v. Evoqua Water Technologies Corp., and Imran Parekh
Case Number: 23-cv-00105 (United States District Court for the District of Rhode Island)
Date Filed: March 13, 2023
Date of Qualifying Judgment/Order: July 10, 2023

SEC v. Cooper J. Morgenthau
Case Number: 23-cv-00022 (United States District Court for the Southern District of New York)
Date Filed: January 3, 2023
Date of Qualifying Judgment/Order: July 13, 2023

SEC v. William A. Huber and Hubadex, Inc.
Case Number: 09-cv-06068 (United States District Court for the Northern District of Illinois)
Date Filed: September 29, 2009
Date of Qualifying Judgment/Order: June 15, 2023

SEC v. Michael B. Zipprich, America's Rehab Campuses, LLC, America's Rehab Campuses- Arizona, LLC
Case Number: 20-cv-02308 (United States District Court for the District of Nevada)
Date Filed: December 21, 2020
Date of Qualifying Judgment/Order: June 29, 2023

SEC v. Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, And CHS Asset Management Inc.
Case Number: 19-cv-00499 (United States District for the Central District of California)
Date Filed: March 13, 2019
Date of Qualifying Judgment/Order: July 14, 2023

SEC v. Lambert Vander Tuig, Ben Schactschneider, Capital Development Resources, f/k/a Biosynetics, and Biosynetics Management
Case Number: 21-cv-05381 (United States District for the Central District of California)
Date Filed: July 2, 2021
Date of Qualifying Judgment/Order: July 12, 2023

SEC v. Ramas Capital Management, LLC, Ganesh H. Betanabhatla
Case Number: 22-cv-02979 (United States District Court for the Southern District of Texas)
Date Filed: September 1, 2022
Date of Qualifying Judgment/Order: June 30, 2023

SEC v. Marco "Sully" Perez and Permian Basin Proppants, Inc.
Case Number: 21-cv-00238 (United States District Court for the Western District of Texas)
Date Filed: December 14, 2021
Date of Qualifying Judgment/Order: June 23, 2023

In the Matter of Gartner, Inc.
Administrative Proceeding File No.: 3-21470
Date Filed: May 26, 2023
Date of Qualifying Judgment/Order: May 26, 2023

SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto
Case Number: 21-cv-01226 (United States District Court for New Jersey)
Date Filed: January 27, 2021
Date of Qualifying Judgment/Order: June 22, 2023

In the Matter of Marcum LLP
Administrative Proceeding File No.: 3-21500
Date Filed: June 21, 2023
Date of Qualifying Judgment/Order: June 21, 2023

In the Matter of Pacific Investment Management Company LLC
Administrative Proceeding File No.: 3-21489
Date Filed: June 16, 2023
Date of Qualifying Judgment/Order: June 16, 2023

In the Matter of Pacific Investment Management Company LLC
Administrative Proceeding File No.: 3-21490
Date Filed: June 16, 2023
Date of Qualifying Judgment/Order: June 16, 2023

SEC v. Tarek D. Bahgat and Lauramarie Colagelo
Case Number: 17-cv-00971 (United States District Court for the Western District of New York)
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: June 6, 2023

SEC v. James David O'Brien
Case Number: 21-cv-09575 (United States District for the Southern District of New York)
Date Filed: November 18, 2021
Date of Qualifying Judgment/Order: June 2, 2023

In the Matter on J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-21502
Date Filed: June 22, 2023
Date of Qualifying Judgment/Order: June 22, 2023

In the Matter of Insight Ventures Management, LLC
Administrative Proceeding File No.: 3-21499
Date Filed: June 20, 2023
Date of Qualifying Judgment/Order: June 20, 2023

In the Matter of Cantaloupe, Inc. (formerly d/b/a USA Technologies, Inc.)
Administrative Proceeding File No.: 3-21483
Date Filed: June 5, 2023
Date of Qualifying Judgment/Order: June 5, 2023

In the Matter of RTW Investments, LP
Administrative Proceeding File No.: 3-21473
Date Filed: May 30, 2023
Date of Qualifying Judgment/Order: May 30, 2023

SEC v. Carrie L. Tolstedt
Case Number: 20-cv-07987 (United States District Court for the Northern District of California)
Date Filed: November 13, 2020
Date of Qualifying Judgment/Order: May 31, 2023

SEC v. Trends Investments Inc., Brandon Rossetti, Clinton Greyling, Leslie Greyling, Roger Bendelac, and Thomas Capellini
Case Number: 22-cv-10889 (United States District Court for the District of Massachusetts)
Date Filed: June 8, 2022
Date of Qualifying Judgment/Order: April 25, 2023

SEC v. Ronald D. Swanson
Case Number: 20-cv-00666 (United States District Court for the District of Connecticut)
Date Filed: May 14, 2020
Date of Qualifying Judgment/Order: May 23, 2023

SEC v. Kay X. Yang and Xapphire LLC
Case Number: 22-cv-00450 (United States District Court for the Eastern District of Wisconsin)
Date Filed: April 13, 2022
Date of Qualifying Judgment/Order: April 26, 2023

SEC v. Chicago Crypto Capital LLC, Brian B. Amoah, Darcas Oliver Young, and Elbert G. Elliott
Case Number: 22-cv-04975 (United States District Court for the Northern District of Illinois)
Date Filed: September 14, 2022
Date of Qualifying Judgment/Order: May 10, 2023

SEC v. Empires Consulting Corp. (DBA "Empiresx") Emerson Sousa Pires, Flavio Mendes, Goncalves, and Joshua David Nicholas
Case Number: 22-cv-21995 (United States District Court for the Southern District of Florida)
Date Filed: June 30, 2022
Date of Qualifying Judgment/Order: May 26, 2023

In the Matter of Gaia, Inc. and Paul C. Tarell, Jr., CPA
Administrative Proceeding File No.: 3-21438
Date Filed: May 23, 2023
Date of Qualifying Judgment/Order: May 23, 2023

SEC v. Martin Adrian Ruiz, Ram Fund, LP, and Bain Wealth Management, LLC
Case Number: 21-cv-06622 (United States District Court for the Southern District of New York)
Date Filed: August 13, 2021
Date of Qualifying Judgment/Order: May 26, 2023

SEC v. Judith D. Paris-Pinder
Case Number: 22-cv-23100 (United States District Court for the Southern District of Florida)
Date Filed: September 26, 2022
Date of Qualifying Judgment/Order: April 24, 2023

SEC v. William Glen Baker, Michael Bowen, Cannon Operating Company LLC, North Texas Minerals LLC, and Chol Kim a/k/a Brandon Kim
Case Number: 22-cv-01415 (United States District Court for the Northern District of Texas)
Date Filed: June 30, 2022
Date of Qualifying Judgment/Order: April 12, 2023

SEC v. Brian Raymond Callahan, Horizon Global Advisors Ltd., Horizon Global Advisors, LLC, Diversified Global Investments (BVI) L.P., The Masters Global Fund, L.P., Horizon Millennium Investments, L.P. Pangea Offshore High Yield Portfolio, LLC, Adam Manson, Distinctive Investments LLC, and Distinctive Ventures LLC
Case Number: 12-cv-01065 (United States District Court for the Eastern District of New York)
Date Filed: May 31, 2012
Date of Qualifying Judgment/Order: May 12, 2023

SEC v. Saexploration Holdings, Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott
Case Number: 20-cv-08423 (United States District Court for the Southern District of New York)
Date Filed: October 8, 2020
Date of Qualifying Judgment/Order: April 21, 2023

In the Matter of Koninklijke Philips N.V.
Administrative Proceeding File No.: 3-21411
Date Filed: May 11, 2023
Date of Qualifying Judgment/Order: May 11, 2023

SEC v. The Hydrogen Technology Corporation Michael Ross Kane, and Tyler Ostern
Case Number: 22-cv-08284 (United States District Court for the Southern District of New York)
Date Filed: September 29, 2022
Date of Qualifying Judgment/Order: April 20, 2023

SEC v. Vale S.A.
Case Number: 22-cv-02405 (United States District Court for the Eastern District of New York)
Date Filed: April 28, 2022
Date of Qualifying Judgment/Order: April 11, 2023

SEC v. Energy & Environmental Investments, LLC; Energy & Environment, Inc., Amir A. Sardari; and Narysa Sardari Luddy
Case Number: 23-cv-00338 (United States District Court for the Central District of California)
Date Filed: February 24, 2023
Date of Qualifying Judgment/Order: May 19, 2023

SEC v. James Arthur McDonald, Jr. and Hercules Investments, LLC
Case Number: 22-cv-06799 (United States District Court for the Central District of California)
Date Filed: September 21, 2022
Date of Qualifying Judgment/Order: April 27, 2023

SEC v. GPL Ventures LLC, GPL Management LLC, Alexander J. Dillon, Cosmin I. Panait, Hempamericana, Inc., Salavador E. Rosillo, Seaside Advisors, LLC, and Lawrence B. Adams
Case Number: 21-cv-06814 (United States District Court for the Southern District of New York)
Date Filed: August 13, 2021
Date of Qualifying Judgment/Order: May 2, 2023

SEC v. Joseph Orazio DeGregorio
Case Number: 22-cv-01102 (United States District Court for the Eastern District of New York)
Date Filed: March 1, 2022
Date of Qualifying Judgment/Order: May 5, 2023

In the Matter of HSBC Securities (USA) Inc.
Administrative Proceeding File No.: 3-21408
Date Filed: May 11, 2023
Date of Qualifying Judgment/Order: May 11, 2023

In the Matter of Scotia Capital (USA) Inc.
Administrative Proceeding File No.: 3-21409
Date Filed: May 11, 2023
Date of Qualifying Judgment/Order: May 11, 2023

SEC v. George Georgiou
Case Number: 09-cv-00616 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: February 12, 2009
Date of Qualifying Judgment/Order: April 13, 2023

SEC v. Donald G. Blakstad, Energy Sources International Corporation, and Xact Holdings Corporation
Case Number: 20-cv-00163 (United States District Court for the Southern District of New York)
Date Filed: January 8, 2020
Date of Qualifying Judgment/Order: April 11, 2023

In the Matter of Up, Global SEZC, Coinme Inc., and Neil Bergquist
Administrative Proceeding File No.: 3-21398
Date Filed: April 28, 2023
Date of Qualifying Judgment/Order: April 28, 2023

SEC v. The Estate of Kenneth J. Casey
Case Number: 21-cv-04164 (United States District Court for the Northern District of California)
Date Filed: June 2, 2021
Date of Qualifying Judgment/Order: April 18, 2023

SEC v. Matthew Nicosia, William ("Rocky") Reininger, Fabrizio Di Carlo, and Ronald Touchard
Case Number: 22-cv-05761 (United States District Court for the Eastern District of New York) 
Date Filed: September 27, 2022 
Date of Qualifying Judgment/Order: April 4, 2023

SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd., and Ability Inc.
Case Number: 19-cv-05705 (United States District Court for the Southern District of New York) 
Date Filed: June 18, 2019 
Date of Qualifying Judgment/Order: March 30, 2023

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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 

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 

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 

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 

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 

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 

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 

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 

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, 2021
Date of Qualifying Judgment/Order: June 21, 2022 

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 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

SEC v. 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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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
 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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
 

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

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

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

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

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

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

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

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

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

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

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

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

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

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
 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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 

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

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

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

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

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

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

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

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
 

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

Commission Deferred Prosecution Agreement with Tenaris, S.A.
Date: May 17, 2011

Commission Deferred Prosecution Agreement with The PBSJ Corporation
Date: January 21, 2015

Commission Deferred Prosecution with Regions Financial Corp.
Date: June 19, 2014

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

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
 

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

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

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

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 

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

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

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

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

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

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

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