| Legal Case Name | Defendant Name | Defendant Type | First Document Date | First Resolution Date | AllegationTypeString |
|---|---|---|---|---|---|
| SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey | Adelphia Communications Corp. | Public Company | 24-Jul-2002 | 30-Oct-2008 | Issuer Reporting and Disclosure |
| SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey | James P. Rigas | Individual | 24-Jul-2002 | 30-Oct-2008 | Issuer Reporting and Disclosure |
| SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey | James R. Brown | Individual | 24-Jul-2002 | 30-Oct-2008 | Issuer Reporting and Disclosure |
| SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey | John J. Rigas | Individual | 24-Jul-2002 | 30-Oct-2008 | Issuer Reporting and Disclosure |
| SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey | Michael C. Mulcahey | Individual | 24-Jul-2002 | 30-Oct-2008 | Issuer Reporting and Disclosure |
| SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey | Michael J. Rigas | Individual | 24-Jul-2002 | 30-Oct-2008 | Issuer Reporting and Disclosure |
| SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey | Timothy J. Rigas | Individual | 24-Jul-2002 | 30-Oct-2008 | Issuer Reporting and Disclosure |
| SEC v. HealthSouth Corp. and Richard M. Scrushy | Healthsouth Corp. | Public Company | 19-Mar-2003 | 22-Jun-2005 | Issuer Reporting and Disclosure |
| SEC v. HealthSouth Corp. and Richard M. Scrushy | Richard M. Scrushy | Individual | 19-Mar-2003 | 22-Jun-2005 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Blagman Media International, Inc. | Other | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | David Calkins | Individual | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | David Giles | Individual | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Francis Scott Widen | Individual | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Frank J. Custable, Jr. | Individual | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Gary Heesch | Individual | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Gateway Distributors, Ltd. | Other | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Pacel Corporation | Other | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Richard Bailey | Individual | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Sara Wetzel | Individual | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Suburban Capital Corporation | Other | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | ThermoElastic Technologies, Inc. | Other | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. | Wasatch Pharmaceutical, Inc. | Other | 01-Apr-2003 | 23-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Bear, Stearns & Co. Inc. | Bear, Stearns & Co. Inc.
Aliases |
Subsidiary of Public Company | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation | Credit Suisse First Boston LLC | Subsidiary of Public Company | 28-Apr-2003 | 31-Oct-2003 | Investment Advisers/Investment Companies |
| SEC v. Goldman, Sachs & Co. | Goldman, Sachs & Co. | Subsidiary of Public Company | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. Henry McKelvey Blodget | Henry McKelvey Blodget | Individual | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. J.P. Morgan Securities Inc. | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. Jack B. Grubman | Jack B. Grubman | Individual | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. Lehman Brothers, Inc. | Lehman Brothers, Inc. | Subsidiary of Public Company | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. Morgan Stanley & Co. Incorporated | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. U.S. Bancorp Piper Jaffray, Inc. | U.S. Bancorp Piper Jaffray, Inc. | Subsidiary of Public Company | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| SEC v. UBS Securities LLC, f/k/a UBS Warburg LLC | UBS Securities LLC | Subsidiary of Public Company | 28-Apr-2003 | 28-Apr-2003 | Investment Advisers/Investment Companies |
| In the Matter of Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., John Patrick Pierce, and Gary L. Winn | Freedom Financial Group, Inc. | Other | 04-Sep-2003 | 15-Aug-2013 | Issuer Reporting and Disclosure |
| SEC v. Kenneth P. D'Angelo and RBF International, Inc. | Kenneth P. D'Angelo | Individual | 11-Sep-2003 | 25-May-2004 | Broker Dealer |
| SEC v. Kenneth P. D'Angelo and RBF International, Inc. | RBF International, Inc. | Other | 11-Sep-2003 | 25-May-2004 | Broker Dealer |
| In the Matter of Theodore Charles Sihpol III | Theodore Charles Sihpol III | Individual | 16-Sep-2003 | 16-Sep-2003 | Investment Advisers/Investment Companies |
| In the Matter of Putnam Investment Management, LLC | Putnam Investment Management, LLC | Subsidiary of Public Company | 28-Oct-2003 | 13-Nov-2003 | Investment Advisers/Investment Companies |
| SEC v. Justin M. Scott and Omid Kamshad | Justin M. Scott | Individual | 28-Oct-2003 | 04-Jun-2007 | Investment Advisers/Investment Companies |
| SEC v. Justin M. Scott and Omid Kamshad | Omid Kamshad | Individual | 28-Oct-2003 | 04-Jun-2007 | Investment Advisers/Investment Companies |
| SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon | John S. Peffer | Individual | 04-Nov-2003 | 07-Dec-2005 | Investment Advisers/Investment Companies |
| SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon | Justin F. Ficken | Individual | 04-Nov-2003 | 07-Dec-2005 | Investment Advisers/Investment Companies |
| SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon | Marc J. Bilotti | Individual | 04-Nov-2003 | 07-Dec-2005 | Investment Advisers/Investment Companies |
| SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon | Martin J. Druffner | Individual | 04-Nov-2003 | 07-Dec-2005 | Investment Advisers/Investment Companies |
| SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon | Robert E. Shannon | Individual | 04-Nov-2003 | 07-Dec-2005 | Investment Advisers/Investment Companies |
| SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon | Skifter Ajro | Individual | 04-Nov-2003 | 07-Dec-2005 | Investment Advisers/Investment Companies |
| In the Matter of Alliance Capital Management, LP | Alliance Capital Management, LP | Public Company | 15-Jan-2004 | 15-Jan-2004 | Investment Advisers/Investment Companies |
| In the Matter of Paul A. Flynn | Paul A. Flynn | Individual | 03-Feb-2004 | 02-Aug-2006 | Investment Advisers/Investment Companies |
| In the Matter of Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke | John W. Ballen | Individual | 05-Feb-2004 | 05-Feb-2004 | Investment Advisers/Investment Companies |
| In the Matter of Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke | Kevin R. Parke | Individual | 05-Feb-2004 | 05-Feb-2004 | Investment Advisers/Investment Companies |
| In the Matter of Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke | Massachusetts Financial Services Company | Subsidiary of Public Company | 05-Feb-2004 | 05-Feb-2004 | Investment Advisers/Investment Companies |
| In the Matter of Bear Wagner Specialists LLC | Bear Wagner Specialists LLC | Subsidiary of Public Company | 30-Mar-2004 | 30-Mar-2004 | Broker Dealer |
| In the Matter of Fleet Specialist, Inc. | Fleet Specialist, Inc. | Subsidiary of Public Company | 30-Mar-2004 | 30-Mar-2004 | Broker Dealer |
| In the Matter of LaBranche & Co. LLC | LaBranche & Co. LLC | Subsidiary of Public Company | 30-Mar-2004 | 30-Mar-2004 | Broker Dealer |
| In the Matter of Spear, Leeds & Kellogg Specialists LLC | Spear, Leeds & Kellogg Specialists LLC | Subsidiary of Public Company | 30-Mar-2004 | 30-Mar-2004 | Broker Dealer |
| In the Matter of Van der Moolen Specialists USA, LLC | Van der Moolen Specialists USA, LLC | Subsidiary of Public Company | 30-Mar-2004 | 30-Mar-2004 | Broker Dealer |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Adam Klein | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Christopher Quintana | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Delta Asset Management Company, LLC | Other | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Fidra Holdings Ltd. | Other | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Frank Dolney | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Gary Todd | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Iain Brown | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Iain H.T. Brown | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Jeffrey Richardson | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Joseph Ferragamo | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Mario Casias | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Michelle Kramish Kain | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Nick Pirgousis | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Peter Moulinos | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Syndicated Food Service International, Inc. | Other | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | Thomas Tanis | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | William Brown | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | William Keeler | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | William Scott | Individual | 30-Mar-2004 | 12-Jul-2013 | Market Manipulation |
| In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato | Anthony J. D'Amato | Individual | 20-May-2004 | 20-May-2004 | Investment Advisers/Investment Companies |
| In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato | Richard S. Strong | Individual | 20-May-2004 | 20-May-2004 | Investment Advisers/Investment Companies |
| In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato | Strong Capital Management, Inc. | Other | 20-May-2004 | 20-May-2004 | Investment Advisers/Investment Companies |
| In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato | Strong Investments, Inc. | Other | 20-May-2004 | 20-May-2004 | Investment Advisers/Investment Companies |
| In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato | Strong Investor Services, Inc. | Other | 20-May-2004 | 20-May-2004 | Investment Advisers/Investment Companies |
| In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato | Thomas A. Hooker, Jr. | Individual | 20-May-2004 | 20-May-2004 | Investment Advisers/Investment Companies |
| In the Matter of Banc One Investment Advisors Corporation and Mark A. Beeson | Banc One Investment Advisors Corporation | Subsidiary of Public Company | 29-Jun-2004 | 29-Jun-2004 | Investment Advisers/Investment Companies |
| In the Matter of Banc One Investment Advisors Corporation and Mark A. Beeson | Mark A. Beeson | Individual | 29-Jun-2004 | 29-Jun-2004 | Investment Advisers/Investment Companies |
| In the Matter of J. Michael Scarborough and Royal Alliance Associates, Inc. | J. Michael Scarborough | Individual | 08-Jul-2004 | 08-Jul-2004 | Broker Dealer |
| In the Matter of J. Michael Scarborough and Royal Alliance Associates, Inc. | Royal Alliance Associates, Inc. | Subsidiary of Public Company | 08-Jul-2004 | 08-Jul-2004 | Broker Dealer |
| In the Matter of Performance Specialist Group LLC | Performance Specialist Group LLC | Other | 26-Jul-2004 | 26-Jul-2004 | Broker Dealer |
| In the Matter of SIG Specialists, Inc. | SIG Specialists, Inc. | Other | 26-Jul-2004 | 26-Jul-2004 | Broker Dealer |
| In the Matter of Franklin Advisers, Inc. | Franklin Advisers, Inc. | Subsidiary of Public Company | 02-Aug-2004 | 02-Aug-2004 | Investment Advisers/Investment Companies |
| In the Matter of CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. | CIHC, Inc. | Subsidiary of Public Company | 09-Aug-2004 | 09-Aug-2004 | Investment Advisers/Investment Companies |
| In the Matter of CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. | Conseco Equity Sales Inc.
Aliases |
Subsidiary of Public Company | 09-Aug-2004 | 09-Aug-2004 | Investment Advisers/Investment Companies |
| In the Matter of CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. | Conseco Services, LLC | Subsidiary of Public Company | 09-Aug-2004 | 09-Aug-2004 | Investment Advisers/Investment Companies |
| In the Matter of Inviva, Inc. and Jefferson National Life Insurance Company | Inviva, Inc. | Other | 09-Aug-2004 | 09-Aug-2004 | Investment Advisers/Investment Companies |
| In the Matter of Inviva, Inc. and Jefferson National Life Insurance Company | Jefferson National Life Insurance Company
Aliases |
Other | 09-Aug-2004 | 09-Aug-2004 | Investment Advisers/Investment Companies |
| SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike | Chauncey D. Steele | Individual | 11-Aug-2004 | 08-Jul-2005 | Market Manipulation |
| SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike | Competitive Technologies, Inc. | Public Company | 11-Aug-2004 | 08-Jul-2005 | Market Manipulation |
| SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike | Frank R. McPike | Individual | 11-Aug-2004 | 08-Jul-2005 | Market Manipulation |
| SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike | John R. Glushko | Individual | 11-Aug-2004 | 08-Jul-2005 | Market Manipulation |
| SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike | Richard A. Kwak | Individual | 11-Aug-2004 | 08-Jul-2005 | Market Manipulation |
| SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike | Sheldon A. Strauss | Individual | 11-Aug-2004 | 08-Jul-2005 | Market Manipulation |
| SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike | Stephen J. Wilson | Individual | 11-Aug-2004 | 08-Jul-2005 | Market Manipulation |
| SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike | Thomas C. Kocherhans | Individual | 11-Aug-2004 | 08-Jul-2005 | Market Manipulation |
| In the Matter of Janus Capital Management LLC | Janus Capital Management LLC
Aliases |
Subsidiary of Public Company | 18-Aug-2004 | 18-Aug-2004 | Investment Advisers/Investment Companies |
| In the Matter of Royal Dutch Petroleum Company and The "Shell" Transport and Tradng Co., p.l.c. | Royal Dutch Petroleum Company | Public Company | 24-Aug-2004 | 24-Aug-2004 | Market Manipulation |
| In the Matter of Royal Dutch Petroleum Company and The "Shell" Transport and Tradng Co., p.l.c. | The “Shell” Transport and Trading Co. | Public Company | 24-Aug-2004 | 24-Aug-2004 | Market Manipulation |
| SEC v. Deutsche Bank Securities, Inc. | Deutsche Bank Securities, Inc.
Aliases |
Subsidiary of Public Company | 26-Aug-2004 | 26-Aug-2004 | Investment Advisers/Investment Companies |
| SEC v. Thomas Weisel Partners LLC | Thomas Weisel Partners LLC | Other | 26-Aug-2004 | 26-Aug-2004 | Investment Advisers/Investment Companies |
| In the Matter of PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC | PA Distributors LLC | Subsidiary of Public Company | 13-Sep-2004 | 13-Sep-2004 | Investment Advisers/Investment Companies |
| In the Matter of PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC | PA Fund Management LLC | Subsidiary of Public Company | 13-Sep-2004 | 13-Sep-2004 | Investment Advisers/Investment Companies |
| In the Matter of PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC | PEA Capital LLC | Subsidiary of Public Company | 13-Sep-2004 | 13-Sep-2004 | Investment Advisers/Investment Companies |
| In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom | David Lee Ullom | Individual | 30-Sep-2004 | 28-Jan-2005 | Investment Advisers/Investment Companies |
| In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom | J. Stephen Putnam | Individual | 30-Sep-2004 | 28-Jan-2005 | Investment Advisers/Investment Companies |
| In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom | Raymond James Financial Services, Inc. | Subsidiary of Public Company | 30-Sep-2004 | 28-Jan-2005 | Investment Advisers/Investment Companies |
| In the Matter of Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. | AIM Advisors, Inc. | Subsidiary of Public Company | 08-Oct-2004 | 08-Oct-2004 | Investment Advisers/Investment Companies |
| In the Matter of Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. | AIM Distributors, Inc. | Subsidiary of Public Company | 08-Oct-2004 | 08-Oct-2004 | Investment Advisers/Investment Companies |
| In the Matter of Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. | Invesco Funds Group, Inc. | Subsidiary of Public Company | 08-Oct-2004 | 08-Oct-2004 | Investment Advisers/Investment Companies |
| In the Matter of Fremont Investment Advisors, Inc. | Fremont Investment Advisors, Inc. | Other | 04-Nov-2004 | 04-Nov-2004 | Investment Advisers/Investment Companies |
| In the Matter of Larry Adams | Larry Adams | Individual | 04-Nov-2004 | 19-May-2005 | Investment Advisers/Investment Companies |
| In the Matter of Nancy C. Tengler | Nancy C. Tengler | Individual | 04-Nov-2004 | 04-Nov-2004 | Investment Advisers/Investment Companies |
| SEC v. Stephen J. Treadway and Kenneth W. Corba | Kenneth W. Corba | Individual | 10-Nov-2004 | 13-Jun-2006 | Investment Advisers/Investment Companies |
| SEC v. Stephen J. Treadway and Kenneth W. Corba | Stephen J. Treadway | Individual | 10-Nov-2004 | 13-Jun-2006 | Investment Advisers/Investment Companies |
| In the Matter of Knight Securities L.P. | Knight Securities L.P. | Subsidiary of Public Company | 16-Dec-2004 | 16-Dec-2004 | Broker Dealer |
| In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh | Daniel R. Leland | Individual | 10-Jan-2005 | 10-Jan-2005 | Broker Dealer |
| In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh | Kerry M. Rigdon | Individual | 10-Jan-2005 | 10-Jan-2005 | Broker Dealer |
| In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh | Kevin J. Marsh | Individual | 10-Jan-2005 | 10-Jan-2005 | Broker Dealer |
| In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh | Southwest Securities, Inc. | Subsidiary of Public Company | 10-Jan-2005 | 10-Jan-2005 | Broker Dealer |
| SEC v. Courtney D. Smith | Courtney D. Smith | Individual | 07-Feb-2005 | 02-Mar-2009 | Market Manipulation |
| In the Matter of Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC | BACAP Distributors, LLC | Subsidiary of Public Company | 09-Feb-2005 | 09-Feb-2005 | Investment Advisers/Investment Companies |
| In the Matter of Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC | Banc of America Capital Management, LLC | Subsidiary of Public Company | 09-Feb-2005 | 09-Feb-2005 | Investment Advisers/Investment Companies |
| In the Matter of Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC | Banc of America Securities LLC
Aliases |
Subsidiary of Public Company | 09-Feb-2005 | 09-Feb-2005 | Investment Advisers/Investment Companies |
| In the Matter of Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. | Columbia Funds Distributor, Inc. | Subsidiary of Public Company | 09-Feb-2005 | 09-Feb-2005 | Investment Advisers/Investment Companies |
| In the Matter of Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. | Columbia Management Advisors, Inc. | Subsidiary of Public Company | 09-Feb-2005 | 09-Feb-2005 | Investment Advisers/Investment Companies |
| In the Matter of Erik Gustafson | Erik Gustafson | Individual | 09-Feb-2005 | 09-Feb-2005 | Investment Advisers/Investment Companies |
| In the Matter of Joseph Palombo | Joseph Palombo | Individual | 09-Feb-2005 | 09-Feb-2005 | Investment Advisers/Investment Companies |
| In the Matter of Peter Martin | Peter Martin | Individual | 09-Feb-2005 | 09-Feb-2005 | Investment Advisers/Investment Companies |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | James V. Parolisi | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Patrick E. Murphy | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Robert A. Johnson, Jr. | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Robert W. Luckow | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Todd J. Christie | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | David A. Finnerty | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Donald R. Foley II | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Frank A. Delaney IV | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Freddy DeBoer | Individual | 12-Apr-2005 | 27-Nov-2007 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Gerard T. Hayes | Individual | 12-Apr-2005 | 23-May-2007 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Joseph Bongiorno | Individual | 12-Apr-2005 | 23-May-2007 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Kevin M. Fee | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Michael F. Stern | Individual | 12-Apr-2005 | 23-May-2007 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Michael J. Hayward | Individual | 12-Apr-2005 | 23-May-2007 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Patrick J. McGagh, Jr. | Individual | 12-Apr-2005 | 23-May-2007 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Richard P. Volpe | Individual | 12-Apr-2005 | 23-May-2007 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Robert A. Scavone, Jr. | Individual | 12-Apr-2005 | 23-May-2007 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Scott G. Hunt | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Thomas J. Murphy, Jr. | Individual | 12-Apr-2005 | 15-Oct-2008 | Broker Dealer |
| In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. | Warren E. Turk | Individual | 12-Apr-2005 | 23-May-2007 | Broker Dealer |
| SEC v. Joseph W. Leighton | John P. Leighton | Individual | 20-Apr-2005 | 05-May-2005 | Broker Dealer |
| In the Matter of Gerald T. Malone | Gerald T. Malone | Individual | 28-Apr-2005 | 28-Apr-2005 | Investment Advisers/Investment Companies |
| In the Matter of John D. Carifa | John D. Carifa | Individual | 28-Apr-2005 | 28-Apr-2005 | Investment Advisers/Investment Companies |
| In the Matter of Michael J. Laughlin | Michael J. Laughlin | Individual | 28-Apr-2005 | 28-Apr-2005 | Investment Advisers/Investment Companies |
| In the Matter of Smith Barney Fund Management LLC and Citigroup Global Markets Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 31-May-2005 | 31-May-2005 | Investment Advisers/Investment Companies |
| In the Matter of Smith Barney Fund Management LLC and Citigroup Global Markets Inc. | Smith Barney Fund Management LLC | Subsidiary of Public Company | 31-May-2005 | 31-May-2005 | Investment Advisers/Investment Companies |
| In the Matter of Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA | Huntington Bancshares, Inc.
Aliases |
Public Company | 02-Jun-2005 | 02-Jun-2005 | Issuer Reporting and Disclosure |
| In the Matter of Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA | John Van Fleet | Individual | 02-Jun-2005 | 02-Jun-2005 | Issuer Reporting and Disclosure |
| In the Matter of Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA | Michael J. McMennamin | Individual | 02-Jun-2005 | 02-Jun-2005 | Issuer Reporting and Disclosure |
| In the Matter of Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA | Thomas E. Hoaglin | Individual | 02-Jun-2005 | 02-Jun-2005 | Issuer Reporting and Disclosure |
| SEC v. John Houldsworth and Richard Napier | John Houldsworth | Individual | 10-Jun-2005 | 27-Jun-2005 | Issuer Reporting and Disclosure |
| SEC v. John Houldsworth and Richard Napier | Richard Napier | Individual | 10-Jun-2005 | 27-Jun-2005 | Issuer Reporting and Disclosure |
| In the Matter of Ford Motor Credit Company | Ford Motor Credit Company LLC | Subsidiary of Public Company | 14-Jun-2005 | 14-Jun-2005 | Securities Offering |
| In the Matter of Edgar M. Larsen | Edgar M. Larsen | Individual | 18-Jul-2005 | 18-Jul-2005 | Investment Advisers/Investment Companies |
| In the Matter of Canadian Imperial Holdings, Inc. and CIBC World Markets Corp. | Canadian Imperial Holdings Inc.
Aliases |
Subsidiary of Public Company | 20-Jul-2005 | 20-Jul-2005 | Broker Dealer |
| In the Matter of Canadian Imperial Holdings, Inc. and CIBC World Markets Corp. | CIBC World Markets Corp. | Subsidiary of Public Company | 20-Jul-2005 | 20-Jul-2005 | Broker Dealer |
| SEC v. Kenneth D. Pasternak and John P. Leighton | John P. Leighton | Individual | 08-Aug-2005 | 24-Jun-2008 | Broker Dealer |
| SEC v. Kenneth D. Pasternak and John P. Leighton | Kenneth D. Pasternak | Individual | 08-Aug-2005 | 24-Jun-2008 | Broker Dealer |
| SEC v. Thomas v. Jones and Lewis E. Daidone | Lewis E. Daidone | Individual | 08-Aug-2005 | 26-Feb-2007 | Investment Advisers/Investment Companies |
| SEC v. Thomas v. Jones and Lewis E. Daidone | Thomas W. Jones | Individual | 08-Aug-2005 | 26-Feb-2007 | Investment Advisers/Investment Companies |
| In the Matter of John Houldsworth, CA | John Houldsworth | Individual | 11-Oct-2005 | 11-Oct-2005 | Issuer Reporting and Disclosure |
| SEC v. Theodore Charles Sihpol III | Theodore Charles Sihpol III | Individual | 12-Oct-2005 | 18-Oct-2005 | Investment Advisers/Investment Companies |
| SEC v. PacketPort.com, Inc., Ronald Durando, PacketPort, Inc., Microphase Corp., Robert H. Jaffe, Gustave Dotoli, IP Equity, Inc., M. Christopher Agarwal, Theodore Kunzog, and William Coons, III | Packetport.com, Inc. | Other | 15-Nov-2005 | Market Manipulation | |
| In the Matter of Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company | Federated Investment Management Company | Subsidiary of Public Company | 28-Nov-2005 | 28-Nov-2005 | Investment Advisers/Investment Companies |
| In the Matter of Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company | Federated Securities Corp. | Subsidiary of Public Company | 28-Nov-2005 | 28-Nov-2005 | Investment Advisers/Investment Companies |
| In the Matter of Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company | Federated Shareholder Services Company | Subsidiary of Public Company | 28-Nov-2005 | 28-Nov-2005 | Investment Advisers/Investment Companies |
| In the Matter of American Express Financial Advisors Inc. | Ameriprise Financial Services, Inc.
Aliases |
Subsidiary of Public Company | 01-Dec-2005 | 01-Dec-2005 | Issuer Reporting and Disclosure |
| In the Matter of American Express Financial Corporation (now known as Ameriprise Financial, Inc.) | Ameriprise Financial, Inc
Aliases |
Public Company | 01-Dec-2005 | 01-Dec-2005 | Investment Advisers/Investment Companies |
| SEC v. McAfee Inc. | McAfee, Inc. | Public Company | 04-Jan-2006 | 09-Feb-2006 | Issuer Reporting and Disclosure |
| SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand | Christian Milton | Individual | 02-Feb-2006 | 25-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand | Christopher Garand | Individual | 02-Feb-2006 | 25-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand | Elizabeth Monrad | Individual | 02-Feb-2006 | 25-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand | Robert D. Graham | Individual | 02-Feb-2006 | 25-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand | Ronald Ferguson | Individual | 02-Feb-2006 | 25-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. American International Group, Inc. | American International Group, Inc. | Public Company | 09-Feb-2006 | 17-Feb-2006 | Issuer Reporting and Disclosure |
| In the Matter of Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp. | Bear, Stearns & Co. Inc.
Aliases |
Subsidiary of Public Company | 16-Mar-2006 | 16-Mar-2006 | Investment Advisers/Investment Companies |
| In the Matter of Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp. | Bear, Stearns Securities Corp. | Subsidiary of Public Company | 16-Mar-2006 | 16-Mar-2006 | Investment Advisers/Investment Companies |
| SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson | Adnan M. Khashoggi | Individual | 13-Apr-2006 | 31-Mar-2010 | Market Manipulation |
| SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson | Douglas E. Jacobson | Individual | 13-Apr-2006 | 31-Mar-2010 | Market Manipulation |
| SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson | GenesisIntermedia, Inc. | Public Company | 13-Apr-2006 | 31-Mar-2010 | Market Manipulation |
| SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson | Ramy Y. El-Batrawi | Individual | 13-Apr-2006 | 31-Mar-2010 | Market Manipulation |
| SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson | Richard J. Evangelista | Individual | 13-Apr-2006 | 31-Mar-2010 | Market Manipulation |
| SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson | Ultimate Holdings, Ltd. | Other | 13-Apr-2006 | 31-Mar-2010 | Market Manipulation |
| SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson | Wayne Breedon | Individual | 13-Apr-2006 | 31-Mar-2010 | Market Manipulation |
| SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. | HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. | Public Company | 25-Apr-2006 | 26-Apr-2006 | Issuer Reporting and Disclosure |
| SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. | Jesus Bonilla-Valdez | Individual | 25-Apr-2006 | 26-Apr-2006 | Issuer Reporting and Disclosure |
| SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. | Ranko "Ron" Cucuz | Individual | 25-Apr-2006 | 26-Apr-2006 | Issuer Reporting and Disclosure |
| SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. | Ronald Lee Kolakowski | Individual | 25-Apr-2006 | 26-Apr-2006 | Issuer Reporting and Disclosure |
| SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. | William D. Shovers | Individual | 25-Apr-2006 | 26-Apr-2006 | Issuer Reporting and Disclosure |
| SEC v. Lumenis, Ltd., Sagi A. Genger, and Kevin Morano | Kevin Morano
Aliases |
Individual | 26-Apr-2006 | 02-May-2006 | Issuer Reporting and Disclosure |
| SEC v. Lumenis, Ltd., Sagi A. Genger, and Kevin Morano | Lumenis Ltd. | Public Company | 26-Apr-2006 | 02-May-2006 | Issuer Reporting and Disclosure |
| SEC v. Lumenis, Ltd., Sagi A. Genger, and Kevin Morano | Sagi A. Genger | Individual | 26-Apr-2006 | 02-May-2006 | Issuer Reporting and Disclosure |
| SEC v. James Tambone and Robert Hussey | James Tambone | Individual | 19-May-2006 | 13-Apr-2012 | Investment Advisers/Investment Companies |
| SEC v. James Tambone and Robert Hussey | Robert Hussey | Individual | 19-May-2006 | 13-Apr-2012 | Investment Advisers/Investment Companies |
| SEC v. Federal National Mortgage Association | Federal National Mortgage Association | Public Company | 23-May-2006 | 23-May-2006 | Issuer Reporting and Disclosure |
| In the Matter of Kenneth W. Corba | Kenneth W. Corba | Individual | 16-Jun-2006 | 16-Jun-2006 | Investment Advisers/Investment Companies |
| SEC v. Raytheon Company, Daniel P. Burnman, and Aldo R. Servello | Aldo R. Servello | Individual | 28-Jun-2006 | 23-Aug-2006 | Issuer Reporting and Disclosure |
| SEC v. Raytheon Company, Daniel P. Burnman, and Aldo R. Servello | Daniel P. Burnham | Individual | 28-Jun-2006 | 23-Aug-2006 | Issuer Reporting and Disclosure |
| SEC v. Raytheon Company, Daniel P. Burnman, and Aldo R. Servello | Raytheon Corporation | Public Company | 28-Jun-2006 | 23-Aug-2006 | Issuer Reporting and Disclosure |
| SEC v. John Samson, John G. A. Munro, Ian N. Campbell, John H. Whelan | Ian N. Campbell | Individual | 05-Jul-2006 | 14-Jul-2006 | Foreign Corrupt Practices Act |
| SEC v. John Samson, John G. A. Munro, Ian N. Campbell, John H. Whelan | John G. A. Munro | Individual | 05-Jul-2006 | 14-Jul-2006 | Foreign Corrupt Practices Act |
| SEC v. John Samson, John G. A. Munro, Ian N. Campbell, John H. Whelan | John H. Whelan | Individual | 05-Jul-2006 | 14-Jul-2006 | Foreign Corrupt Practices Act |
| SEC v. John Samson, John G. A. Munro, Ian N. Campbell, John H. Whelan | John Samson | Individual | 05-Jul-2006 | 14-Jul-2006 | Foreign Corrupt Practices Act |
| In the Matter of Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company | Waddell & Reed Investment Management Company
Aliases |
Subsidiary of Public Company | 24-Jul-2006 | 24-Jul-2006 | Investment Advisers/Investment Companies |
| In the Matter of Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company | Waddell & Reed Services Company | Subsidiary of Public Company | 24-Jul-2006 | 24-Jul-2006 | Investment Advisers/Investment Companies |
| In the Matter of Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company | Waddell & Reed, Inc.
Aliases |
Subsidiary of Public Company | 24-Jul-2006 | 24-Jul-2006 | Investment Advisers/Investment Companies |
| In the Matter of Warren Lammert, Lars Soderberg, and Lance Newcomb | Lance Newcomb | Individual | 31-Jul-2006 | 28-Apr-2008 | Investment Advisers/Investment Companies |
| In the Matter of Warren Lammert, Lars Soderberg, and Lance Newcomb | Lars Soderberg | Individual | 31-Jul-2006 | 28-Apr-2008 | Investment Advisers/Investment Companies |
| In the Matter of Warren Lammert, Lars Soderberg, and Lance Newcomb | Warren Lammert | Individual | 31-Jul-2006 | 28-Apr-2008 | Investment Advisers/Investment Companies |
| SEC v. Dawn M. Schlegel, and Sandra L. Hatfield | Dawn M. Schlegel | Individual | 17-Aug-2006 | 11-Aug-2015 | Issuer Reporting and Disclosure |
| SEC v. Dawn M. Schlegel, and Sandra L. Hatfield | Sandra Hatfield | Individual | 17-Aug-2006 | 11-Aug-2015 | Issuer Reporting and Disclosure |
| In the Matter of Prudential Equity Group, LLC, formerly known as Prudential Securities, Inc. | Prudential Equity Group, LLC | Subsidiary of Public Company | 28-Aug-2006 | 28-Aug-2006 | Broker Dealer |
| SEC v. Doral Financial Corporation | Doral Financial Corporation | Public Company | 19-Sep-2006 | 04-Dec-2006 | Issuer Reporting and Disclosure |
| In the Matter of BISYS Fund Services, Inc. | BISYS Fund Services Inc.
Aliases |
Subsidiary of Public Company | 26-Sep-2006 | 26-Sep-2006 | Investment Advisers/Investment Companies |
| In the Matter of Strong Capital Management, Inc. | Strong Capital Management, Inc. | Other | 29-Sep-2006 | 29-Sep-2006 | Investment Advisers/Investment Companies |
| In the Matter of David Kreinberg, CPA | David Kreinberg | Individual | 06-Nov-2006 | 06-Nov-2006 | Issuer Reporting and Disclosure |
| In the Matter of Stephen J. Treadway | Stephen J. Treadway | Individual | 07-Nov-2006 | 07-Nov-2006 | Investment Advisers/Investment Companies |
| In the Matter of Hartford Investment Financial Services, et al. | Hartford Investment Financial Services, LLC | Subsidiary of Public Company | 08-Nov-2006 | 08-Nov-2006 | Investment Advisers/Investment Companies |
| In the Matter of Hartford Investment Financial Services, et al. | Hartford Securities Distribution Company, Inc. | Subsidiary of Public Company | 08-Nov-2006 | 08-Nov-2006 | Investment Advisers/Investment Companies |
| In the Matter of Hartford Investment Financial Services, et al. | HL Investment Advisors, LLC | Subsidiary of Public Company | 08-Nov-2006 | 08-Nov-2006 | Investment Advisers/Investment Companies |
| SEC v. Jamie L. Solow | Jamie L. Solow | Individual | 08-Nov-2006 | 14-May-2008 | Broker Dealer |
| In the Matter of Jefferies & Co., Inc. and Scott Jones | Jefferies LLC
Aliases |
Subsidiary of Public Company | 01-Dec-2006 | 01-Dec-2006 | Broker Dealer |
| In the Matter of Jefferies & Co., Inc. and Scott Jones | Scott Jones | Individual | 01-Dec-2006 | 01-Dec-2006 | Broker Dealer |
| In the Matter of Kevin W. Quinn | Kevin W. Quinn | Individual | 01-Dec-2006 | 01-Dec-2006 | Broker Dealer |
| In the Matter of MBIA Inc. | MBIA Inc. | Public Company | 29-Jan-2007 | 27-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of William F. Sorin, Esq. | William F. Sorin | Individual | 30-Jan-2007 | 30-Jan-2007 | Issuer Reporting and Disclosure |
| In the Matter of Michael Sassano, Dogan Baruh, Robert Oking, and R. Scott Abry | R. Scott Abry | Individual | 31-Jan-2007 | 28-May-2008 | Broker Dealer |
| In the Matter of Michael Sassano, Dogan Baruh, Robert Oking, and R. Scott Abry | Robert Okin | Individual | 31-Jan-2007 | 28-May-2008 | Broker Dealer |
| SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor | Craig A. Johnson | Individual | 12-Mar-2007 | 02-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor | Douglas A. Hamilton | Individual | 12-Mar-2007 | 02-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor | Douglas C. Beatty | Individual | 12-Mar-2007 | 02-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor | Frank A. Dunn | Individual | 12-Mar-2007 | 02-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor | James B. Kinney | Individual | 12-Mar-2007 | 02-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor | Kenneth R.W. Taylor | Individual | 12-Mar-2007 | 02-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor | MaryAnne E. Pahapill | Individual | 12-Mar-2007 | 02-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor | Michael J. Gollogly | Individual | 12-Mar-2007 | 02-May-2008 | Issuer Reporting and Disclosure |
| In the Matter of Banc of America Securities LLC with Merrill Lynch, Pierce, Fenner & Smith Incorporated as Successor | Banc of America Securities LLC
Aliases |
Subsidiary of Public Company | 14-Mar-2007 | 14-Mar-2007 | Insider Trading |
| SEC v. Nicor Inc. and Jeffrey L. Metz | Jeffrey L. Metz | Individual | 29-Mar-2007 | 30-Apr-2007 | Issuer Reporting and Disclosure |
| SEC v. Nicor Inc. and Jeffrey L. Metz | Nicor, Inc. | Public Company | 29-Mar-2007 | 30-Apr-2007 | Issuer Reporting and Disclosure |
| SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen | Christi R. Sulzbach | Individual | 02-Apr-2007 | 02-Apr-2007 | Issuer Reporting and Disclosure |
| SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen | David L. Dennis | Individual | 02-Apr-2007 | 02-Apr-2007 | Issuer Reporting and Disclosure |
| SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen | Raymond L. Mathiasen | Individual | 02-Apr-2007 | 02-Apr-2007 | Issuer Reporting and Disclosure |
| SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen | Tenet Healthcare Corporation | Public Company | 02-Apr-2007 | 02-Apr-2007 | Issuer Reporting and Disclosure |
| SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen | Thomas B. Mackey | Individual | 02-Apr-2007 | 02-Apr-2007 | Issuer Reporting and Disclosure |
| In the Matter of Morgan Stanley & Co. Incorporated | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 09-May-2007 | 09-May-2007 | Broker Dealer |
| SEC v. The BISYS Group, Inc. | BISYS Group
Aliases |
Public Company | 23-May-2007 | 18-Jul-2007 | Issuer Reporting and Disclosure |
| SEC v. Mercury Interactive, LLC (f/k/a Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer | Mercury Interactive, LLC | Subsidiary of Public Company | 31-May-2007 | 20-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of Justin Scott | Justin M. Scott | Individual | 04-Jun-2007 | 04-Jun-2007 | Investment Advisers/Investment Companies |
| In the Matter of Omid Kamshad | Omid Kamshad | Individual | 04-Jun-2007 | 04-Jun-2007 | Investment Advisers/Investment Companies |
| SEC v. Cardinal Health, Inc. | Cardinal Health, Inc. | Public Company | 26-Jul-2007 | 26-Jul-2007 | Issuer Reporting and Disclosure |
| In the Matter of Carole D. Argo, CPA | Carole D. Argo | Individual | 01-Aug-2007 | 01-Aug-2007 | Issuer Reporting and Disclosure |
| SEC v. Carole Argo | Carole D. Argo | Individual | 01-Aug-2007 | 24-Sep-2008 | Issuer Reporting and Disclosure |
| SEC v. First Bancorp | First Bancorp | Public Company | 07-Aug-2007 | 21-Aug-2007 | Issuer Reporting and Disclosure |
| In the Matter of General American Life Insurance Company and William C. Thater | General American Life Insurance Company, Inc. | Subsidiary of Public Company | 09-Aug-2007 | 09-Aug-2007 | Investment Advisers/Investment Companies |
| In the Matter of General American Life Insurance Company and William C. Thater | William C. Thater | Individual | 09-Aug-2007 | 09-Aug-2007 | Investment Advisers/Investment Companies |
| SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens | George Behrens | Individual | 09-Aug-2007 | 03-Aug-2010 | Issuer Reporting and Disclosure |
| SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens | Kathleen Halloran | Individual | 09-Aug-2007 | 03-Aug-2010 | Issuer Reporting and Disclosure |
| SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens | Thomas Fisher | Individual | 09-Aug-2007 | 03-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, LLC | Evergreen Investment Management Company, LLC | Subsidiary of Public Company | 19-Sep-2007 | 19-Sep-2007 | Investment Advisers/Investment Companies |
| In the Matter of Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, LLC | Evergreen Investment Services, Inc. | Subsidiary of Public Company | 19-Sep-2007 | 19-Sep-2007 | Investment Advisers/Investment Companies |
| In the Matter of Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, LLC | Evergreen Service Company, LLC | Subsidiary of Public Company | 19-Sep-2007 | 19-Sep-2007 | Investment Advisers/Investment Companies |
| In the Matter of Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, LLC | Wachovia Securities, LLC | Subsidiary of Public Company | 19-Sep-2007 | 19-Sep-2007 | Investment Advisers/Investment Companies |
| In the Matter of William M. Ennis | William M. Ennis | Individual | 19-Sep-2007 | 19-Sep-2007 | Investment Advisers/Investment Companies |
| SEC v. HSBC Bank USA, N.A. | HSBC Bank USA, N.A. | Subsidiary of Public Company | 20-Sep-2007 | 25-Sep-2007 | Issuer Reporting and Disclosure |
| SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja | Iliana Maceiras | Individual | 28-Sep-2007 | 30-Sep-2010 | Securities Offering |
| SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja | Leonardo Maceiras Jr. | Individual | 28-Sep-2007 | 30-Sep-2010 | Securities Offering |
| SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja | Nildo Verdeja | Individual | 28-Sep-2007 | 30-Sep-2010 | Securities Offering |
| SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja | U.S. College Trust Corp. | Other | 28-Sep-2007 | 30-Sep-2010 | Securities Offering |
| SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja | U.S. Pension Trust Corp. | Other | 28-Sep-2007 | 30-Sep-2010 | Securities Offering |
| SEC v. York International Corp. | York International Corporation | Subsidiary of Public Company | 01-Oct-2007 | 01-Oct-2007 | Foreign Corrupt Practices Act |
| In the Matter of Morgan Stanley & Co. Incorporated | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 10-Oct-2007 | 10-Oct-2007 | Broker Dealer |
| SEC v. Nortel Networks Corporation and Nortel Networks Limited | Nortel Networks Corporation | Public Company | 15-Oct-2007 | 15-Oct-2007 | Issuer Reporting and Disclosure |
| SEC v. Nortel Networks Corporation and Nortel Networks Limited | Nortel Networks Limited | Subsidiary of Public Company | 15-Oct-2007 | 15-Oct-2007 | Issuer Reporting and Disclosure |
| In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog | Gustave Dotoli | Individual | 18-Oct-2007 | 18-Oct-2007 | Securities Offering |
| In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog | M. Christopher Agarwal | Individual | 18-Oct-2007 | 18-Oct-2007 | Securities Offering |
| In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog | Microphase Corp. | Other | 18-Oct-2007 | 18-Oct-2007 | Securities Offering |
| In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog | Packetport.com, Inc. | Other | 18-Oct-2007 | 18-Oct-2007 | Securities Offering |
| In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog | Robert H. Jaffe | Individual | 18-Oct-2007 | 18-Oct-2007 | Securities Offering |
| In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog | Ronald Durando | Individual | 18-Oct-2007 | 18-Oct-2007 | Securities Offering |
| In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog | Theodore Kunzog | Individual | 18-Oct-2007 | 18-Oct-2007 | Securities Offering |
| SEC v. David H. Brooks | David H. Brooks | Individual | 25-Oct-2007 | 12-Dec-2007 | Issuer Reporting and Disclosure |
| In the Matter of Ingersoll-Rand Company Limited | Ingersoll-Rand Company Ltd. | Public Company | 31-Oct-2007 | 31-Oct-2007 | Foreign Corrupt Practices Act |
| SEC v. Chevron Corporation | Chevron Corporation | Public Company | 14-Nov-2007 | 14-Nov-2007 | Foreign Corrupt Practices Act |
| SEC v. William W. McGuire, M.D. | William W. McGuire, M.D. | Individual | 06-Dec-2007 | 28-Jan-2009 | Issuer Reporting and Disclosure |
| SEC v. Michael J. Nolan | Michael J. Nolan | Individual | 12-Dec-2007 | 08-Apr-2008 | Issuer Reporting and Disclosure |
| SEC v. Darryl A. Goldstein and Christopher L. O'Donnell | Christopher L. O'Donnell | Individual | 14-Dec-2007 | 30-May-2008 | Broker Dealer |
| SEC v. Darryl A. Goldstein and Christopher L. O'Donnell | Darryl A. Goldstein | Individual | 14-Dec-2007 | 30-May-2008 | Broker Dealer |
| In the Matter of Marc H. Plotkin | Marc H. Plotkin | Individual | 18-Dec-2007 | 18-Dec-2007 | Broker Dealer |
| In the Matter of Morgan Stanley & Co. Incorporated | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 18-Dec-2007 | 18-Dec-2007 | Broker Dealer |
| SEC v. Joseph F. Apuzzo | Joseph F. Apuzzo | Individual | 27-Dec-2007 | 08-Sep-2015 | Issuer Reporting and Disclosure |
| SEC v. Nancy M. Tullos | Nancy M. Tullos | Individual | 04-Mar-2008 | 10-Mar-2008 | Issuer Reporting and Disclosure |
| In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith | Christopher J. Horan | Individual | 05-Mar-2008 | 11-Dec-2008 | Broker Dealer |
| In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith | David K. Donovan | Individual | 05-Mar-2008 | 11-Dec-2008 | Broker Dealer |
| In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith | Edward S. Driscoll | Individual | 05-Mar-2008 | 11-Dec-2008 | Broker Dealer |
| In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith | Jeffrey D. Harris | Individual | 05-Mar-2008 | 11-Dec-2008 | Broker Dealer |
| In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith | Kirk C. Smith | Individual | 05-Mar-2008 | 11-Dec-2008 | Broker Dealer |
| In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith | Robert L. Burns | Individual | 05-Mar-2008 | 11-Dec-2008 | Broker Dealer |
| In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith | Scott E. DeSano | Individual | 05-Mar-2008 | 11-Dec-2008 | Broker Dealer |
| In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith | Steven P. Pascucci | Individual | 05-Mar-2008 | 11-Dec-2008 | Broker Dealer |
| In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith | Timothy J. Burnieika | Individual | 05-Mar-2008 | 11-Dec-2008 | Broker Dealer |
| SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez | Carey Financial LLC | Subsidiary of Public Company | 18-Mar-2008 | 20-Mar-2008 | Broker Dealer |
| SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez | Claude Fernandez | Individual | 18-Mar-2008 | 20-Mar-2008 | Broker Dealer |
| SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez | John J. Park | Individual | 18-Mar-2008 | 20-Mar-2008 | Broker Dealer |
| SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez | W.P. Carey & Co. LLC | Public Company | 18-Mar-2008 | 20-Mar-2008 | Broker Dealer |
| SEC v. Biovail Corporation, Eugene N. Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling | Brian Crombie | Individual | 24-Mar-2008 | 17-Feb-2011 | Issuer Reporting and Disclosure |
| SEC v. Biovail Corporation, Eugene N. Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling | Eugene N. Melnyk | Individual | 24-Mar-2008 | 17-Feb-2011 | Issuer Reporting and Disclosure |
| SEC v. John N. Milne | John N. Milne | Individual | 04-Apr-2008 | 14-Oct-2009 | Issuer Reporting and Disclosure |
| In the Matter of Claude Fernandez (CPA) | Claude Fernandez | Individual | 23-Apr-2008 | 23-Apr-2008 | Broker Dealer |
| In the Matter of Gabelli Funds LLC | Gabelli Funds LLC
Aliases |
Subsidiary of Public Company | 24-Apr-2008 | 24-Apr-2008 | Investment Advisers/Investment Companies |
| SEC v. Marc J. Gabelli, and Bruce Alpert | Bruce Alpert | Individual | 24-Apr-2008 | 01-Aug-2011 | Investment Advisers/Investment Companies |
| SEC v. Marc J. Gabelli, and Bruce Alpert | Marc J. Gabelli | Individual | 24-Apr-2008 | 01-Aug-2011 | Investment Advisers/Investment Companies |
| In the Matter of Michael J. Nolan | Michael J. Nolan | Individual | 29-Apr-2008 | 29-Apr-2008 | Issuer Reporting and Disclosure |
| SEC v. Larry P. Langford, William B. Blount, Blount Parrish & Co., Inc, and Albert W. LaPierre | Albert W. LaPierre | Individual | 30-Apr-2008 | 14-Jul-2010 | Municipal Securities & Public Pensions |
| SEC v. Larry P. Langford, William B. Blount, Blount Parrish & Co., Inc, and Albert W. LaPierre | Blount Parrish & Co., Inc. | Other | 30-Apr-2008 | 14-Jul-2010 | Municipal Securities & Public Pensions |
| SEC v. Larry P. Langford, William B. Blount, Blount Parrish & Co., Inc, and Albert W. LaPierre | Larry P. Langford | Individual | 30-Apr-2008 | 14-Jul-2010 | Municipal Securities & Public Pensions |
| SEC v. Larry P. Langford, William B. Blount, Blount Parrish & Co., Inc, and Albert W. LaPierre | William B. Blount | Individual | 30-Apr-2008 | 14-Jul-2010 | Municipal Securities & Public Pensions |
| In the Matter of Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC. | Banc of America Investment Services, Inc
Aliases |
Subsidiary of Public Company | 01-May-2008 | 01-May-2008 | Investment Advisers/Investment Companies |
| In the Matter of Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC. | Columbia Management Advisors, LLC | Subsidiary of Public Company | 01-May-2008 | 01-May-2008 | Investment Advisers/Investment Companies |
| In the Matter of UTStarcom, Inc., Hong Liang Lu and Michael J. Sophie | Hong Liang Lu | Individual | 01-May-2008 | 01-May-2008 | Issuer Reporting and Disclosure |
| In the Matter of UTStarcom, Inc., Hong Liang Lu and Michael J. Sophie | Michael J. Sophie | Individual | 01-May-2008 | 01-May-2008 | Issuer Reporting and Disclosure |
| In the Matter of UTStarcom, Inc., Hong Liang Lu and Michael J. Sophie | UTStarcom, Inc. | Public Company | 01-May-2008 | 01-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Interpublic Group of Companies, Inc. and McCann-Erickson Worldwide, Inc. | Interpublic Group of Companies, Inc. | Public Company | 01-May-2008 | 01-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Interpublic Group of Companies, Inc. and McCann-Erickson Worldwide, Inc. | McCann-Erickson Worldwide, Inc. | Subsidiary of Public Company | 01-May-2008 | 01-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Timothy J. Huff and Lawrence E. Lynch | Lawrence E. Lynch | Individual | 02-May-2008 | 15-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Timothy J. Huff and Lawrence E. Lynch | Timothy J. Huff | Individual | 02-May-2008 | 15-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Hong Liang Lu and Michael J. Sophie | Hong Liang Lu | Individual | 08-May-2008 | 13-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Hong Liang Lu and Michael J. Sophie | Michael J. Sophie | Individual | 08-May-2008 | 13-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Marvell Technology Group, Ltd. and Weili Dai | Marvell Technology Group, Ltd. | Public Company | 08-May-2008 | 08-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Marvell Technology Group, Ltd. and Weili Dai | Weili Dai | Individual | 08-May-2008 | 08-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Henry T. Nicholas III, Henry Samueli, William J. Ruehle, and David Dull | David Dull | Individual | 14-May-2008 | 15-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Henry T. Nicholas III, Henry Samueli, William J. Ruehle, and David Dull | Henry Samueli | Individual | 14-May-2008 | 15-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Henry T. Nicholas III, Henry Samueli, William J. Ruehle, and David Dull | Henry T. Nicholas III | Individual | 14-May-2008 | 15-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Henry T. Nicholas III, Henry Samueli, William J. Ruehle, and David Dull | William J. Ruehle | Individual | 14-May-2008 | 15-Dec-2009 | Issuer Reporting and Disclosure |
| In the Matter of Analog Devices, Inc. and Jerald G. Fishman | Analog Devices, Inc. | Public Company | 30-May-2008 | 30-May-2008 | Issuer Reporting and Disclosure |
| In the Matter of Analog Devices, Inc. and Jerald G. Fishman | Jerald G. Fishman | Individual | 30-May-2008 | 30-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Analog Devices, Inc., and Jerald G. Fishman | Analog Devices, Inc. | Public Company | 30-May-2008 | 30-May-2008 | Issuer Reporting and Disclosure |
| SEC v. Analog Devices, Inc., and Jerald G. Fishman | Jerald G. Fishman | Individual | 30-May-2008 | 30-May-2008 | Issuer Reporting and Disclosure |
| In the Matter of Faro Technologies, Inc. | Faro Technologies, Inc. | Public Company | 05-Jun-2008 | 05-Jun-2008 | Foreign Corrupt Practices Act |
| In the Matter of Michael K. Brugman | Michael K. Brugman | Individual | 11-Jun-2008 | 14-Jan-2009 | Investment Advisers/Investment Companies |
| In the Matter of Jamie L. Solow | Jamie L. Solow | Individual | 12-Jun-2008 | Broker Dealer | |
| In the Matter of James B. Kinney, CMA | James B. Kinney | Individual | 31-Jul-2008 | 31-Jul-2008 | Issuer Reporting and Disclosure |
| In the Matter of Gordon R. Moore | Gordon R. Moore | Individual | 01-Aug-2008 | 01-Aug-2008 | Investment Advisers/Investment Companies |
| SEC v. Brent Lemons | Brent Lemons | Individual | 01-Aug-2008 | 23-Feb-2010 | Broker Dealer |
| SEC v. Albert Jackson Stanley | Albert Jackson Stanley | Individual | 03-Sep-2008 | 25-Sep-2008 | Foreign Corrupt Practices Act |
| SEC v. United Rentals, Inc. | United Rentals, Inc. | Public Company | 08-Sep-2008 | 19-Sep-2008 | Issuer Reporting and Disclosure |
| SEC v. Angel Alvarez-Perez and Annie Astor-Carbonell | Angel Alvarez-Perez | Individual | 16-Sep-2008 | 17-Oct-2008 | Issuer Reporting and Disclosure |
| SEC v. Angel Alvarez-Perez and Annie Astor-Carbonell | Annie Astor-Carbonell (CPA) | Individual | 16-Sep-2008 | 17-Oct-2008 | Issuer Reporting and Disclosure |
| In the Matter of David Blain, CPA | David Blain | Individual | 19-Sep-2008 | 19-Sep-2008 | Issuer Reporting and Disclosure |
| In the Matter of AmSouth Bank, N.A. (n/k/a Regions Bank), and AmSouth Asset Management, Inc. (n/k/a Morgan Asset Management) | AmSouth Asset Management, Inc. (n/k/a Morgan Asset Management) | Subsidiary of Public Company | 23-Sep-2008 | 23-Sep-2008 | Investment Advisers/Investment Companies |
| In the Matter of AmSouth Bank, N.A. (n/k/a Regions Bank), and AmSouth Asset Management, Inc. (n/k/a Morgan Asset Management) | AmSouth Bank, N.A. (n/k/a Regions Bank) | Subsidiary of Public Company | 23-Sep-2008 | 23-Sep-2008 | Investment Advisers/Investment Companies |
| SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo | Angel Romo | Individual | 29-Sep-2008 | 21-Apr-2010 | Broker Dealer |
| SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo | Gabriel Paredes | Individual | 29-Sep-2008 | 21-Apr-2010 | Broker Dealer |
| SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo | Guillermo Haro | Individual | 29-Sep-2008 | 21-Apr-2010 | Broker Dealer |
| SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo | Jesus Gutierrez | Individual | 29-Sep-2008 | 21-Apr-2010 | Broker Dealer |
| SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo | Kederio Ainsworth | Individual | 29-Sep-2008 | 21-Apr-2010 | Broker Dealer |
| SEC v. Wevodau | Steven Wevodau | Individual | 30-Sep-2008 | 30-Sep-2008 | Issuer Reporting and Disclosure |
| SEC v. Banc of America Securities LLC and Banc of America Investment Services, Inc. | Banc of America Investment Services, Inc
Aliases |
Subsidiary of Public Company | 08-Oct-2008 | 08-Oct-2008 | Broker Dealer |
| SEC v. Banc of America Securities LLC and Banc of America Investment Services, Inc. | Banc of America Securities LLC
Aliases |
Subsidiary of Public Company | 08-Oct-2008 | 08-Oct-2008 | Broker Dealer |
| SEC v. RBC Capital Markets Corporation | RBC Capital Markets Corporation | Subsidiary of Public Company | 08-Oct-2008 | 08-Oct-2008 | Broker Dealer |
| SEC v. RBC Capital Markets Corporation | RBC Capital Markets, LLC
Aliases |
Subsidiary of Public Company | 08-Oct-2008 | 08-Oct-2008 | Broker Dealer |
| SEC v. Blue Coat Systems, Inc. and Robert P. Verheecke | Blue Coat Systems, Inc. | Public Company | 12-Nov-2008 | 12-Nov-2008 | Issuer Reporting and Disclosure |
| SEC v. Blue Coat Systems, Inc. and Robert P. Verheecke | Robert P. Verheecke | Individual | 12-Nov-2008 | 12-Nov-2008 | Issuer Reporting and Disclosure |
| In the Matter of Annie Astor-Carbonell (CPA) | Annie Astor-Carbonell (CPA) | Individual | 24-Nov-2008 | 24-Nov-2008 | Issuer Reporting and Disclosure |
| SEC v. William J. "Boots" Del Biaggio III | William J. "Boots" Del Biaggio III | Individual | 04-Dec-2008 | 12-Dec-2008 | Broker Dealer |
| In the Matter of Robert P. Verheecke (CPA) | Robert P. Verheecke | Individual | 09-Dec-2008 | 09-Dec-2008 | Issuer Reporting and Disclosure |
| In the Matter of SCOR Holding (Switzerland) Ltd., formerly known as Converium Holding AG | SCOR Holding (Switzerland) Ltd., formerly known as Converium Holding AG | Public Company | 11-Dec-2008 | 11-Dec-2008 | Issuer Reporting and Disclosure |
| In the Matter of Zurich Financial Services | Zurich Financial Services | Other | 11-Dec-2008 | 11-Dec-2008 | Issuer Reporting and Disclosure |
| SEC v. Citigroup Global Markets, Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 11-Dec-2008 | 11-Dec-2008 | Broker Dealer |
| SEC v. UBS Securities LLC and UBS Financial Services, Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 11-Dec-2008 | 11-Dec-2008 | Broker Dealer |
| SEC v. UBS Securities LLC and UBS Financial Services, Inc. | UBS Securities LLC | Subsidiary of Public Company | 11-Dec-2008 | 11-Dec-2008 | Broker Dealer |
| SEC v. Zurich Financial Services | Zurich Financial Services | Other | 11-Dec-2008 | 02-Feb-2009 | Issuer Reporting and Disclosure |
| SEC v. Siemens Aktiengesellschaft | Siemens Aktiengesellschaft | Public Company | 12-Dec-2008 | 15-Dec-2008 | Foreign Corrupt Practices Act |
| SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty | Daniel S. Laikin | Individual | 15-Dec-2008 | 12-Jun-2009 | Market Manipulation |
| SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty | Dennis S. Barsky | Individual | 15-Dec-2008 | 12-Jun-2009 | Market Manipulation |
| SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty | Eduardo Rodriguez | Individual | 15-Dec-2008 | 12-Jun-2009 | Market Manipulation |
| SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty | National Lampoon, Inc. | Public Company | 15-Dec-2008 | 12-Jun-2009 | Market Manipulation |
| SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty | Tim Dougherty | Individual | 15-Dec-2008 | 12-Jun-2009 | Market Manipulation |
| SEC v. David J. Lubben | David J. Lubben | Individual | 22-Dec-2008 | 23-Jan-2009 | Issuer Reporting and Disclosure |
| SEC v. Fiat S.p.A. and CNH Global N.V. | CNH Global N.V. | Public Company | 22-Dec-2008 | 22-Dec-2008 | Foreign Corrupt Practices Act |
| SEC v. Fiat S.p.A. and CNH Global N.V. | Fiat S.p.A. | Public Company | 22-Dec-2008 | 22-Dec-2008 | Foreign Corrupt Practices Act |
| SEC v. UnitedHealth Group Incorporated | UnitedHealth Group Incorporated | Public Company | 22-Dec-2008 | 22-Dec-2008 | Issuer Reporting and Disclosure |
| In the Matter of Stewart Enterprises, Inc., Kenneth C. Budde, CPA, and Michael G. Hymel, CPA | Kenneth C. Budde, CPA | Individual | 29-Dec-2008 | 29-Dec-2008 | Issuer Reporting and Disclosure |
| In the Matter of Stewart Enterprises, Inc., Kenneth C. Budde, CPA, and Michael G. Hymel, CPA | Michael G. Hymel, CPA | Individual | 29-Dec-2008 | 29-Dec-2008 | Issuer Reporting and Disclosure |
| In the Matter of Stewart Enterprises, Inc., Kenneth C. Budde, CPA, and Michael G. Hymel, CPA | Stewart Enterprises, Inc. | Public Company | 29-Dec-2008 | 29-Dec-2008 | Issuer Reporting and Disclosure |
| In the Matter of William J. Del Biaggio III | William J. "Boots" Del Biaggio III | Individual | 29-Dec-2008 | 29-Dec-2008 | Broker Dealer |
| SEC v. Rica Foods, Inc. and Calixto Chaves | Calixto Chaves | Individual | 29-Dec-2008 | 29-Dec-2008 | Issuer Reporting and Disclosure |
| SEC v. Rica Foods, Inc. and Calixto Chaves | Rica Foods, Inc. | Public Company | 29-Dec-2008 | 29-Dec-2008 | Issuer Reporting and Disclosure |
| In the Matter of Gabelli Funds, LLC | Gabelli Funds LLC
Aliases |
Subsidiary of Public Company | 12-Jan-2009 | 12-Jan-2009 | Investment Advisers/Investment Companies |
| In the Matter of Cablevision Systems Corporation | Cablevision Systems Corporation | Public Company | 22-Jan-2009 | 22-Jan-2009 | Issuer Reporting and Disclosure |
| In the Matter of Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden | Catherine R. McEnroe | Individual | 22-Jan-2009 | 22-Jan-2009 | Issuer Reporting and Disclosure |
| In the Matter of Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden | Martin R. von Ruden | Individual | 22-Jan-2009 | 22-Jan-2009 | Issuer Reporting and Disclosure |
| In the Matter of Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden | Noreen O'Loughlin | Individual | 22-Jan-2009 | 22-Jan-2009 | Issuer Reporting and Disclosure |
| SEC v. Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden | Catherine R. McEnroe | Individual | 22-Jan-2009 | 13-Feb-2009 | Issuer Reporting and Disclosure |
| SEC v. Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden | Martin R. von Ruden | Individual | 22-Jan-2009 | 13-Feb-2009 | Issuer Reporting and Disclosure |
| SEC v. Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden | Noreen O'Loughlin | Individual | 22-Jan-2009 | 13-Feb-2009 | Issuer Reporting and Disclosure |
| SEC v. General Motors Corporation | General Motors Company
Aliases |
Public Company | 22-Jan-2009 | 22-Jan-2009 | Issuer Reporting and Disclosure |
| In the Matter of Jeffrey Swanson | Jeffrey Swanson | Individual | 30-Jan-2009 | 30-Jan-2009 | Investment Advisers/Investment Companies |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 30-Jan-2009 | 30-Jan-2009 | Investment Advisers/Investment Companies |
| In the Matter of Michael A. Callaway | Michael A. Callaway | Individual | 30-Jan-2009 | 08-Jun-2009 | Investment Advisers/Investment Companies |
| SEC v. Wachovia Securities, LLC | Wachovia Securities, LLC | Subsidiary of Public Company | 05-Feb-2009 | 05-Feb-2009 | Broker Dealer |
| In the Matter of Ferris, Baker Watts, Inc. | Ferris, Baker Watts, Inc. | Subsidiary of Public Company | 10-Feb-2009 | 10-Feb-2009 | Broker Dealer |
| In the Matter of Patrick J. Vaughan | Patrick J. Vaughan | Individual | 10-Feb-2009 | 10-Feb-2009 | Broker Dealer |
| In the Matter of Stephen J. Glantz | Stephen J. Glantz | Individual | 10-Feb-2009 | 10-Feb-2009 | Broker Dealer |
| In the Matter of William H. Salem | William H. Salem | Individual | 10-Feb-2009 | 10-Feb-2009 | Broker Dealer |
| SEC v. Halliburton Company and KBR, Inc. | Halliburton Company | Public Company | 11-Feb-2009 | 11-Feb-2009 | Foreign Corrupt Practices Act |
| SEC v. Halliburton Company and KBR, Inc. | KBR, Inc. | Public Company | 11-Feb-2009 | 11-Feb-2009 | Foreign Corrupt Practices Act |
| SEC v. ITT Corporation | ITT Corporation | Public Company | 11-Feb-2009 | 11-Feb-2009 | Foreign Corrupt Practices Act |
| SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis | Arcangelo Loberto | Individual | 17-Feb-2009 | 17-Feb-2009 | Issuer Reporting and Disclosure |
| SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis | Dennis Kavelman | Individual | 17-Feb-2009 | 17-Feb-2009 | Issuer Reporting and Disclosure |
| SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis | James Balsillie | Individual | 17-Feb-2009 | 17-Feb-2009 | Issuer Reporting and Disclosure |
| SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis | Mihal Lazaridis | Individual | 17-Feb-2009 | 17-Feb-2009 | Issuer Reporting and Disclosure |
| SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis | Research in Motion Limited | Public Company | 17-Feb-2009 | 17-Feb-2009 | Issuer Reporting and Disclosure |
| SEC v. UBS AG | UBS AG | Public Company | 18-Feb-2009 | 18-Feb-2009 | Broker Dealer |
| In the Matter of David J. Lubben | David J. Lubben | Individual | 19-Feb-2009 | 19-Feb-2009 | Issuer Reporting and Disclosure |
| In the Matter of Oppenheimer & Co. Inc. | Oppenheimer & Co. Inc. | Subsidiary of Public Company | 24-Feb-2009 | 24-Feb-2009 | Broker Dealer |
| In the Matter of RBC Capital Markets Corporation | RBC Capital Markets Corporation | Subsidiary of Public Company | 24-Feb-2009 | 24-Feb-2009 | Municipal Securities & Public Pensions |
| In the Matter of Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC | Goldman Sachs Execution & Clearing, L.P. | Subsidiary of Public Company | 04-Mar-2009 | 04-Mar-2009 | Broker Dealer |
| In the Matter of Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC | SLK-Hull Derivatives LLC | Subsidiary of Public Company | 04-Mar-2009 | 04-Mar-2009 | Broker Dealer |
| In the Matter of Knight Financial Products, LLC | Knight Financial Products, LLC | Subsidiary of Public Company | 04-Mar-2009 | 04-Mar-2009 | Broker Dealer |
| In the Matter of Krispy Kreme Doughnuts, Inc. | Krispy Kreme Doughnuts, Inc. | Public Company | 04-Mar-2009 | 04-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of Sherry J. Polonsky | Sherry J. Polonsky | Individual | 04-Mar-2009 | 04-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of TD Options LLC | TD Options LLC | Subsidiary of Public Company | 04-Mar-2009 | 04-Mar-2009 | Broker Dealer |
| SEC v. E*Trade Capital Markets LLC | E*Trade Capital Markets LLC | Subsidiary of Public Company | 04-Mar-2009 | 04-Mar-2009 | Broker Dealer |
| SEC v. Scott A. Livengood, John W. Tate, and Randy S. Casstevens | John W. Tate | Individual | 04-Mar-2009 | 01-Apr-2009 | Issuer Reporting and Disclosure |
| SEC v. Scott A. Livengood, John W. Tate, and Randy S. Casstevens | Randy S. Casstevens | Individual | 04-Mar-2009 | 01-Apr-2009 | Issuer Reporting and Disclosure |
| SEC v. Scott A. Livengood, John W. Tate, and Randy S. Casstevens | Scott A. Livengood | Individual | 04-Mar-2009 | 01-Apr-2009 | Issuer Reporting and Disclosure |
| SEC v. Pediatrix Medical Group, Inc. (nka Mednax Services, Inc.) | Pediatrix Medical Group, Inc. | Public Company | 05-Mar-2009 | 05-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of Merrill Lynch, Pierce, Fenner, & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 11-Mar-2009 | 11-Mar-2009 | Broker Dealer |
| SEC v. Brian J. Kearns and Bruce J. Van Fossen | Brian J. Kearns | Individual | 12-Mar-2009 | 14-Jun-2009 | Issuer Reporting and Disclosure |
| SEC v. Brian J. Kearns and Bruce J. Van Fossen | Brian J. Kearns | Individual | 12-Mar-2009 | 16-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Brian J. Kearns and Bruce J. Van Fossen | Bruce J. Van Fossen | Individual | 12-Mar-2009 | 14-Jun-2009 | Issuer Reporting and Disclosure |
| SEC v. Brian J. Kearns and Bruce J. Van Fossen | Bruce J. Van Fossen | Individual | 12-Mar-2009 | 16-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. John A. Donohoe, Jr. | John A. Donohoe, Jr. | Individual | 12-Mar-2009 | 13-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. MedQuist Inc. | MedQuist Inc. | Public Company | 12-Mar-2009 | 12-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks | John J. Laskey | Individual | 12-Mar-2009 | 12-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks | Kevin E. Brooks | Individual | 12-Mar-2009 | 12-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks | Quest Software, Inc. | Public Company | 12-Mar-2009 | 12-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks | Vincent C. Smith | Individual | 12-Mar-2009 | 12-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of Allion Healthcare, Inc. and James G. Spencer | Allion Healthcare, Inc. | Public Company | 18-Mar-2009 | 18-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of Allion Healthcare, Inc. and James G. Spencer | James G. Spencer | Individual | 18-Mar-2009 | 18-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of William D. Shovers, CPA | William D. Shovers | Individual | 18-Mar-2009 | 18-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. Escala Group, inc., Gregory Manning, Larry Lee Crawford, CPA | Escala Group, Inc. | Public Company | 23-Mar-2009 | 23-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. Escala Group, inc., Gregory Manning, Larry Lee Crawford, CPA | Gregory Manning | Individual | 23-Mar-2009 | 23-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. Escala Group, inc., Gregory Manning, Larry Lee Crawford, CPA | Larry Lee Crawford, CPA | Individual | 23-Mar-2009 | 23-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. David Scott Cacchione | D. Scott Cacchione | Individual | 24-Mar-2009 | 01-Apr-2009 | Broker Dealer |
| In the Matter of Judith Kudla (CPA) | Judith Kudla | Individual | 27-Mar-2009 | 27-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of Dennis Kavelman, C.A. and Arcangelo Loberto, C.A. | Arcangelo Loberto | Individual | 30-Mar-2009 | 30-Mar-2009 | Issuer Reporting and Disclosure |
| In the Matter of Dennis Kavelman, C.A. and Arcangelo Loberto, C.A. | Dennis Kavelman | Individual | 30-Mar-2009 | 30-Mar-2009 | Issuer Reporting and Disclosure |
| SEC v. Take-Two Interactive Software, Inc. | Take-Two Interactive Software, Inc. | Public Company | 01-Apr-2009 | 01-Apr-2009 | Issuer Reporting and Disclosure |
| In the Matter of American Skandia Investment Services, Inc. | American Skandia Investment Services, Inc. | Subsidiary of Public Company | 17-Apr-2009 | 17-Apr-2009 | Investment Advisers/Investment Companies |
| In the Matter of David Scott Cacchione | D. Scott Cacchione | Individual | 22-Apr-2009 | 22-Apr-2009 | Broker Dealer |
| In the Matter of Brad E. Parish | Brad E. Parish | Individual | 28-Apr-2009 | 28-Apr-2009 | Broker Dealer |
| In the Matter of Royal Alliance Associates, Inc. | Royal Alliance Associates, Inc. | Subsidiary of Public Company | 28-Apr-2009 | 28-Apr-2009 | Broker Dealer |
| In the Matter of INTECH Investment LLC and David E. Hurley | David E. Hurley | Individual | 07-May-2009 | 07-May-2009 | Investment Advisers/Investment Companies |
| In the Matter of INTECH Investment LLC and David E. Hurley | INTECH Investment Management LLC | Subsidiary of Public Company | 07-May-2009 | 07-May-2009 | Investment Advisers/Investment Companies |
| SEC v. Novo Nordisk A/S | Novo Nordisk A/S | Public Company | 11-May-2009 | 11-May-2009 | Foreign Corrupt Practices Act |
| In the Matter of Ingram Micro Inc. | Ingram Micro Inc. | Public Company | 12-May-2009 | 12-May-2009 | Issuer Reporting and Disclosure |
| SEC v. Monster Worldwide, Inc. | Monster Worldwide, Inc. | Public Company | 18-May-2009 | 18-May-2009 | Issuer Reporting and Disclosure |
| SEC v. WellCare Health Plans, Inc. | WellCare Health Plans, Inc. | Public Company | 18-May-2009 | 18-May-2009 | Issuer Reporting and Disclosure |
| SEC v. Apogee Technology, Inc., David B. Meyers, and Annette Jaynes | Annette Jaynes | Individual | 19-May-2009 | 19-May-2009 | Issuer Reporting and Disclosure |
| SEC v. Apogee Technology, Inc., David B. Meyers, and Annette Jaynes | Apogee Technology, Inc. | Public Company | 19-May-2009 | 19-May-2009 | Issuer Reporting and Disclosure |
| SEC v. Apogee Technology, Inc., David B. Meyers, and Annette Jaynes | David B. Meyers | Individual | 19-May-2009 | 19-May-2009 | Issuer Reporting and Disclosure |
| In the Matter of CSK Auto Corporation | CSK Auto Corporation | Subsidiary of Public Company | 26-May-2009 | 26-May-2009 | Issuer Reporting and Disclosure |
| SEC (Plaintiff) v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland (Defendants), and Aero-Marine, LLC and Tammy Knabb (Relief Defendants) | Jasper Knabb | Individual | 26-May-2009 | 23-Jul-2010 | Issuer Reporting and Disclosure |
| SEC (Plaintiff) v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland (Defendants), and Aero-Marine, LLC and Tammy Knabb (Relief Defendants) | Pegasus Wireless Corporation | Public Company | 26-May-2009 | 23-Jul-2010 | Issuer Reporting and Disclosure |
| SEC (Plaintiff) v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland (Defendants), and Aero-Marine, LLC and Tammy Knabb (Relief Defendants) | Stephen Durland | Individual | 26-May-2009 | 23-Jul-2010 | Issuer Reporting and Disclosure |
| In the Matter of J. David Huber | J. David Huber | Individual | 28-May-2009 | 28-May-2009 | Investment Advisers/Investment Companies |
| In the Matter of Melissa M. Hurley | Melissa M. Hurley | Individual | 28-May-2009 | 28-May-2009 | Investment Advisers/Investment Companies |
| In the Matter of United Industrial Corporation | United Industrial Corporation | Subsidiary of Public Company | 29-May-2009 | 29-May-2009 | Foreign Corrupt Practices Act |
| SEC v. Thomas Wurzel | Thomas Wurzel | Individual | 29-May-2009 | 03-Jun-2009 | Foreign Corrupt Practices Act |
| SEC v. Deutsche Bank Securities Inc. | Deutsche Bank Securities, Inc.
Aliases |
Subsidiary of Public Company | 03-Jun-2009 | 03-Jun-2009 | Broker Dealer |
| In the Matter of Dyadic International, Inc. | Dyadic International, Inc. | Public Company | 04-Jun-2009 | 04-Jun-2009 | Issuer Reporting and Disclosure |
| In the Matter of Evergreen Investment Management Company, LLC and Evergreen Investment Services, Inc. | Evergreen Investment Management Company, LLC | Subsidiary of Public Company | 08-Jun-2009 | 08-Jun-2009 | Investment Advisers/Investment Companies |
| In the Matter of Evergreen Investment Management Company, LLC and Evergreen Investment Services, Inc. | Evergreen Investment Services, Inc. | Subsidiary of Public Company | 08-Jun-2009 | 08-Jun-2009 | Investment Advisers/Investment Companies |
| In the Matter of Gary Jensen (CPA) | Gary S. Jensen
Aliases |
Individual | 09-Jun-2009 | 09-Jun-2009 | Issuer Reporting and Disclosure |
| In the Matter of Michael Beaulieu (CPA) | Michael E. Beaulieu
Aliases |
Individual | 09-Jun-2009 | 09-Jun-2009 | Issuer Reporting and Disclosure |
| In the Matter of Richard Miller (CPA) | Richard J. Miller
Aliases |
Individual | 09-Jun-2009 | 09-Jun-2009 | Issuer Reporting and Disclosure |
| In the Matter of Brent Lemons | Brent Lemons | Individual | 10-Jun-2009 | 10-Jun-2009 | Securities Offering |
| In the Matter of Elizabeth Monrad, CPA | Elizabeth Monrad | Individual | 11-Jun-2009 | Issuer Reporting and Disclosure | |
| SEC v. Comverse Technology, Inc. | Comverse Technology, Inc. | Public Company | 18-Jun-2009 | 18-Jun-2009 | Issuer Reporting and Disclosure |
| SEC v. Lisa M. Roberts | Lisa M. Roberts | Individual | 18-Jun-2009 | 01-Jul-2009 | Issuer Reporting and Disclosure |
| SEC v. Ulticom, Inc. | Ulticom, Inc. | Public Company | 18-Jun-2009 | 18-Jun-2009 | Issuer Reporting and Disclosure |
| In the Matter of Christi R. Sulzbach | Christi R. Sulzbach | Individual | 25-Jun-2009 | 25-Jun-2009 | Issuer Reporting and Disclosure |
| In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells | Christie A. Andersen | Individual | 30-Jun-2009 | 30-Nov-2009 | Broker Dealer |
| In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells | Eric J. Brown | Individual | 30-Jun-2009 | 30-Nov-2009 | Broker Dealer |
| In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells | Gilman Ciocia, Inc. | Other | 30-Jun-2009 | 30-Nov-2009 | Broker Dealer |
| In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells | Kevin J. Walsh | Individual | 30-Jun-2009 | 30-Nov-2009 | Broker Dealer |
| In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells | Mark W. Wells | Individual | 30-Jun-2009 | 30-Nov-2009 | Broker Dealer |
| In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells | Matthew J. Collins | Individual | 30-Jun-2009 | 30-Nov-2009 | Broker Dealer |
| In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells | Michael P. Ryan | Individual | 30-Jun-2009 | 30-Nov-2009 | Broker Dealer |
| In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells | Prime Capital Services, Inc. | Other | 30-Jun-2009 | 30-Nov-2009 | Broker Dealer |
| In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells | Rose M. Rudden | Individual | 30-Jun-2009 | 30-Nov-2009 | Broker Dealer |
| In the Matter of Robert D. Graham, Esq. | Robert D. Graham | Individual | 01-Jul-2009 | Issuer Reporting and Disclosure | |
| SEC v. Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor | Bradley T. Ray | Individual | 02-Jul-2009 | 28-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor | Geotec, Inc. | Other | 02-Jul-2009 | 28-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor | Stephen D. Chanslor | Individual | 02-Jul-2009 | 28-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor | William Richard Lueck | Individual | 02-Jul-2009 | 28-Jul-2010 | Issuer Reporting and Disclosure |
| In the Matter of Ameriprise Financial Services, Inc. | Ameriprise Financial Services, Inc.
Aliases |
Subsidiary of Public Company | 10-Jul-2009 | 10-Jul-2009 | Broker Dealer |
| In the Matter of J.P. Turner & Company, LLC | J.P. Turner & Company, LLC | Other | 17-Jul-2009 | 17-Jul-2009 | Broker Dealer |
| In the Matter of LSB Industries, Inc. and Jimmie Dean Jones, CPA | Jimmie Dean Jones, CPA | Individual | 17-Jul-2009 | 17-Jul-2009 | Issuer Reporting and Disclosure |
| In the Matter of LSB Industries, Inc. and Jimmie Dean Jones, CPA | LSB Industries, Inc. | Public Company | 17-Jul-2009 | 17-Jul-2009 | Issuer Reporting and Disclosure |
| In the Matter of Stephen Cheryl Bauman | Stephen Cheryl Bauman | Individual | 17-Jul-2009 | 17-Jul-2009 | Broker Dealer |
| In the Matter of Lisa M. Roberts, CPA | Lisa M. Roberts | Individual | 20-Jul-2009 | 20-Jul-2009 | Issuer Reporting and Disclosure |
| In the Matter of Morgan Stanley & Co. Incorporated | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 20-Jul-2009 | 20-Jul-2009 | Investment Advisers/Investment Companies |
| In the Matter of TD Ameritrade, Inc. | TD Ameritrade, Inc. | Subsidiary of Public Company | 20-Jul-2009 | 20-Jul-2009 | Broker Dealer |
| In the Matter of William Keith Phillips | William Keith Phillips | Individual | 20-Jul-2009 | 04-Jan-2010 | Investment Advisers/Investment Companies |
| SEC v. Morgan Keegan & Company, Inc. | Morgan Keegan & Company, Inc. | Subsidiary of Public Company | 21-Jul-2009 | 15-Feb-2013 | Broker Dealer |
| SEC v. West Marine, Inc. | West Marine, Inc. | Public Company | 23-Jul-2009 | 23-Jul-2009 | Issuer Reporting and Disclosure |
| In the Matter of Avery Dennison Corporation | Avery Dennison Corporation | Public Company | 28-Jul-2009 | 28-Jul-2009 | Foreign Corrupt Practices Act |
| SEC v. Avery Dennison Corporation | Avery Dennison Corporation | Public Company | 28-Jul-2009 | 28-Jul-2009 | Foreign Corrupt Practices Act |
| In the Matter of Helmerich & Payne, Inc. | Helmerich & Payne, Inc. | Public Company | 30-Jul-2009 | 30-Jul-2009 | Foreign Corrupt Practices Act |
| In the Matter of Integral Systems, Inc. | Integral Systems, Inc. | Public Company | 30-Jul-2009 | 30-Jul-2009 | Issuer Reporting and Disclosure |
| SEC v. Steven R. Chamberlain, Elaine M. Brown, and Gary A. Prince | Elaine M. Brown | Individual | 30-Jul-2009 | 18-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Steven R. Chamberlain, Elaine M. Brown, and Gary A. Prince | Gary A. Prince | Individual | 30-Jul-2009 | 18-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Steven R. Chamberlain, Elaine M. Brown, and Gary A. Prince | Steven R. Chamberlain | Individual | 30-Jul-2009 | 18-Feb-2010 | Issuer Reporting and Disclosure |
| SEC v. Nature's Sunshine Products, Inc., Douglas Faggioli and Craig D. Huff | Craig D. Huff | Individual | 31-Jul-2009 | 31-Jul-2009 | Foreign Corrupt Practices Act |
| SEC v. Nature's Sunshine Products, Inc., Douglas Faggioli and Craig D. Huff | Douglas Faggioli | Individual | 31-Jul-2009 | 31-Jul-2009 | Foreign Corrupt Practices Act |
| SEC v. Nature's Sunshine Products, Inc., Douglas Faggioli and Craig D. Huff | Nature's Sunshine Products, Inc. | Public Company | 31-Jul-2009 | 31-Jul-2009 | Foreign Corrupt Practices Act |
| SEC v. Bank of America Corporation | Bank of America Corporation | Public Company | 03-Aug-2009 | 03-Aug-2009 | Other |
| SEC v. General Electric Company | General Electric Company | Public Company | 04-Aug-2009 | 04-Aug-2009 | Issuer Reporting and Disclosure |
| SEC v. Maurice R. Greenberg and Howard I. Smith | Howard I. Smith | Individual | 06-Aug-2009 | 07-Aug-2009 | Issuer Reporting and Disclosure |
| SEC v. Maurice R. Greenberg and Howard I. Smith | Maurice R. Greenberg | Individual | 06-Aug-2009 | 07-Aug-2009 | Issuer Reporting and Disclosure |
| In the Matter of Axa Advisors, LLC | AXA Advisors, LLC | Subsidiary of Public Company | 11-Aug-2009 | 11-Aug-2009 | Broker Dealer |
| SEC v. Terex Corporation | Terex Corporation | Public Company | 12-Aug-2009 | 12-Aug-2009 | Issuer Reporting and Disclosure |
| In the Matter of Howard I. Smith, CPA | Howard I. Smith | Individual | 25-Aug-2009 | 25-Aug-2009 | Issuer Reporting and Disclosure |
| SEC v. Oscar H. Meza | Oscar H. Meza
Aliases |
Individual | 28-Aug-2009 | 25-Sep-2009 | Foreign Corrupt Practices Act |
| SEC v. VeriFone Holdings, Inc., and Paul Periolat | Paul Periolat | Individual | 01-Sep-2009 | 01-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. VeriFone Holdings, Inc., and Paul Periolat | VeriFone Holdings, Inc. | Public Company | 01-Sep-2009 | 01-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. The Hain Celestial Group, Inc. | The Hain Celestial Group, Inc. | Public Company | 03-Sep-2009 | 03-Sep-2009 | Issuer Reporting and Disclosure |
| In the Matter of Dana Holding Corporation (as successor registrant to Dana Corporation) | Dana Holding Corporation (as Successor Registrant to Dana Corporation) | Public Company | 11-Sep-2009 | 11-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle | Bernard N. Cole | Individual | 11-Sep-2009 | 21-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle | Douglas W. Hodge | Individual | 11-Sep-2009 | 21-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle | Robert E. Steimle | Individual | 11-Sep-2009 | 21-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle | William E. Hennessy | Individual | 11-Sep-2009 | 21-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Isilon Systems, Inc. | Isilon Systems, Inc. | Public Company | 14-Sep-2009 | 14-Sep-2009 | Issuer Reporting and Disclosure |
| SEC v. Stuart W. Fuhlendorf | Stuart W. Fuhlendorf | Individual | 14-Sep-2009 | 22-Nov-2011 | Issuer Reporting and Disclosure |
| In the Matter of Regions Bank | Regions Bank | Subsidiary of Public Company | 21-Sep-2009 | 21-Sep-2009 | Broker Dealer |
| SEC v. Regions Bank | Regions Bank | Subsidiary of Public Company | 21-Sep-2009 | 21-Sep-2009 | Securities Offering |
| SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler | Enzyme Environmental Solutions, Inc. | Other | 24-Sep-2009 | 25-Aug-2010 | Securities Offering |
| SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler | Jared E. Hochstedler | Individual | 24-Sep-2009 | 25-Aug-2010 | Securities Offering |
| SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler | K&L International Enterprises, Inc. | Other | 24-Sep-2009 | 25-Aug-2010 | Securities Offering |
| SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler | Lawrence A. Powalisz | Individual | 24-Sep-2009 | 25-Aug-2010 | Securities Offering |
| SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler | Signature Leisure, Inc. | Other | 24-Sep-2009 | 25-Aug-2010 | Securities Offering |
| SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler | Signature Worldwide Advisors, LLC | Other | 24-Sep-2009 | 25-Aug-2010 | Securities Offering |
| SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler | Stephen W. Carnes | Individual | 24-Sep-2009 | 25-Aug-2010 | Securities Offering |
| In the Matter of AGCO Corporation | AGCO Corporation | Public Company | 30-Sep-2009 | 30-Sep-2009 | Foreign Corrupt Practices Act |
| In the Matter of Banc of America Investment Services, Inc. and Virginia Holliday | Banc of America Investment Services, Inc
Aliases |
Subsidiary of Public Company | 22-Oct-2009 | 22-Oct-2009 | Broker Dealer |
| In the Matter of Banc of America Investment Services, Inc. and Virginia Holliday | Virginia Holliday | Individual | 22-Oct-2009 | 22-Oct-2009 | Broker Dealer |
| In the Matter of J.P. Morgan Securities Inc. | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 04-Nov-2009 | 04-Nov-2009 | Municipal Securities & Public Pensions |
| In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson | David Henigson | Individual | 04-Nov-2009 | 04-Nov-2009 | Investment Advisers/Investment Companies |
| In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson | Jean Bernhard Buttner | Individual | 04-Nov-2009 | 04-Nov-2009 | Investment Advisers/Investment Companies |
| In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson | Value Line Securities, Inc. | Subsidiary of Public Company | 04-Nov-2009 | 04-Nov-2009 | Investment Advisers/Investment Companies |
| In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson | Value Line, Inc. | Public Company | 04-Nov-2009 | 04-Nov-2009 | Investment Advisers/Investment Companies |
| SEC v. Charles E. LeCroy and Douglas W. MacFaddin | Charles E. LeCroy | Individual | 04-Nov-2009 | 04-Dec-2015 | Municipal Securities & Public Pensions |
| SEC v. Charles E. LeCroy and Douglas W. MacFaddin | Douglas W. McFaddin | Individual | 04-Nov-2009 | 04-Dec-2015 | Municipal Securities & Public Pensions |
| SEC v. Merge Healthcare Incorporated, Richard Linden, and Scott Veech | Merge Healthcare Incorporated | Public Company | 04-Nov-2009 | 04-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. Merge Healthcare Incorporated, Richard Linden, and Scott Veech | Richard A. Linden | Individual | 04-Nov-2009 | 04-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. Merge Healthcare Incorporated, Richard Linden, and Scott Veech | Scott T. Veech | Individual | 04-Nov-2009 | 04-Nov-2009 | Issuer Reporting and Disclosure |
| In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar | Christopher Aguilar | Individual | 10-Nov-2009 | 10-Nov-2009 | Broker Dealer |
| In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar | D. Jonathan Merriman | Individual | 10-Nov-2009 | 10-Nov-2009 | Broker Dealer |
| In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar | Merriman Curhan Ford & Co. | Subsidiary of Public Company | 10-Nov-2009 | 10-Nov-2009 | Broker Dealer |
| SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko | Anthony Caputo | Individual | 10-Nov-2009 | 12-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko | Clinton Ronald Greenman | Individual | 10-Nov-2009 | 12-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko | Gregory Pasko | Individual | 10-Nov-2009 | 12-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko | John Wilroy | Individual | 10-Nov-2009 | 12-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko | Kenneth Mueller | Individual | 10-Nov-2009 | 12-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko | SafeNet, Inc. | Public Company | 10-Nov-2009 | 12-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. Bancinsurance Corporation and John S. Sokol | Bancinsurance Corporation | Public Company | 16-Nov-2009 | 16-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. Bancinsurance Corporation and John S. Sokol | John S. Sokol | Individual | 16-Nov-2009 | 16-Nov-2009 | Issuer Reporting and Disclosure |
| SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC | Federation Advances Corp. LLC | Other | 23-Nov-2009 | 01-Apr-2011 | Other |
| SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC | Gina P. Solow | Individual | 23-Nov-2009 | 01-Apr-2011 | Other |
| SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC | Jamie L. Solow | Individual | 23-Nov-2009 | 01-Apr-2011 | Other |
| SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC | Jsolow Condo One, Inc. | Other | 23-Nov-2009 | 01-Apr-2011 | Other |
| SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC | VirtualBank, F.S.B. | Other | 23-Nov-2009 | 01-Apr-2011 | Other |
| SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC | Washington Mutual Bank, F.A. | Subsidiary of Public Company | 23-Nov-2009 | 01-Apr-2011 | Other |
| SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft | Brian M. Marshall | Individual | 30-Nov-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft | Frank J. Fradella | Individual | 30-Nov-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft | Home Solutions of America, Inc. | Public Company | 30-Nov-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft | Jeffrey M. Mattich | Individual | 30-Nov-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft | Jeffrey T. Craft | Individual | 30-Nov-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft | Rick J. O'Brien | Individual | 30-Nov-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft | Stephen C. Gringrich | Individual | 30-Nov-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft | Thomas L. Davis | Individual | 30-Nov-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Black Box Corporation, Frederick C. Young, and Anna M. Baird | Anna M. Baird | Individual | 04-Dec-2009 | 04-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Black Box Corporation, Frederick C. Young, and Anna M. Baird | Black Box Corporation | Public Company | 04-Dec-2009 | 04-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Black Box Corporation, Frederick C. Young, and Anna M. Baird | Frederick C. Young | Individual | 04-Dec-2009 | 04-Dec-2009 | Issuer Reporting and Disclosure |
| In the Matter of Clinton Ronald Greenman, CPA | Clinton Ronald Greenman | Individual | 10-Dec-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| In the Matter of Gregory Pasko, CPA | Gregory Pasko | Individual | 10-Dec-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| In the Matter of John Wilroy, CPA | John Wilroy | Individual | 10-Dec-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| In the Matter of Kenneth Mueller, CPA | Kenneth Mueller | Individual | 10-Dec-2009 | 10-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. Investools Inc., Michael J. Drew, and Eben D. Miller | Eben D. Miller | Individual | 10-Dec-2009 | 10-Dec-2009 | Securities Offering |
| SEC v. Investools Inc., Michael J. Drew, and Eben D. Miller | Investools Inc. | Public Company | 10-Dec-2009 | 10-Dec-2009 | Securities Offering |
| SEC v. Investools Inc., Michael J. Drew, and Eben D. Miller | Michael J. Drew | Individual | 10-Dec-2009 | 10-Dec-2009 | Securities Offering |
| SEC v. Bobby Benton | Bobby Benton | Individual | 11-Dec-2009 | 09-Aug-2010 | Foreign Corrupt Practices Act |
| In the Matter of Anna M. Baird, CPA | Anna M. Baird | Individual | 28-Dec-2009 | 28-Dec-2009 | Issuer Reporting and Disclosure |
| In the Matter of Stephen C. Gingrich (CPA) | Stephen C. Gingrich (CPA) | Individual | 30-Dec-2009 | 30-Dec-2009 | Issuer Reporting and Disclosure |
| SEC v. UTStarcom, Inc. | UTStarcom, Inc. | Public Company | 31-Dec-2009 | 31-Dec-2009 | Foreign Corrupt Practices Act |
| In the Matter of Scott T. Veech, CPA | Scott T. Veech | Individual | 06-Jan-2010 | 06-Jan-2010 | Issuer Reporting and Disclosure |
| In the Matter of Natco Group Inc. | NATCO Group Inc. | Public Company | 11-Jan-2010 | 11-Jan-2010 | Foreign Corrupt Practices Act |
| SEC v. NATCO Group Inc. | NATCO Group Inc. | Public Company | 11-Jan-2010 | 11-Jan-2010 | Foreign Corrupt Practices Act |
| SEC v. Bank of America Corporation | Bank of America Corporation | Public Company | 12-Jan-2010 | 04-Feb-2010 | Other |
| SEC v. Charles J. Marquardt | Charles J. Marquardt | Individual | 20-Jan-2010 | 10-Feb-2010 | Insider Trading |
| SEC v. General Re Corporation | General Re Corporation | Subsidiary of Public Company | 20-Jan-2010 | 20-Jan-2010 | Issuer Reporting and Disclosure |
| SEC v. Assurant, Inc. | Assurant, Inc. | Public Company | 21-Jan-2010 | 21-Jan-2010 | Issuer Reporting and Disclosure |
| In the Matter of State Street Bank and Trust Company | State Street Bank and Trust Company | Subsidiary of Public Company | 04-Feb-2010 | 04-Feb-2010 | Securities Offering |
| SEC v. State Street Bank and Trust Company | State Street Bank and Trust Company | Subsidiary of Public Company | 04-Feb-2010 | 04-Feb-2010 | Securities Offering |
| SEC v. American Equity Investment Life Holding Company, David J. Nobel, and Wendy C. Waugaman | American Equity Investment Life Holding Company | Public Company | 03-Mar-2010 | 03-Mar-2010 | Issuer Reporting and Disclosure |
| SEC v. American Equity Investment Life Holding Company, David J. Nobel, and Wendy C. Waugaman | David Noble | Individual | 03-Mar-2010 | 03-Mar-2010 | Issuer Reporting and Disclosure |
| SEC v. American Equity Investment Life Holding Company, David J. Nobel, and Wendy C. Waugaman | Wendy Waugaman | Individual | 03-Mar-2010 | 03-Mar-2010 | Issuer Reporting and Disclosure |
| SEC v. Verint Systems Inc. | Verint Systems Inc. | Public Company | 03-Mar-2010 | 03-Mar-2010 | Issuer Reporting and Disclosure |
| SEC v. Presstek, Inc. and Edward J. Marino | Edward J. Marino | Individual | 09-Mar-2010 | 09-Mar-2010 | Issuer Reporting and Disclosure |
| SEC v. Presstek, Inc. and Edward J. Marino | Presstek, Inc. | Public Company | 09-Mar-2010 | 09-Mar-2010 | Issuer Reporting and Disclosure |
| In the Matter of infoUSA Inc., k/n/a infoGROUP Inc. | infoUSA Inc. | Public Company | 15-Mar-2010 | 15-Mar-2010 | Issuer Reporting and Disclosure |
| SEC v. Rajnish K. Das and Stormy L. Dean | Rajnish K. Das | Individual | 15-Mar-2010 | 29-May-2012 | Issuer Reporting and Disclosure |
| SEC v. Rajnish K. Das and Stormy L. Dean | Stormy L. Dean | Individual | 15-Mar-2010 | 29-May-2012 | Issuer Reporting and Disclosure |
| SEC v. Vasant H. Raval | Vasant H. Raval | Individual | 15-Mar-2010 | 18-Mar-2010 | Issuer Reporting and Disclosure |
| SEC v. Vinod Gupta | Vinod Gupta | Individual | 15-Mar-2010 | 17-Mar-2010 | Issuer Reporting and Disclosure |
| In the Matter of Charles J. Marquardt | Charles J. Marquardt | Individual | 17-Mar-2010 | 17-Mar-2010 | Insider Trading |
| Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: JP Morgan Securities, Inc. | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 18-Mar-2010 | 18-Mar-2010 | Broker Dealer |
| SEC v. Innospec, Inc. | Innospec, Inc. | Public Company | 18-Mar-2010 | 18-Mar-2010 | Foreign Corrupt Practices Act |
| SEC v. Daimler AG | Daimler AG | Public Company | 22-Mar-2010 | 01-Apr-2010 | Foreign Corrupt Practices Act |
| In the Matter of John F. Kendrick | John F. Kendrick | Individual | 24-Mar-2010 | 14-Jul-2010 | Municipal Securities & Public Pensions |
| In the Matter of Southwest Securities, Inc. | Southwest Securities, Inc. | Subsidiary of Public Company | 24-Mar-2010 | 24-Mar-2010 | Municipal Securities & Public Pensions |
| In the Matter of Richard J. Evangelista | Richard J. Evangelista | Individual | 02-Apr-2010 | 02-Apr-2010 | Market Manipulation |
| In the Matter of Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA | James C. Kelsoe, Jr. | Individual | 07-Apr-2010 | 22-Jun-2011 | Investment Advisers/Investment Companies |
| In the Matter of Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA | Joseph Thompson Weller | Individual | 07-Apr-2010 | 22-Jun-2011 | Investment Advisers/Investment Companies |
| In the Matter of Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA | Morgan Asset Management, Inc. | Subsidiary of Public Company | 07-Apr-2010 | 22-Jun-2011 | Investment Advisers/Investment Companies |
| In the Matter of Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA | Morgan Keegan & Company, Inc. | Subsidiary of Public Company | 07-Apr-2010 | 22-Jun-2011 | Investment Advisers/Investment Companies |
| SEC v. Goldman Sachs & Co. and Fabrice Tourre | Fabrice Tourre | Individual | 16-Apr-2010 | 15-Jul-2010 | Broker Dealer |
| SEC v. Goldman Sachs & Co. and Fabrice Tourre | Goldman, Sachs & Co. | Subsidiary of Public Company | 16-Apr-2010 | 15-Jul-2010 | Broker Dealer |
| SEC v. Bobby Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy Lynn Williams | Baxter J. Myers | Individual | 28-Apr-2010 | 27-Aug-2010 | Foreign Corrupt Practices Act |
| SEC v. Bobby Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy Lynn Williams | Bobby J. Elkin, Jr. | Individual | 28-Apr-2010 | 27-Aug-2010 | Foreign Corrupt Practices Act |
| SEC v. Bobby Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy Lynn Williams | Thomas G. Reynolds | Individual | 28-Apr-2010 | 27-Aug-2010 | Foreign Corrupt Practices Act |
| SEC v. Bobby Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy Lynn Williams | Tommy Lynn Williams | Individual | 28-Apr-2010 | 27-Aug-2010 | Foreign Corrupt Practices Act |
| In the Matter of Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs Execution & Clearing, L.P. | Subsidiary of Public Company | 04-May-2010 | 04-May-2010 | Broker Dealer |
| In the Matter of Angel Romo | Angel Romo | Individual | 20-May-2010 | 20-May-2010 | Broker Dealer |
| In the Matter of Jesus Gutierrez | Jesus Gutierrez | Individual | 20-May-2010 | 20-May-2010 | Broker Dealer |
| In the Matter of Kederio Ainsworth | Kederio Ainsworth | Individual | 20-May-2010 | 20-May-2010 | Broker Dealer |
| In the Matter of Gabriel Paredes | Gabriel Paredes | Individual | 28-May-2010 | 28-May-2010 | Broker Dealer |
| SEC v. Diebold, Inc. | Diebold, Inc.
Aliases |
Public Company | 02-Jun-2010 | 02-Jun-2010 | Issuer Reporting and Disclosure |
| SEC v. Elizabeth A. Dragon | Elizabeth A. Dragon | Individual | 02-Jun-2010 | 10-Jun-2010 | Issuer Reporting and Disclosure |
| SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller | Gregory Geswein | Individual | 02-Jun-2010 | 26-May-2015 | Issuer Reporting and Disclosure |
| SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller | Kevin Krakora | Individual | 02-Jun-2010 | 26-May-2015 | Issuer Reporting and Disclosure |
| SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller | Sandra Miller | Individual | 02-Jun-2010 | 26-May-2015 | Issuer Reporting and Disclosure |
| SEC v. Walden W. O'Dell | Walden O'Dell | Individual | 02-Jun-2010 | 14-Jun-2010 | Issuer Reporting and Disclosure |
| In the Matter of Guillermo Haro | Guillermo Haro | Individual | 04-Jun-2010 | 04-Jun-2010 | Broker Dealer |
| In the Matter of China Yuchai International Limited | China Yuchai International Limited | Public Company | 07-Jun-2010 | 07-Jun-2010 | Issuer Reporting and Disclosure |
| In the Matter of Anthony Bonica | Anthony Bonica | Individual | 08-Jun-2010 | 08-Jun-2010 | Issuer Reporting and Disclosure |
| SEC v. Technip | Technip | Public Company | 28-Jun-2010 | 28-Jun-2010 | Foreign Corrupt Practices Act |
| SEC v. Veraz Networks, Inc. | Veraz Networks, Inc. | Public Company | 29-Jun-2010 | 29-Jun-2010 | Foreign Corrupt Practices Act |
| SEC v. ENI, S.p.A. and Snamprogetti Netherlands, B.V. | ENI, S.p.A.
Aliases |
Public Company | 07-Jul-2010 | 07-Jul-2010 | Foreign Corrupt Practices Act |
| SEC v. ENI, S.p.A. and Snamprogetti Netherlands, B.V. | Snamprogetti Netherlands, B.V. | Subsidiary of Public Company | 07-Jul-2010 | 07-Jul-2010 | Foreign Corrupt Practices Act |
| SEC v. Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen | Frank C. Lin | Individual | 16-Jul-2010 | 16-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen | Peter Y. Jen | Individual | 16-Jul-2010 | 16-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen | Trident Microsystems, Inc. | Public Company | 16-Jul-2010 | 16-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning | Dell Inc. | Public Company | 22-Jul-2010 | 22-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning | James M. Schneider | Individual | 22-Jul-2010 | 22-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning | Kevin B. Rollins | Individual | 22-Jul-2010 | 22-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning | Leslie L. Jackson | Individual | 22-Jul-2010 | 22-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning | Michael S. Dell | Individual | 22-Jul-2010 | 22-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning | Nicholas A. R. Dunning | Individual | 22-Jul-2010 | 22-Jul-2010 | Issuer Reporting and Disclosure |
| In the Matter of Kenneth J. Abod, CPA | Kenneth J. Abod | Individual | 23-Jul-2010 | 23-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Sunrise Senior Living, Inc., Larry E. Hulse, and Kenneth J. Abod | Kenneth J. Abod | Individual | 23-Jul-2010 | 23-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Sunrise Senior Living, Inc., Larry E. Hulse, and Kenneth J. Abod | Larry E. Hulse | Individual | 23-Jul-2010 | 23-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Sunrise Senior Living, Inc., Larry E. Hulse, and Kenneth J. Abod | Sunrise Senior Living, Inc. | Public Company | 23-Jul-2010 | 23-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. General Electric Company, Ionics, Inc. and Amersham plc | Amersham plc | Subsidiary of Public Company | 27-Jul-2010 | 27-Jul-2010 | Foreign Corrupt Practices Act |
| SEC v. General Electric Company, Ionics, Inc. and Amersham plc | General Electric Company | Public Company | 27-Jul-2010 | 27-Jul-2010 | Foreign Corrupt Practices Act |
| SEC v. General Electric Company, Ionics, Inc. and Amersham plc | Ionics, Inc. | Subsidiary of Public Company | 27-Jul-2010 | 27-Jul-2010 | Foreign Corrupt Practices Act |
| In the Matter of Gary L. Crittenden and Arthur H. Tildesley, Jr. | Arthur H. Tildesley, Jr. | Individual | 29-Jul-2010 | 29-Jul-2010 | Issuer Reporting and Disclosure |
| In the Matter of Gary L. Crittenden and Arthur H. Tildesley, Jr. | Gary L. Crittenden | Individual | 29-Jul-2010 | 29-Jul-2010 | Issuer Reporting and Disclosure |
| In the Matter of Larry E. Hulse, CPA | Larry E. Hulse | Individual | 29-Jul-2010 | 29-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. Citigroup Inc. | Citigroup Inc.
Aliases |
Public Company | 29-Jul-2010 | 29-Jul-2010 | Issuer Reporting and Disclosure |
| SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz | Ernest A. Stinsa | Individual | 04-Aug-2010 | 18-Aug-2010 | Issuer Reporting and Disclosure |
| SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz | James J. Stanaway | Individual | 04-Aug-2010 | 18-Aug-2010 | Issuer Reporting and Disclosure |
| SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz | James W. McIntosh | Individual | 04-Aug-2010 | 18-Aug-2010 | Issuer Reporting and Disclosure |
| SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz | Michael J. Schultz | Individual | 04-Aug-2010 | 18-Aug-2010 | Issuer Reporting and Disclosure |
| SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz | Thomas M. Akers, Jr. | Individual | 04-Aug-2010 | 18-Aug-2010 | Issuer Reporting and Disclosure |
| SEC v. Mark T. Schwetschenau | Mark T. Schwetschenau | Individual | 04-Aug-2010 | 19-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Mark T. Schwetschenau | Mark T. Schwetschenau | Individual | 05-Aug-2010 | 05-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz | Daniel C. Ustian | Individual | 05-Aug-2010 | 05-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz | Ernest A. Stinsa | Individual | 05-Aug-2010 | 05-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz | James J. Stanaway | Individual | 05-Aug-2010 | 05-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz | James W. McIntosh | Individual | 05-Aug-2010 | 05-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz | Michael J. Schultz | Individual | 05-Aug-2010 | 05-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz | Navistar International Corporation
Aliases |
Public Company | 05-Aug-2010 | 05-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz | Robert C. Lannert | Individual | 05-Aug-2010 | 05-Aug-2010 | Issuer Reporting and Disclosure |
| In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz | Thomas M. Akers, Jr. | Individual | 05-Aug-2010 | 05-Aug-2010 | Issuer Reporting and Disclosure |
| SEC v. David P. Turner and Ousama M. Naaman | David P. Turner | Individual | 05-Aug-2010 | 10-Aug-2010 | Foreign Corrupt Practices Act |
| SEC v. David P. Turner and Ousama M. Naaman | Ousama M. Naaman | Individual | 05-Aug-2010 | 10-Aug-2010 | Foreign Corrupt Practices Act |
| SEC v. Joe Summers | Joe Summers | Individual | 05-Aug-2010 | 11-Aug-2010 | Foreign Corrupt Practices Act |
| SEC v. Alliance One International, Inc. | Alliance One International, Inc. | Public Company | 06-Aug-2010 | 06-Aug-2010 | Foreign Corrupt Practices Act |
| SEC v. Universal Corporation | Universal Corporation
Aliases |
Public Company | 06-Aug-2010 | 06-Aug-2010 | Foreign Corrupt Practices Act |
| In the Matter of Stephen D. Chanslor (CPA) | Stephen D. Chanslor | Individual | 26-Aug-2010 | 26-Aug-2010 | Broker Dealer |
| SEC v. Randall D. Imhoff | Randall D. Imhoff | Individual | 27-Aug-2010 | 13-Oct-2010 | Issuer Reporting and Disclosure |
| SEC v. Robert W. Davis | Robert W. Davis | Individual | 27-Aug-2010 | 13-Oct-2010 | Issuer Reporting and Disclosure |
| Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Moody's Investors Service, Inc. | Moody's Investors Service, Inc. | Subsidiary of Public Company | 31-Aug-2010 | 31-Aug-2010 | Other |
| SEC v. Sujata Sachdeva and Julie Mulvaney | Julie Mulvaney | Individual | 31-Aug-2010 | 11-Jan-2011 | Issuer Reporting and Disclosure |
| SEC v. Sujata Sachdeva and Julie Mulvaney | Sujata Sachdeva | Individual | 31-Aug-2010 | 11-Jan-2011 | Issuer Reporting and Disclosure |
| SEC v. Affiliated Computer Services, Inc. | Affiliated Computer Services, Inc. | Public Company | 09-Sep-2010 | 09-Sep-2010 | Issuer Reporting and Disclosure |
| In the Matter of KMJ Corbin & Company, LLP Kendall G. Merkley, CPA, and Anthony J. Price, CPA | Anthony J. Price, CPA | Individual | 13-Sep-2010 | 13-Sep-2010 | Issuer Reporting and Disclosure |
| In the Matter of KMJ Corbin & Company, LLP Kendall G. Merkley, CPA, and Anthony J. Price, CPA | Kendall G. Merkley, CPA | Individual | 13-Sep-2010 | 13-Sep-2010 | Issuer Reporting and Disclosure |
| In the Matter of KMJ Corbin & Company, LLP Kendall G. Merkley, CPA, and Anthony J. Price, CPA | KMJ Corbin & Company, LLP | Other | 13-Sep-2010 | 13-Sep-2010 | Issuer Reporting and Disclosure |
| In the matter of Daxor Corporation | Daxor Corporation | Public Company | 17-Sep-2010 | 31-Aug-2011 | Investment Advisers/Investment Companies |
| In the Matter of SunOpta, Inc., Steven R. Bromley, CGA, and John H. Dietrich, CA | John H. Dietrich | Individual | 24-Sep-2010 | 24-Sep-2010 | Issuer Reporting and Disclosure |
| In the Matter of SunOpta, Inc., Steven R. Bromley, CGA, and John H. Dietrich, CA | Steven R. Bromley | Individual | 24-Sep-2010 | 24-Sep-2010 | Issuer Reporting and Disclosure |
| In the Matter of SunOpta, Inc., Steven R. Bromley, CGA, and John H. Dietrich, CA | SunOpta, Inc. | Public Company | 24-Sep-2010 | 24-Sep-2010 | Issuer Reporting and Disclosure |
| SEC v. ABB Ltd | ABB Ltd | Public Company | 29-Sep-2010 | 29-Sep-2010 | Foreign Corrupt Practices Act |
| In the Matter of John P. Flannery, and James D. Hopkins | James D. Hopkins | Individual | 30-Sep-2010 | 28-Oct-2011 | Securities Offering |
| In the Matter of John P. Flannery, and James D. Hopkins | John P. Flannery | Individual | 30-Sep-2010 | 28-Oct-2011 | Securities Offering |
| In the Matter of Altschuler, Melvoin and Glasser LLP, and G. Victor Johnson, II, CPA | Altschuler, Melvoin and Glasser LLP | Subsidiary of Public Company | 04-Oct-2010 | 04-Oct-2010 | Investment Advisers/Investment Companies |
| In the Matter of Altschuler, Melvoin and Glasser LLP, and G. Victor Johnson, II, CPA | G. Victor Johnson, II | Individual | 04-Oct-2010 | 04-Oct-2010 | Investment Advisers/Investment Companies |
| In the Matter of Office Depot, Inc. | Office Depot, Inc. | Public Company | 21-Oct-2010 | 21-Oct-2010 | Issuer Reporting and Disclosure |
| In the Matter of Patricia A. McKay, CPA | Patricia A. McKay | Individual | 21-Oct-2010 | 21-Oct-2010 | Issuer Reporting and Disclosure |
| In the Matter of Stephen A. Odland | Stephen A. Odland | Individual | 21-Oct-2010 | 21-Oct-2010 | Issuer Reporting and Disclosure |
| SEC v. Office Depot, Inc. | Office Depot, Inc. | Public Company | 21-Oct-2010 | 21-Oct-2010 | Issuer Reporting and Disclosure |
| In the Matter of Royal Dutch Shell plc, and Shell International Exploration and Production Inc. | Royal Dutch Shell plc | Public Company | 04-Nov-2010 | 04-Nov-2010 | Foreign Corrupt Practices Act |
| In the Matter of Royal Dutch Shell plc, and Shell International Exploration and Production Inc. | Shell International Exploration and Production Inc. | Subsidiary of Public Company | 04-Nov-2010 | 04-Nov-2010 | Foreign Corrupt Practices Act |
| SEC v. GlobalSantaFe Corp. | GlobalSantaFe Corp. | Public Company | 04-Nov-2010 | 04-Nov-2010 | Foreign Corrupt Practices Act |
| SEC v. Noble Corporation | Noble Corporation | Public Company | 04-Nov-2010 | 04-Nov-2010 | Foreign Corrupt Practices Act |
| SEC v. Pride International, Inc. | Pride International, Inc. | Public Company | 04-Nov-2010 | 04-Nov-2010 | Foreign Corrupt Practices Act |
| SEC v. Tidewater Inc. | Tidewater Inc. | Public Company | 04-Nov-2010 | 04-Nov-2010 | Foreign Corrupt Practices Act |
| SEC v. Transocean Inc. | Transocean Inc.
Aliases |
Public Company | 04-Nov-2010 | 04-Nov-2010 | Foreign Corrupt Practices Act |
| In the Matter of Leslie L. Jackson, CPA | Leslie L. Jackson | Individual | 05-Nov-2010 | 05-Nov-2010 | Issuer Reporting and Disclosure |
| In the Matter of Nicholas A. R. Dunning, ACA | Nicholas A. R. Dunning | Individual | 05-Nov-2010 | 05-Nov-2010 | Issuer Reporting and Disclosure |
| In the Matter of Randall D. Imhoff (CPA) | Randall D. Imhoff | Individual | 05-Nov-2010 | 05-Nov-2010 | Issuer Reporting and Disclosure |
| In the Matter of Robert W. Davis (CPA) | Robert W. Davis | Individual | 05-Nov-2010 | 05-Nov-2010 | Issuer Reporting and Disclosure |
| In the Matter of World Group Securities, Inc. | World Group Securities, Inc. | Subsidiary of Public Company | 22-Nov-2010 | 22-Nov-2010 | Broker Dealer |
| In the Matter of Iliana Maceiras | Iliana Maceiras | Individual | 26-Nov-2010 | 26-Nov-2010 | Securities Offering |
| In the Matter of Leonard Madeiras Jr. | Leonardo Maceiras Jr. | Individual | 26-Nov-2010 | 26-Nov-2010 | Securities Offering |
| In the Matter of Nildo Verdeja | Nildo Verdeja | Individual | 26-Nov-2010 | 26-Nov-2010 | Securities Offering |
| In the Matter of Banc of America Securities LLC, now known as Merrill Lynch, Pierce, Fenner & Smith Incorporated, successor by merger | Banc of America Securities LLC
Aliases |
Subsidiary of Public Company | 07-Dec-2010 | 07-Dec-2010 | Municipal Securities & Public Pensions |
| In the Matter of Douglas Lee Campbell | Douglas Lee Campbell | Individual | 07-Dec-2010 | 07-Dec-2010 | Municipal Securities & Public Pensions |
| SEC v. RAE Systems Inc. | RAE Systems Inc. | Public Company | 10-Dec-2010 | 10-Dec-2010 | Foreign Corrupt Practices Act |
| SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan | Eugene F. Hovanec | Individual | 10-Dec-2010 | 10-Dec-2010 | Issuer Reporting and Disclosure |
| SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan | Louis R. Tomasetta | Individual | 10-Dec-2010 | 10-Dec-2010 | Issuer Reporting and Disclosure |
| SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan | Nicole R. Kaplan | Individual | 10-Dec-2010 | 10-Dec-2010 | Issuer Reporting and Disclosure |
| SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan | Vitesse Semiconductor Corporation | Public Company | 10-Dec-2010 | 10-Dec-2010 | Issuer Reporting and Disclosure |
| SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan | Yatin D. Mody | Individual | 10-Dec-2010 | 10-Dec-2010 | Issuer Reporting and Disclosure |
| In the Matter of James M. Schneider, CPA | James M. Schneider | Individual | 22-Dec-2010 | 22-Dec-2010 | Issuer Reporting and Disclosure |
| SEC v. Alcatel-Lucent, S.A. | Alcatel-Lucent, S.A. | Public Company | 27-Dec-2010 | 27-Dec-2010 | Foreign Corrupt Practices Act |
| In the Matter of Hudson Highland Group, Inc. | Hudson Highland Group, Inc. | Public Company | 10-Jan-2011 | 10-Jan-2011 | Issuer Reporting and Disclosure |
| In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc; and Schwab Investments | Charles Schwab & Co., Inc. | Subsidiary of Public Company | 11-Jan-2011 | 11-Jan-2011 | Investment Advisers/Investment Companies |
| In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc; and Schwab Investments | Charles Schwab Investment Management | Subsidiary of Public Company | 11-Jan-2011 | 11-Jan-2011 | Investment Advisers/Investment Companies |
| In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc; and Schwab Investments | Schwab Investments | Other | 11-Jan-2011 | 11-Jan-2011 | Investment Advisers/Investment Companies |
| SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments | Charles Schwab & Co., Inc. | Subsidiary of Public Company | 11-Jan-2011 | 11-Jan-2011 | Securities Offering |
| SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments | Charles Schwab Investment Management | Subsidiary of Public Company | 11-Jan-2011 | 11-Jan-2011 | Securities Offering |
| SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments | Schwab Investments | Other | 11-Jan-2011 | 11-Jan-2011 | Securities Offering |
| SEC v. Kimon P. Daifotis and Randall Merk | Kimon P. Daifotis | Individual | 11-Jan-2011 | 21-Nov-2011 | Securities Offering |
| SEC v. Kimon P. Daifotis and Randall Merk | Randall Merk | Individual | 11-Jan-2011 | 21-Nov-2011 | Securities Offering |
| SEC v. NIC Inc., Jeffery S. Fraser, Harry H. Herington, and Eric J. Bur | Eric J. Bur | Individual | 12-Jan-2011 | 12-Jan-2011 | Issuer Reporting and Disclosure |
| SEC v. NIC Inc., Jeffery S. Fraser, Harry H. Herington, and Eric J. Bur | Harry H. Herington | Individual | 12-Jan-2011 | 12-Jan-2011 | Issuer Reporting and Disclosure |
| SEC v. NIC Inc., Jeffery S. Fraser, Harry H. Herington, and Eric J. Bur | Jeffery S. Fraser | Individual | 12-Jan-2011 | 12-Jan-2011 | Issuer Reporting and Disclosure |
| SEC v. NIC Inc., Jeffery S. Fraser, Harry H. Herington, and Eric J. Bur | NIC Inc. | Public Company | 12-Jan-2011 | 12-Jan-2011 | Issuer Reporting and Disclosure |
| SEC v. Stephen M. Kovzan | Stephen M. Kovzan | Individual | 12-Jan-2011 | 03-Dec-2013 | Issuer Reporting and Disclosure |
| In the Matter of BNY Mellon Securities | BNY Mellon Securities LLC
Aliases |
Subsidiary of Public Company | 14-Jan-2011 | 14-Jan-2011 | Broker Dealer |
| In the Matter of Mark Shaw | Mark Shaw | Individual | 14-Jan-2011 | 14-Jan-2011 | Broker Dealer |
| In the Matter of Eric J. Bur, CPA | Eric J. Bur | Individual | 20-Jan-2011 | 20-Jan-2011 | Issuer Reporting and Disclosure |
| SEC v. Paul W. Jennings | Paul W. Jennings | Individual | 24-Jan-2011 | 26-Jan-2011 | Foreign Corrupt Practices Act |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 25-Jan-2011 | 25-Jan-2011 | Broker Dealer |
| SEC v. Maxwell Technologies Inc. | Maxwell Technologies Inc.
Aliases |
Public Company | 31-Jan-2011 | 31-Jan-2011 | Foreign Corrupt Practices Act |
| In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA | Danielle Valkner | Individual | 02-Feb-2011 | 02-Feb-2011 | Issuer Reporting and Disclosure |
| In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA | Deerfield Capital Corp. | Public Company | 02-Feb-2011 | 02-Feb-2011 | Issuer Reporting and Disclosure |
| In the Matter of AXA Rosenberg Group LLC, AXA Rosenberg Investment Management LLC, and Barr Rosenberg Research Center LLC | AXA Rosenberg Group LLC | Subsidiary of Public Company | 03-Feb-2011 | 03-Feb-2011 | Investment Advisers/Investment Companies |
| In the Matter of AXA Rosenberg Group LLC, AXA Rosenberg Investment Management LLC, and Barr Rosenberg Research Center LLC | AXA Rosenberg Investment Management LLC | Subsidiary of Public Company | 03-Feb-2011 | 03-Feb-2011 | Investment Advisers/Investment Companies |
| In the Matter of AXA Rosenberg Group LLC, AXA Rosenberg Investment Management LLC, and Barr Rosenberg Research Center LLC | Barr Rosenberg Research Center LLC | Subsidiary of Public Company | 03-Feb-2011 | 03-Feb-2011 | Investment Advisers/Investment Companies |
| In the Matter of TD Ameritrade, Inc. | TD Ameritrade, Inc. | Subsidiary of Public Company | 03-Feb-2011 | 03-Feb-2011 | Broker Dealer |
| In the Matter of U.S. College Trust Corp. | U.S. College Trust Corp. | Other | 07-Feb-2011 | 07-Feb-2011 | Securities Offering |
| In the Matter of U.S. Pension Trust Corp. | U.S. Pension Trust Corp. | Other | 07-Feb-2011 | 07-Feb-2011 | Securities Offering |
| In the Matter of ArthroCare Corporation | ArthroCare Corporation | Public Company | 09-Feb-2011 | 09-Feb-2011 | Issuer Reporting and Disclosure |
| SEC v. Tyson Foods, Inc. | Tyson Foods, Inc. | Public Company | 10-Feb-2011 | 10-Feb-2011 | Foreign Corrupt Practices Act |
| SEC v. DHB Industries, Inc., n/k/a Point Blank Solutions, Inc. | DHB Industries, Inc. | Public Company | 28-Feb-2011 | 28-Feb-2011 | Issuer Reporting and Disclosure |
| SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman | Cary Chasin | Individual | 28-Feb-2011 | 10-Nov-2011 | Issuer Reporting and Disclosure |
| SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman | Gary Nadelman | Individual | 28-Feb-2011 | 10-Nov-2011 | Issuer Reporting and Disclosure |
| SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman | Jerome Krantz | Individual | 28-Feb-2011 | 10-Nov-2011 | Issuer Reporting and Disclosure |
| In the Matter of Sujata Sachdeva | Sujata Sachdeva | Individual | 08-Mar-2011 | 08-Mar-2011 | Other |
| SEC v. International Business Machines Corporation | International Business Machines Corporation | Public Company | 18-Mar-2011 | 18-Mar-2011 | Foreign Corrupt Practices Act |
| In the Matter of Ball Corporation | Ball Corporation | Public Company | 24-Mar-2011 | 24-Mar-2011 | Foreign Corrupt Practices Act |
| In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta | Lovelock & Lewes | Other | 05-Apr-2011 | 05-Apr-2011 | Issuer Reporting and Disclosure |
| In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta | Price Waterhouse & Co., Bangalore | Other | 05-Apr-2011 | 05-Apr-2011 | Issuer Reporting and Disclosure |
| In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta | Price Waterhouse & Co., Calcutta | Other | 05-Apr-2011 | 05-Apr-2011 | Issuer Reporting and Disclosure |
| In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta | Price Waterhouse, Bangalore | Other | 05-Apr-2011 | 05-Apr-2011 | Issuer Reporting and Disclosure |
| In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta | Price Waterhouse, Calcutta | Other | 05-Apr-2011 | 05-Apr-2011 | Issuer Reporting and Disclosure |
| In the Matter of Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) | Wells Fargo Securities LLC
Aliases |
Subsidiary of Public Company | 05-Apr-2011 | 05-Apr-2011 | Broker Dealer |
| SEC v. Satyam Computer Services Limited d/b/a Mahindra Satyam | Satyam Computer Services Limited | Public Company | 05-Apr-2011 | 05-Apr-2011 | Issuer Reporting and Disclosure |
| SEC v. Comverse Technology, Inc. | Comverse Technology, Inc. | Public Company | 07-Apr-2011 | 07-Apr-2011 | Foreign Corrupt Practices Act |
| In the Matter of Nicole Rae Kaplan, CPA | Nicole R. Kaplan | Individual | 08-Apr-2011 | 08-Apr-2011 | Issuer Reporting and Disclosure |
| In the Matter of Yatin Dilip Mody, CPA | Yatin D. Mody | Individual | 08-Apr-2011 | 08-Apr-2011 | Issuer Reporting and Disclosure |
| SEC v. Johnson & Johnson | Johnson & Johnson | Public Company | 08-Apr-2011 | 08-Apr-2011 | Foreign Corrupt Practices Act |
| In the Matter of Rockwell Automation, Inc. | Rockwell Automation, Inc. | Public Company | 03-May-2011 | 03-May-2011 | Foreign Corrupt Practices Act |
| In the Matter of Mark Zaino | Mark Zaino | Individual | 04-May-2011 | 04-May-2011 | Municipal Securities & Public Pensions |
| SEC v. UBS Financial Services Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 04-May-2011 | 04-May-2011 | Municipal Securities & Public Pensions |
| In the Matter of Michael Higgins, CPA | Michael Higgins | Individual | 11-May-2011 | 11-May-2011 | Issuer Reporting and Disclosure |
| SEC v. Michael Baker Corporation, John Scullin and Dennis Higgins | Dennis Higgins | Individual | 11-May-2011 | 11-May-2011 | Issuer Reporting and Disclosure |
| SEC v. Michael Baker Corporation, John Scullin and Dennis Higgins | John Scullin | Individual | 11-May-2011 | 11-May-2011 | Issuer Reporting and Disclosure |
| SEC v. Michael Baker Corporation, John Scullin and Dennis Higgins | Michael Baker Corporation | Public Company | 11-May-2011 | 11-May-2011 | Issuer Reporting and Disclosure |
| SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff | Mark C. Schwartzhoff | Individual | 12-May-2011 | 13-May-2011 | Issuer Reporting and Disclosure |
| SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff | Thor Industries, Inc. | Public Company | 12-May-2011 | 13-May-2011 | Issuer Reporting and Disclosure |
| In the Matter of George B. Doherty | George B. Doherty | Individual | 13-May-2011 | 13-May-2011 | Issuer Reporting and Disclosure |
| In the Matter of GSI Group, Inc. | GSI Group, Inc. | Public Company | 13-May-2011 | 13-May-2011 | Issuer Reporting and Disclosure |
| In the Matter of Peter DiSessa | Peter DiSessa | Individual | 13-May-2011 | 13-May-2011 | Issuer Reporting and Disclosure |
| Deferred Prosecution Agreement between the SEC and Tenaris, S.A. | Tenaris S.A. | Public Company | 17-May-2011 | 17-May-2011 | Foreign Corrupt Practices Act |
| In the Matter of John Scullin | John Scullin | Individual | 23-May-2011 | 23-May-2011 | Issuer Reporting and Disclosure |
| In the Matter of Mark C. Schwartzhoff | Marc C. Schwartzhoff | Individual | 07-Jun-2011 | 07-Jun-2011 | Issuer Reporting and Disclosure |
| In the Matter of the Registration Statements of China Intelligent Lighting and Electronics, Inc. c/o Corporation Service Company 2711 Centerville Road, Suite 400 Wilmington, DE 19808 | China Intelligent Lighting and Electronics, Inc. | Public Company | 10-Jun-2011 | 22-Jul-2011 | Issuer Reporting and Disclosure |
| In the Matter of the Registration Statement of China Century Dragon Media, Inc. c/o Corporation Service Company 2711 Centerville Road, Suite 400 Wilmington, DE 19808 HO-11603 | China Century Dragon Media, Inc. | Public Company | 13-Jun-2011 | 22-Jul-2011 | Issuer Reporting and Disclosure |
| SEC v. Edward S. Steffelin | Edward S. Steffelin | Individual | 21-Jun-2011 | 16-Nov-2012 | Investment Advisers/Investment Companies |
| SEC v. J.P. Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.) | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 21-Jun-2011 | 21-Jun-2011 | Securities Offering |
| SEC v. John Raffle and David Applegate, Defendants, and Kathy Raffle, Relief Defendant | David Applegate | Individual | 27-Jun-2011 | 11-Jul-2011 | Issuer Reporting and Disclosure |
| SEC v. John Raffle and David Applegate, Defendants, and Kathy Raffle, Relief Defendant | John Raffle | Individual | 27-Jun-2011 | 11-Jul-2011 | Issuer Reporting and Disclosure |
| In the Matter of Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James & Associates, Inc. | Subsidiary of Public Company | 29-Jun-2011 | 29-Jun-2011 | Broker Dealer |
| In the Matter of Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial Services, Inc. | Subsidiary of Public Company | 29-Jun-2011 | 29-Jun-2011 | Broker Dealer |
| In the Matter of Labarge, Inc. | LaBarge, Inc. | Public Company | 30-Jun-2011 | 30-Jun-2011 | Issuer Reporting and Disclosure |
| In the Matter of James L. Hertz | James L. Hertz | Individual | 07-Jul-2011 | 07-Jul-2011 | Municipal Securities & Public Pensions |
| SEC v. J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 07-Jul-2011 | 07-Jul-2011 | Municipal Securities & Public Pensions |
| SEC v. Armor Holdings, Inc. | Armor Holdings, Inc. | Public Company | 13-Jul-2011 | 13-Jul-2011 | Foreign Corrupt Practices Act |
| In the Matter of Diageo plc | Diageo plc | Public Company | 27-Jul-2011 | 27-Jul-2011 | Foreign Corrupt Practices Act |
| SEC v. Stifel, Nicolaus & Co., Inc. and David W. Noack | David W. Noack | Individual | 10-Aug-2011 | 06-Dec-2016 | Municipal Securities & Public Pensions |
| SEC v. Stifel, Nicolaus & Co., Inc. and David W. Noack | Stifel, Nicolaus & Company, Inc.
Aliases |
Subsidiary of Public Company | 10-Aug-2011 | 06-Dec-2016 | Municipal Securities & Public Pensions |
| In the Matter of GSCP (NJ), L.P. | GSCP (NJ), L.P. | Other | 25-Aug-2011 | 25-Aug-2011 | Investment Advisers/Investment Companies |
| In the Matter of Sequenom, Inc. | Sequenom, Inc. | Public Company | 01-Sep-2011 | 01-Sep-2011 | Issuer Reporting and Disclosure |
| In the Matter of RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.) | RBC Capital Markets, LLC
Aliases |
Subsidiary of Public Company | 27-Sep-2011 | 27-Sep-2011 | Municipal Securities & Public Pensions |
| In the Matter of Hansen Medical, Inc. | Hansen Medical, Inc. | Public Company | 06-Oct-2011 | 06-Oct-2011 | Issuer Reporting and Disclosure |
| SEC v. Christopher Sells and Timothy Murawski | Christopher Sells | Individual | 06-Oct-2011 | 06-Nov-2013 | Issuer Reporting and Disclosure |
| SEC v. Christopher Sells and Timothy Murawski | Timothy Murawski | Individual | 06-Oct-2011 | 06-Nov-2013 | Issuer Reporting and Disclosure |
| In the Matter of Watts Water Technologies, Inc. and Leesen Chang | Leesen Chang | Individual | 13-Oct-2011 | 13-Oct-2011 | Foreign Corrupt Practices Act |
| In the Matter of Watts Water Technologies, Inc. and Leesen Chang | Watts Water Technologies, Inc. | Public Company | 13-Oct-2011 | 13-Oct-2011 | Foreign Corrupt Practices Act |
| In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt | Credit Suisse Alternative Capital, LLC | Subsidiary of Public Company | 19-Oct-2011 | 19-Oct-2011 | Investment Advisers/Investment Companies |
| In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt | Credit Suisse Asset Management, LLC
Aliases |
Subsidiary of Public Company | 19-Oct-2011 | 19-Oct-2011 | Investment Advisers/Investment Companies |
| In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt | Samir H. Bhatt | Individual | 19-Oct-2011 | 19-Oct-2011 | Investment Advisers/Investment Companies |
| SEC v. Brian H. Stoker | Brian Stoker | Individual | 19-Oct-2011 | 06-Aug-2012 | Securities Offering |
| SEC v. Citigroup Global Markets Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 19-Oct-2011 | 19-Oct-2011 | Securities Offering |
| SEC v. Koss Corporation and Michael J. Koss | Koss Corporation | Public Company | 24-Oct-2011 | 24-Oct-2011 | Issuer Reporting and Disclosure |
| SEC v. Koss Corporation and Michael J. Koss | Michael J. Koss | Individual | 24-Oct-2011 | 24-Oct-2011 | Issuer Reporting and Disclosure |
| In the Matter of UBS Securities LLC | UBS Securities LLC | Subsidiary of Public Company | 10-Nov-2011 | 10-Nov-2011 | Market Manipulation |
| In the Matter of Morgan Stanley Investment Management Inc. | Morgan Stanley Investment Management Inc. | Subsidiary of Public Company | 16-Nov-2011 | 16-Nov-2011 | Investment Advisers/Investment Companies |
| In the Matter of FTN Financial Securities Corp. | FTN Financial Securities Corp. | Subsidiary of Public Company | 17-Nov-2011 | 17-Nov-2011 | Investment Advisers/Investment Companies |
| In the Matter of Fifth Third Bancorp | Fifth Third Bancorp | Public Company | 22-Nov-2011 | 22-Nov-2011 | Issuer Reporting and Disclosure |
| In the Matter Randall Merk | Randall Merk | Individual | 28-Nov-2011 | 28-Nov-2011 | Investment Advisers/Investment Companies |
| In the Matter of Dean Zenon Pinard | Dean Zenon Pinard | Individual | 08-Dec-2011 | 08-Dec-2011 | Municipal Securities & Public Pensions |
| SEC v. Wachovia Bank, N.A. now known as Wells Fargo Bank, N.A., successor by merger | Wachovia Bank, N.A. | Subsidiary of Public Company | 08-Dec-2011 | 08-Dec-2011 | Municipal Securities & Public Pensions |
| SEC v. Stiefel Laboratories Inc. and Charles W. Stiefel | Charles W. Stiefel | Individual | 12-Dec-2011 | 04-Jun-2020 | Issuer Reporting and Disclosure |
| SEC v. Stiefel Laboratories Inc. and Charles W. Stiefel | Stiefel Laboratories Inc. | Subsidiary of Public Company | 12-Dec-2011 | 04-Jun-2020 | Issuer Reporting and Disclosure |
| SEC v. Stephen M. Folan | Stephen M. Folan | Individual | 15-Dec-2011 | 16-Dec-2011 | Investment Advisers/Investment Companies |
| Non-Prosecution Agreement with Federal Home Loan Mortgage Corporation | Federal Home Loan Mortgage Corporation | Public Company | 16-Dec-2011 | 16-Dec-2011 | Issuer Reporting and Disclosure |
| Non-Prosecution Agreement with Federal National Mortgage Association | Federal National Mortgage Association | Public Company | 16-Dec-2011 | 16-Dec-2011 | Issuer Reporting and Disclosure |
| SEC v. Daniel H. Mudd, Enrico Dallavecchia, and Thomas A. Lund | Daniel H. Mudd | Individual | 16-Dec-2011 | 21-Sep-2015 | Issuer Reporting and Disclosure |
| SEC v. Daniel H. Mudd, Enrico Dallavecchia, and Thomas A. Lund | Enrico Dallavecchia | Individual | 16-Dec-2011 | 21-Sep-2015 | Issuer Reporting and Disclosure |
| SEC v. Daniel H. Mudd, Enrico Dallavecchia, and Thomas A. Lund | Thomas A. Lund | Individual | 16-Dec-2011 | 21-Sep-2015 | Issuer Reporting and Disclosure |
| SEC v. Richard F. Syron, Patricia L. Cook, and Donald J. Bisenius | Donald J. Bisenius | Individual | 16-Dec-2011 | 14-Apr-2015 | Issuer Reporting and Disclosure |
| SEC v. Richard F. Syron, Patricia L. Cook, and Donald J. Bisenius | Patricia L. Cook | Individual | 16-Dec-2011 | 14-Apr-2015 | Issuer Reporting and Disclosure |
| SEC v. Richard F. Syron, Patricia L. Cook, and Donald J. Bisenius | Richard F. Syron | Individual | 16-Dec-2011 | 14-Apr-2015 | Issuer Reporting and Disclosure |
| SEC v. Aon Corporation | Aon Corporation | Public Company | 20-Dec-2011 | 20-Dec-2011 | Foreign Corrupt Practices Act |
| SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. | Heart Tronics, Inc. | Public Company | 20-Dec-2011 | 09-Aug-2012 | Issuer Reporting and Disclosure |
| SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. | J. Rowland Perkins | Individual | 20-Dec-2011 | 09-Aug-2012 | Issuer Reporting and Disclosure |
| SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. | Mark Nevdahl | Individual | 20-Dec-2011 | 09-Aug-2012 | Issuer Reporting and Disclosure |
| SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. | Martin Bert Carter | Individual | 20-Dec-2011 | 09-Aug-2012 | Issuer Reporting and Disclosure |
| SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. | Mitchell J. Stein | Individual | 20-Dec-2011 | 09-Aug-2012 | Issuer Reporting and Disclosure |
| SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. | Ryan Allan Rauch | Individual | 20-Dec-2011 | 09-Aug-2012 | Issuer Reporting and Disclosure |
| SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. | Willie Gault | Individual | 20-Dec-2011 | 09-Aug-2012 | Issuer Reporting and Disclosure |
| SEC v. GE Funding Capital Market Services, Inc. | GE Funding Capital Market Services, Inc. | Subsidiary of Public Company | 23-Dec-2011 | 23-Dec-2011 | Municipal Securities & Public Pensions |
| SEC v. Elek Straub, Andras Balogh, and Tamas Morval | Andras Balogh | Individual | 29-Dec-2011 | 08-Feb-2017 | Foreign Corrupt Practices Act |
| SEC v. Elek Straub, Andras Balogh, and Tamas Morval | Elek Straub | Individual | 29-Dec-2011 | 08-Feb-2017 | Foreign Corrupt Practices Act |
| SEC v. Elek Straub, Andras Balogh, and Tamas Morval | Tamas Morval | Individual | 29-Dec-2011 | 08-Feb-2017 | Foreign Corrupt Practices Act |
| SEC v. Magyar Telekom Plc. and Deutsche Telekom AG | Deutsche Telekom, AG | Public Company | 29-Dec-2011 | 29-Dec-2011 | Foreign Corrupt Practices Act |
| SEC v. Magyar Telekom Plc. and Deutsche Telekom AG | Magyar Telekom, PLC | Public Company | 29-Dec-2011 | 29-Dec-2011 | Foreign Corrupt Practices Act |
| SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin | Brian D. Pardo | Individual | 03-Jan-2012 | 19-Jan-2014 | Issuer Reporting and Disclosure |
| SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin | David M. Martin | Individual | 03-Jan-2012 | 19-Jan-2014 | Issuer Reporting and Disclosure |
| SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin | Life Partners Holdings, Inc. | Public Company | 03-Jan-2012 | 19-Jan-2014 | Issuer Reporting and Disclosure |
| SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin | R. Scott Peden | Individual | 03-Jan-2012 | 19-Jan-2014 | Issuer Reporting and Disclosure |
| In the Matter of Stephen M. Folan | Stephen M. Folan | Individual | 10-Jan-2012 | 10-Jan-2012 | Broker Dealer |
| In the Matter of Lisa B. Premo | Lisa B. Premo | Individual | 17-Jan-2012 | 26-Dec-2012 | Investment Advisers/Investment Companies |
| In the Matter of UBS Global Asset Management (Americas) Inc. | UBS Global Asset Management (Americas) Inc. | Subsidiary of Public Company | 17-Jan-2012 | 17-Jan-2012 | Investment Advisers/Investment Companies |
| SEC v. BankAtlantic Bancorp, Inc. and Alan B. Levan | Alan B. Levan | Individual | 18-Jan-2012 | 24-Sep-2015 | Issuer Reporting and Disclosure |
| SEC v. BankAtlantic Bancorp, Inc. and Alan B. Levan | BankAtlantic Bancorp, Inc.
Aliases |
Public Company | 18-Jan-2012 | 24-Sep-2015 | Issuer Reporting and Disclosure |
| In the Matter of AXA Advisors, LLC | AXA Advisors, LLC | Subsidiary of Public Company | 20-Jan-2012 | 20-Jan-2012 | Broker Dealer |
| In the Matter of Leo T. Buggy | Leo T. Buggy | Individual | 20-Jan-2012 | 20-Jan-2012 | Broker Dealer |
| In the Matter of Christopher J. Kelly, ACA and Margaret Hebb, ACA | Christopher J. Kelly, ACA | Individual | 30-Jan-2012 | 30-Jan-2012 | Issuer Reporting and Disclosure |
| In the Matter of Christopher J. Kelly, ACA and Margaret Hebb, ACA | Margaret Hebb, ACA | Individual | 30-Jan-2012 | 30-Jan-2012 | Issuer Reporting and Disclosure |
| In the Matter of Symmetry Medical Inc. and Fred L. Hite | Fred L. Hite | Individual | 30-Jan-2012 | 30-Jan-2012 | Issuer Reporting and Disclosure |
| In the Matter of Symmetry Medical Inc. and Fred L. Hite | Symmetry Medical, Inc. | Public Company | 30-Jan-2012 | 30-Jan-2012 | Issuer Reporting and Disclosure |
| SEC v. Brian S. Moore | Brian S. Moore | Individual | 30-Jan-2012 | 01-Feb-2012 | Issuer Reporting and Disclosure |
| SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley | Lynne Norman | Individual | 30-Jan-2012 | 01-Feb-2012 | Issuer Reporting and Disclosure |
| SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley | Matthew Bell | Individual | 30-Jan-2012 | 01-Feb-2012 | Issuer Reporting and Disclosure |
| SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley | Richard J. Senior | Individual | 30-Jan-2012 | 01-Feb-2012 | Issuer Reporting and Disclosure |
| SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley | Shaun P. Whiteley | Individual | 30-Jan-2012 | 01-Feb-2012 | Issuer Reporting and Disclosure |
| SEC v. Smith & Nephew PLC | Smith & Nephew PLC | Public Company | 06-Feb-2012 | 06-Feb-2012 | Foreign Corrupt Practices Act |
| In the Matter of Lynne Norman | Lynne Norman | Individual | 07-Feb-2012 | 07-Feb-2012 | Issuer Reporting and Disclosure |
| In the Matter of Matthew Bell, ACA | Matthew Bell | Individual | 07-Feb-2012 | 07-Feb-2012 | Issuer Reporting and Disclosure |
| In the Matter of Shaun P. Whiteley | Shaun P. Whiteley | Individual | 07-Feb-2012 | 07-Feb-2012 | Issuer Reporting and Disclosure |
| SEC v. Mark A. Jackson and James J. Ruehlen | James J. Ruehlen | Individual | 24-Feb-2012 | 03-Jul-2014 | Foreign Corrupt Practices Act |
| SEC v. Mark A. Jackson and James J. Ruehlen | Mark A. Jackson | Individual | 24-Feb-2012 | 03-Jul-2014 | Foreign Corrupt Practices Act |
| SEC v. Thomas F. O'Rourke | Thomas F. O'Rourke | Individual | 24-Feb-2012 | 28-Mar-2012 | Foreign Corrupt Practices Act |
| SEC v. Biomet, Inc. | Biomet Inc.
Aliases |
Public Company | 26-Mar-2012 | 26-Mar-2012 | Foreign Corrupt Practices Act |
| SEC v. Michael A. Baker and Michael T. Gluk | Michael A. Baker | Individual | 02-Apr-2012 | 29-Jun-2018 | Issuer Reporting and Disclosure |
| SEC v. Michael A. Baker and Michael T. Gluk | Michael T. Gluk | Individual | 02-Apr-2012 | 29-Jun-2018 | Issuer Reporting and Disclosure |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Ai Xi Ji | Individual | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | AutoChina International Limited | Public Company | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Hui Kai Yan | Individual | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Li Xin Ma | Individual | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Rainbow Yield Limited | Other | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Rui Ge Dong | Individual | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Shu Ling Li | Individual | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Victory First Limited | Other | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Ye Wang | Individual | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Yong Li Li | Individual | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Yong Qi Li | Individual | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li | Zhong Wen Zhang | Individual | 11-Apr-2012 | 25-Jun-2014 | Market Manipulation |
| In the Matter of Goldman, Sachs & Co. | Goldman, Sachs & Co. | Subsidiary of Public Company | 12-Apr-2012 | 12-Apr-2012 | Broker Dealer |
| In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman | Jonathan I. Feldman | Individual | 16-Apr-2012 | 07-Jun-2013 | Broker Dealer |
| In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman | optionsXpress, Inc. | Subsidiary of Public Company | 16-Apr-2012 | 07-Jun-2013 | Broker Dealer |
| In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman | Thomas E. Stern | Individual | 16-Apr-2012 | 07-Jun-2013 | Broker Dealer |
| In the Matter of Peter J. Bottini, Phillip J. Hoeh, and Kevin E. Strine | Kevin E. Strine | Individual | 16-Apr-2012 | 16-Apr-2012 | Broker Dealer |
| In the Matter of Peter J. Bottini, Phillip J. Hoeh, and Kevin E. Strine | Peter J. Bottini | Individual | 16-Apr-2012 | 16-Apr-2012 | Broker Dealer |
| In the Matter of Peter J. Bottini, Phillip J. Hoeh, and Kevin E. Strine | Phillip J. Hoeh | Individual | 16-Apr-2012 | 16-Apr-2012 | Broker Dealer |
| In the Matter of Ox Trading, LLC, optionsXpress, Inc. and Thomas E. Stern | optionsXpress, Inc. | Subsidiary of Public Company | 19-Apr-2012 | 22-Oct-2013 | Broker Dealer |
| In the Matter of Ox Trading, LLC, optionsXpress, Inc. and Thomas E. Stern | OX Trading, LLC | Subsidiary of Public Company | 19-Apr-2012 | 22-Oct-2013 | Broker Dealer |
| In the Matter of Ox Trading, LLC, optionsXpress, Inc. and Thomas E. Stern | Thomas E. Stern | Individual | 19-Apr-2012 | 22-Oct-2013 | Broker Dealer |
| SEC v. SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang | Boxun Zhang | Individual | 23-Apr-2012 | 21-Dec-2012 | Issuer Reporting and Disclosure |
| SEC v. SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang | Guoqiang Xin | Individual | 23-Apr-2012 | 21-Dec-2012 | Issuer Reporting and Disclosure |
| SEC v. SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang | Qingzeng Liu | Individual | 23-Apr-2012 | 21-Dec-2012 | Issuer Reporting and Disclosure |
| SEC v. SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang | Sinotech Energy Limited | Public Company | 23-Apr-2012 | 21-Dec-2012 | Issuer Reporting and Disclosure |
| SEC v. Option One Mortgage Corporation n/k/a Sand Canyon Corporation | Option One Mortgage Corporation
Aliases |
Subsidiary of Public Company | 24-Apr-2012 | 24-Apr-2012 | Securities Offering |
| In the Matter of Miguel A. Ferrer, and Carlos J. Ortiz | Carlos J. Ortiz | Individual | 01-May-2012 | 29-Oct-2013 | Broker Dealer |
| In the Matter of Miguel A. Ferrer, and Carlos J. Ortiz | Miguel A. Ferrer | Individual | 01-May-2012 | 29-Oct-2013 | Broker Dealer |
| In the Matter of UBS Financial Services Inc. of Puerto Rico | UBS Financial Services Inc. of Puerto Rico | Subsidiary of Public Company | 01-May-2012 | 01-May-2012 | Broker Dealer |
| SEC v. China Natural Gas, Inc. and Qinan Ji | China Natural Gas, Inc. | Public Company | 14-May-2012 | 05-Jun-2013 | Issuer Reporting and Disclosure |
| SEC v. China Natural Gas, Inc. and Qinan Ji | Qinan Ji | Individual | 14-May-2012 | 05-Jun-2013 | Issuer Reporting and Disclosure |
| In the Matter of Edward J. Marino | Edward J. Marino | Individual | 15-May-2012 | 15-May-2012 | Issuer Reporting and Disclosure |
| SEC v. George G. Levin and Frank J. Preve | Frank J. Preve | Individual | 22-May-2012 | 06-Oct-2014 | Securities Offering |
| SEC v. George G. Levin and Frank J. Preve | George G. Levin | Individual | 22-May-2012 | 06-Oct-2014 | Securities Offering |
| SEC v. AMMB Consultant Sendirian Berhad | AMMB Consultant Sendirian Berhad | Other | 26-Jun-2012 | 13-Jul-2012 | Investment Advisers/Investment Companies |
| SEC v. FalconStor Software, Inc. | FalconStor Software, Inc. | Public Company | 27-Jun-2012 | 27-Jun-2012 | Issuer Reporting and Disclosure |
| SEC v. Orthofix International N.V. | Orthofix International N.V. | Public Company | 10-Jul-2012 | 10-Jul-2012 | Foreign Corrupt Practices Act |
| In the Matter of Alexander V. Rekeda | Alexander V. Rekeda | Individual | 18-Jul-2012 | 18-Jul-2012 | Securities Offering |
| In the Matter of Delaware Asset Advisers and Wei (Alex) Wei | Delaware Asset Advisers | Other | 18-Jul-2012 | 18-Jul-2012 | Investment Advisers/Investment Companies |
| In the Matter of Delaware Asset Advisers and Wei (Alex) Wei | Wei (Alex) Wei | Individual | 18-Jul-2012 | 18-Jul-2012 | Investment Advisers/Investment Companies |
| In the Matter of Kimon P. Daifotis | Kimon P. Daifotis | Individual | 18-Jul-2012 | 18-Jul-2012 | Investment Advisers/Investment Companies |
| In the Matter of Xavier Capdepon and Gwen Snorteland | Gwen Snorteland | Individual | 18-Jul-2012 | 18-Jul-2012 | Securities Offering |
| In the Matter of Xavier Capdepon and Gwen Snorteland | Xavier Capdepon | Individual | 18-Jul-2012 | 18-Jul-2012 | Securities Offering |
| SEC v. Mizuho Securities USA Inc. | Mizuho Securities USA Inc. | Subsidiary of Public Company | 18-Jul-2012 | 18-Jul-2012 | Securities Offering |
| In the Matter of Huron Consulting Gary L. Burge, CPA and Wayne E. Lipski, CPA | Gary L. Burge | Individual | 19-Jul-2012 | 19-Jul-2012 | Issuer Reporting and Disclosure |
| In the Matter of Huron Consulting Gary L. Burge, CPA and Wayne E. Lipski, CPA | Huron Consulting Group Inc.
Aliases |
Public Company | 19-Jul-2012 | 19-Jul-2012 | Issuer Reporting and Disclosure |
| In the Matter of Huron Consulting Gary L. Burge, CPA and Wayne E. Lipski, CPA | Wayne E. Lipski | Individual | 19-Jul-2012 | 19-Jul-2012 | Issuer Reporting and Disclosure |
| SEC v. Pfizer Inc. | Pfizer Inc. | Public Company | 07-Aug-2012 | 07-Aug-2012 | Foreign Corrupt Practices Act |
| SEC v. Wyeth LLC | Wyeth LLC | Subsidiary of Public Company | 07-Aug-2012 | 07-Aug-2012 | Foreign Corrupt Practices Act |
| In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurty | Shawn Patrick McMurtry | Individual | 14-Aug-2012 | 14-Aug-2012 | Municipal Securities & Public Pensions |
| In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurty | Wells Fargo Securities LLC
Aliases |
Subsidiary of Public Company | 14-Aug-2012 | 14-Aug-2012 | Municipal Securities & Public Pensions |
| SEC v. Oracle Corp. | Oracle Corporation | Public Company | 16-Aug-2012 | 16-Aug-2012 | Foreign Corrupt Practices Act |
| SEC v. China Sky One Medical, Inc. and Yan-qing Liu | China Sky One Medical, Inc. | Public Company | 04-Sep-2012 | 03-Mar-2015 | Issuer Reporting and Disclosure |
| SEC v. China Sky One Medical, Inc. and Yan-qing Liu | Yan-Qing Lu | Individual | 04-Sep-2012 | 03-Mar-2015 | Issuer Reporting and Disclosure |
| In the Matter of New York Stock Exchange, LLC, and NYSE Euronext | New York Stock Exchange LLC | Subsidiary of Public Company | 14-Sep-2012 | 14-Sep-2012 | Other |
| In the Matter of New York Stock Exchange, LLC, and NYSE Euronext | NYSE Euronext | Public Company | 14-Sep-2012 | 14-Sep-2012 | Other |
| SEC v. Waldyr Da Silva Prado Neto | Waldyr Da Silva Prado Neto | Individual | 20-Sep-2012 | 07-Jan-2014 | Insider Trading |
| SEC v. Tyco International Ltd | Tyco International Ltd | Public Company | 24-Sep-2012 | 24-Sep-2012 | Foreign Corrupt Practices Act |
| In the Matter of Goldman, Sachs & Co. | Goldman, Sachs & Co. | Subsidiary of Public Company | 27-Sep-2012 | 27-Sep-2012 | Municipal Securities & Public Pensions |
| In the Matter of Neil M.M. Morrison | Neil M.M. Morrison | Individual | 27-Sep-2012 | 23-May-2013 | Municipal Securities & Public Pensions |
| In the Matter of Rajnish K. Das | Rajnish K. Das | Individual | 24-Oct-2012 | 24-Oct-2012 | Issuer Reporting and Disclosure |
| In the Matter of Stormy L. Dean | Stormy L. Dean | Individual | 24-Oct-2012 | 24-Oct-2012 | Issuer Reporting and Disclosure |
| SEC v. BP p.l.c. | BP p.l.c. | Public Company | 15-Nov-2012 | 15-Nov-2012 | Issuer Reporting and Disclosure |
| In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation | Asset Backed Securities Corporation | Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation | Credit Suisse First Boston Mortgage Acceptance Corp.
Aliases |
Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation | Credit Suisse First Boston Mortgage Securities Corp. | Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation | Credit Suisse Securities (USA) LLC | Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation | DLJ Mortgage Capital, Inc. | Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I | Bear Stearns Asset Backed Securities I, LLC | Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I | EMC Mortgage, LLC | Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I | J.P. Morgan Acceptance Corporation I | Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I | SACO I, Inc. | Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I | Structured Asset Mortgage Investments II, Inc. | Subsidiary of Public Company | 16-Nov-2012 | 16-Nov-2012 | Securities Offering |
| In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless | Dayl W. Pearson | Individual | 28-Nov-2012 | 28-Nov-2012 | Issuer Reporting and Disclosure |
| In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless | KCAP Financial, Inc. | Public Company | 28-Nov-2012 | 28-Nov-2012 | Issuer Reporting and Disclosure |
| In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless | Michael I. Wirth | Individual | 28-Nov-2012 | 28-Nov-2012 | Issuer Reporting and Disclosure |
| In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless | R. Jonathan Corless | Individual | 28-Nov-2012 | 28-Nov-2012 | Issuer Reporting and Disclosure |
| SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants | Chao Jiang
Aliases |
Individual | 29-Nov-2012 | 13-Jul-2015 | Issuer Reporting and Disclosure |
| SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants | China Northeast Petroleum Holdings Limited | Public Company | 29-Nov-2012 | 13-Jul-2015 | Issuer Reporting and Disclosure |
| SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants | Guizhi Ju
Aliases |
Individual | 29-Nov-2012 | 13-Jul-2015 | Issuer Reporting and Disclosure |
| SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants | Hongjun Wang
Aliases |
Individual | 29-Nov-2012 | 13-Jul-2015 | Issuer Reporting and Disclosure |
| SEC v. Igor Cornelsen and Bainbridge Group Inc. | Bainbridge Group Inc. | Other | 30-Nov-2012 | 11-Dec-2012 | Insider Trading |
| SEC v. Igor Cornelsen and Bainbridge Group Inc. | Igor Cornelsen | Individual | 30-Nov-2012 | 11-Dec-2012 | Insider Trading |
| In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III | Albert C. Johnson | Individual | 10-Dec-2012 | 13-Jun-2013 | Investment Advisers/Investment Companies |
| In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III | Allen B. Morgan Jr. | Individual | 10-Dec-2012 | 13-Jun-2013 | Investment Advisers/Investment Companies |
| In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III | Archie W. Willis III | Individual | 10-Dec-2012 | 13-Jun-2013 | Investment Advisers/Investment Companies |
| In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III | J. Kenneth Alderman | Individual | 10-Dec-2012 | 13-Jun-2013 | Investment Advisers/Investment Companies |
| In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III | Jack R. Blair | Individual | 10-Dec-2012 | 13-Jun-2013 | Investment Advisers/Investment Companies |
| In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III | James Stillman R. McFadden | Individual | 10-Dec-2012 | 13-Jun-2013 | Investment Advisers/Investment Companies |
| In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III | Mary S. Stone | Individual | 10-Dec-2012 | 13-Jun-2013 | Investment Advisers/Investment Companies |
| In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III | W. Randall Pittman | Individual | 10-Dec-2012 | 13-Jun-2013 | Investment Advisers/Investment Companies |
| In the Matter of Allianz SE | Allianz SE | Public Company | 17-Dec-2012 | 17-Dec-2012 | Foreign Corrupt Practices Act |
| In the Matter of J. Brian Laib, CPA | J. Brian Laib | Individual | 17-Dec-2012 | 17-Dec-2012 | Issuer Reporting and Disclosure |
| SEC v. Eric Ashman | Eric Ashman | Individual | 18-Dec-2012 | 21-Dec-2012 | Issuer Reporting and Disclosure |
| SEC v. Gregg Alwine and David Barnett | David Barnett | Individual | 18-Dec-2012 | 21-Dec-2012 | Issuer Reporting and Disclosure |
| SEC v. Gregg Alwine and David Barnett | Gregg Alwine | Individual | 18-Dec-2012 | 21-Dec-2012 | Issuer Reporting and Disclosure |
| SEC v. TheStreet, Inc. | TheStreet, Inc. | Public Company | 18-Dec-2012 | 18-Dec-2012 | Issuer Reporting and Disclosure |
| In the Matter of The New America High Income Fund, Inc.; Robert F. Birch; and Ellen E. Terry | Ellen E. Terry | Individual | 20-Dec-2012 | 20-Dec-2012 | Investment Advisers/Investment Companies |
| In the Matter of The New America High Income Fund, Inc.; Robert F. Birch; and Ellen E. Terry | Robert F. Birch | Individual | 20-Dec-2012 | 20-Dec-2012 | Investment Advisers/Investment Companies |
| In the Matter of The New America High Income Fund, Inc.; Robert F. Birch; and Ellen E. Terry | The New America High Income Fund, Inc. | Public Company | 20-Dec-2012 | 20-Dec-2012 | Investment Advisers/Investment Companies |
| SEC v. Eli Lilly and Company | Eli Lilly and Company
Aliases |
Public Company | 20-Dec-2012 | 20-Dec-2012 | Foreign Corrupt Practices Act |
| SEC v. Jack J. Egan, Jr., C.P.A. | Jack J. Egan, Jr. | Individual | 10-Jan-2013 | 18-Jul-2014 | Issuer Reporting and Disclosure |
| SEC v. Volt Information Sciences, Inc. and Debra L. Hobbs | Debra L. Hobbs | Individual | 10-Jan-2013 | 11-Jan-2013 | Issuer Reporting and Disclosure |
| SEC v. Volt Information Sciences, Inc. and Debra L. Hobbs | Volt Information Sciences, Inc. | Public Company | 10-Jan-2013 | 11-Jan-2013 | Issuer Reporting and Disclosure |
| In the Matter of Eric Ashman, CPA | Eric Ashman | Individual | 11-Jan-2013 | 11-Jan-2013 | Issuer Reporting and Disclosure |
| SEC v. Jesse C. Litvak | Jesse C. Litvak | Individual | 28-Jan-2013 | 07-Nov-2014 | Broker Dealer |
| SEC v. Keyuan Petrochemicals, Inc. and Aichun Li | Aichun Li | Individual | 28-Feb-2013 | 28-Feb-2013 | Issuer Reporting and Disclosure |
| SEC v. Keyuan Petrochemicals, Inc. and Aichun Li | Keyuan Petrochemicals, Inc. | Public Company | 28-Feb-2013 | 28-Feb-2013 | Issuer Reporting and Disclosure |
| In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Alternative Investment Management, LLC | Subsidiary of Public Company | 11-Mar-2013 | 11-Mar-2013 | Investment Advisers/Investment Companies |
| In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Asset Management Inc. | Subsidiary of Public Company | 11-Mar-2013 | 11-Mar-2013 | Investment Advisers/Investment Companies |
| In the Matter of Koninklijke Philips Electronics N.V. | Koninklijke Philips N.V.
Aliases |
Public Company | 05-Apr-2013 | 05-Apr-2013 | Foreign Corrupt Practices Act |
| SEC v. David Miller | David Miller | Individual | 15-Apr-2013 | 19-Apr-2013 | Broker Dealer |
| SEC v. Parker Drilling Company | Parker Drilling Company | Public Company | 16-Apr-2013 | 16-Apr-2013 | Foreign Corrupt Practices Act |
| SEC v. Gibraltar Global Securities, Inc., and Warren A. Davis | Gibraltar Global Securities, Inc. | Other | 18-Apr-2013 | 02-Jul-2015 | Broker Dealer |
| SEC v. Gibraltar Global Securities, Inc., and Warren A. Davis | Warren A. Davis | Individual | 18-Apr-2013 | 02-Jul-2015 | Broker Dealer |
| Non-Prosecution Agreement With Ralph Lauren Corporation | Ralph Lauren Corp. | Public Company | 22-Apr-2013 | 22-Apr-2013 | Foreign Corrupt Practices Act |
| In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa | Capital One Financial Corporation | Public Company | 24-Apr-2013 | 24-Apr-2013 | Issuer Reporting and Disclosure |
| In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa | David A. LaGassa | Individual | 24-Apr-2013 | 24-Apr-2013 | Issuer Reporting and Disclosure |
| In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa | Peter A. Schnall | Individual | 24-Apr-2013 | 24-Apr-2013 | Issuer Reporting and Disclosure |
| In the Matter of David Miller | David Miller | Individual | 25-Apr-2013 | Broker Dealer | |
| SEC v. Subaye, Inc. and James T. Crane | James T. Crane | Individual | 08-May-2013 | 08-May-2013 | Issuer Reporting and Disclosure |
| SEC v. Subaye, Inc. and James T. Crane | Subaye, Inc. | Public Company | 08-May-2013 | 08-May-2013 | Issuer Reporting and Disclosure |
| SEC v. Rino International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu | Dejun "David" Zou | Individual | 15-May-2013 | 15-May-2013 | Issuer Reporting and Disclosure |
| SEC v. Rino International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu | Jianping "Amy" Qiu | Individual | 15-May-2013 | 15-May-2013 | Issuer Reporting and Disclosure |
| SEC v. Rino International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu | RINO International Corporation | Public Company | 15-May-2013 | 15-May-2013 | Issuer Reporting and Disclosure |
| In the Matter of Institutional Shareholder Services Inc. | Institutional Shareholder Services, Inc.
Aliases |
Subsidiary of Public Company | 23-May-2013 | 23-May-2013 | Investment Advisers/Investment Companies |
| In the Matter of The NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC | NASDAQ Execution Services, LLC | Subsidiary of Public Company | 29-May-2013 | 29-May-2013 | Securities Offering |
| In the Matter of The NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC | The NASDAQ Stock Market, LLC | Subsidiary of Public Company | 29-May-2013 | 29-May-2013 | Securities Offering |
| In the Matter of Total, S.A. | Total, S.A. | Public Company | 29-May-2013 | 29-May-2013 | Foreign Corrupt Practices Act |
| In the Matter of UBS O'Connor, LLC | UBS O'Connor, LLC | Subsidiary of Public Company | 03-Jun-2013 | 03-Jun-2013 | Market Manipulation |
| SEC v. PACCAR Inc and PACCAR Financial Corp. | PACCAR
Aliases |
Public Company | 03-Jun-2013 | 03-Jun-2013 | Issuer Reporting and Disclosure |
| SEC v. PACCAR Inc and PACCAR Financial Corp. | PACCAR Financial Corp. | Subsidiary of Public Company | 03-Jun-2013 | 03-Jun-2013 | Issuer Reporting and Disclosure |
| In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated | C2 Options Exchange, Incorporated | Subsidiary of Public Company | 11-Jun-2013 | 11-Jun-2013 | Securities Offering |
| In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated | Chicago Board Options Exchange, Incorporated | Subsidiary of Public Company | 11-Jun-2013 | 11-Jun-2013 | Securities Offering |
| In the Matter of Revlon, Inc. | Revlon, Inc. | Public Company | 13-Jun-2013 | 13-Jun-2013 | Securities Offering |
| SEC v. China MediaExpress Holdings, Inc. and Zheng Cheng | China MediaExpress Holdings, Inc. | Public Company | 20-Jun-2013 | 04-Oct-2013 | Issuer Reporting and Disclosure |
| SEC v. China MediaExpress Holdings, Inc. and Zheng Cheng | Zheng Cheng | Individual | 20-Jun-2013 | 04-Oct-2013 | Issuer Reporting and Disclosure |
| SEC v. Fuqi International, inc. and Yu Kwai Chong | Fuqi International, Inc. | Public Company | 01-Jul-2013 | 01-Jul-2013 | Issuer Reporting and Disclosure |
| SEC v. Fuqi International, inc. and Yu Kwai Chong | Yu Kwai Chong | Individual | 01-Jul-2013 | 01-Jul-2013 | Issuer Reporting and Disclosure |
| SEC v. Mack D. Murrell, David A. Teekell, and Charles W. Adams, Raymond James Financial Services, Inc. | Charles W. Adams | Individual | 01-Jul-2013 | 19-Jul-2013 | Insider Trading |
| SEC v. Mack D. Murrell, David A. Teekell, and Charles W. Adams, Raymond James Financial Services, Inc. | David A. Teekell | Individual | 01-Jul-2013 | 19-Jul-2013 | Insider Trading |
| SEC v. Mack D. Murrell, David A. Teekell, and Charles W. Adams, Raymond James Financial Services, Inc. | Mack D. Murrell | Individual | 01-Jul-2013 | 19-Jul-2013 | Insider Trading |
| In the Matter of Aichun Li, CPA | Aichun Li | Individual | 08-Jul-2013 | 08-Jul-2013 | Issuer Reporting and Disclosure |
| SEC v. China Intelligent Lighting and Electronics, Inc. et al. | China Intelligent Lighting and Electronics, Inc. | Public Company | 22-Jul-2013 | 10-Mar-2014 | Issuer Reporting and Disclosure |
| SEC v. China Intelligent Lighting and Electronics, Inc. et al. | NIVS IntelliMedia Technology Group, Inc. | Public Company | 22-Jul-2013 | 10-Mar-2014 | Issuer Reporting and Disclosure |
| SEC v. China Intelligent Lighting and Electronics, Inc. et al. | Tianfu Li | Individual | 22-Jul-2013 | 10-Mar-2014 | Issuer Reporting and Disclosure |
| SEC v. China Intelligent Lighting and Electronics, Inc. et al. | Xuemei Li | Individual | 22-Jul-2013 | 10-Mar-2014 | Issuer Reporting and Disclosure |
| SEC v. Jorge Bravo, Jr. | Jorge Bravo, Jr. | Individual | 23-Jul-2013 | 23-Jul-2013 | Securities Offering |
| In the Matter of A.R. Schmeidler & Co., Inc. | A.R. Schmeidler & Co., Inc. | Subsidiary of Public Company | 31-Jul-2013 | 31-Jul-2013 | Investment Advisers/Investment Companies |
| In the Matter of UBS Securities LLC | UBS Securities LLC | Subsidiary of Public Company | 06-Aug-2013 | 06-Aug-2013 | Investment Advisers/Investment Companies |
| SEC v. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Fenner, Pierce & Smith LLC | Banc of America Mortgage Securities, Inc | Subsidiary of Public Company | 06-Aug-2013 | 25-Nov-2014 | Securities Offering |
| SEC v. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Fenner, Pierce & Smith LLC | Bank of America, N.A. | Subsidiary of Public Company | 06-Aug-2013 | 25-Nov-2014 | Securities Offering |
| SEC v. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Fenner, Pierce & Smith LLC | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 06-Aug-2013 | 25-Nov-2014 | Securities Offering |
| SEC v. Anchor Bancorp Wisconsin, Inc. et al. | Anchor Bancorp Wisconsin, Inc. | Public Company | 14-Aug-2013 | 14-Aug-2013 | Issuer Reporting and Disclosure |
| SEC v. Anchor Bancorp Wisconsin, Inc. et al. | Dale C. Riggenberg | Individual | 14-Aug-2013 | 14-Aug-2013 | Issuer Reporting and Disclosure |
| SEC v. Javier Martin-Artajo and Julien G. Grout | Javier Martin-Artajo | Individual | 14-Aug-2013 | 22-Aug-2017 | Issuer Reporting and Disclosure |
| SEC v. Javier Martin-Artajo and Julien G. Grout | Julien G. Grout | Individual | 14-Aug-2013 | 22-Aug-2017 | Issuer Reporting and Disclosure |
| In the Matter of Brian Williamson | Brian Williamson | Individual | 20-Aug-2013 | 22-Jan-2014 | Investment Advisers/Investment Companies |
| In the Matter of J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan | Douglas F. Drennan | Individual | 30-Aug-2013 | 05-Aug-2014 | Investment Advisers/Investment Companies |
| In the Matter of J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan | Ian O. Mausner | Individual | 30-Aug-2013 | 05-Aug-2014 | Investment Advisers/Investment Companies |
| In the Matter of J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan | J.S. Oliver Capital Management, L.P. | Other | 30-Aug-2013 | 05-Aug-2014 | Investment Advisers/Investment Companies |
| In the Matter of Claritas Investments Ltd. | Claritas Investment, Ltd. | Subsidiary of Public Company | 16-Sep-2013 | 16-Sep-2013 | Market Manipulation |
| In the Matter of Brendan N. Connors, CPA | Brendan N. Connors | Individual | 18-Sep-2013 | 18-Sep-2013 | Issuer Reporting and Disclosure |
| In the Matter of Marc G. Nochimson, CPA | Marc G. Nochimson | Individual | 18-Sep-2013 | 18-Sep-2013 | Issuer Reporting and Disclosure |
| In the Matter of Medifast, Inc. | Medifast, Inc. | Public Company | 18-Sep-2013 | 18-Sep-2013 | Issuer Reporting and Disclosure |
| In the Matter of JPMorgan Chase & Co. | JPMorgan Chase & Co. | Public Company | 19-Sep-2013 | 19-Sep-2013 | Issuer Reporting and Disclosure |
| In the Matter of TD Bank, N.A. | TD Bank
Aliases |
Subsidiary of Public Company | 23-Sep-2013 | 23-Sep-2013 | Securities Offering |
| SEC v. Frank Spinosa | Frank A. Spinosa | Individual | 23-Sep-2013 | 26-Jan-2015 | Securities Offering |
| SEC v. Mercantile Bancorp, Inc., Ted Awerkamp and Michael McGrath | Mercantile Bancorp, Inc. | Public Company | 24-Sep-2013 | 24-Sep-2013 | Issuer Reporting and Disclosure |
| SEC v. Mercantile Bancorp, Inc., Ted Awerkamp and Michael McGrath | Michael McGrath | Individual | 24-Sep-2013 | 24-Sep-2013 | Issuer Reporting and Disclosure |
| SEC v. Mercantile Bancorp, Inc., Ted Awerkamp and Michael McGrath | Ted Awerkamp | Individual | 24-Sep-2013 | 24-Sep-2013 | Issuer Reporting and Disclosure |
| SEC v. Universal Travel Group, Jiangping Jiang and Jiang Xie | Jiangping Jiang | Individual | 27-Sep-2013 | 27-Sep-2013 | Issuer Reporting and Disclosure |
| SEC v. Universal Travel Group, Jiangping Jiang and Jiang Xie | Jing Xie | Individual | 27-Sep-2013 | 27-Sep-2013 | Issuer Reporting and Disclosure |
| SEC v. Universal Travel Group, Jiangping Jiang and Jiang Xie | Universal Travel Group | Public Company | 27-Sep-2013 | 27-Sep-2013 | Issuer Reporting and Disclosure |
| In the Matter of Michael McGrath, CPA | Michael McGrath | Individual | 30-Sep-2013 | 30-Sep-2013 | Issuer Reporting and Disclosure |
| In the Matter of Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA | Patrizio & Zhao LLC | Other | 30-Sep-2013 | 30-Sep-2013 | Issuer Reporting and Disclosure |
| In the Matter of Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA | Xinggeng (John) Zhao, CPA | Individual | 30-Sep-2013 | 30-Sep-2013 | Issuer Reporting and Disclosure |
| In the Matter of Jing Xie | Jing Xie | Individual | 02-Oct-2013 | 02-Oct-2013 | Issuer Reporting and Disclosure |
| In the Matter of Knight Capital Americas LLC | Knight Capital Americas LLC | Subsidiary of Public Company | 16-Oct-2013 | 16-Oct-2013 | Broker Dealer |
| In the Matter of Harding Advisory LLC and Wing F. Chau | Harding Advisory LLC | Other | 18-Oct-2013 | 27-Sep-2019 | Securities Offering |
| In the Matter of Harding Advisory LLC and Wing F. Chau | Wing F. Chau | Individual | 18-Oct-2013 | 27-Sep-2019 | Securities Offering |
| SEC v. Yuhe International, Inc., and Gao Zhentao | Gao Zhentao | Individual | 18-Oct-2013 | 19-May-2014 | Issuer Reporting and Disclosure |
| SEC v. Yuhe International, Inc., and Gao Zhentao | Yuhe International, Inc. | Public Company | 18-Oct-2013 | 19-May-2014 | Issuer Reporting and Disclosure |
| SEC v. Diebold, Inc. | Diebold, Inc.
Aliases |
Public Company | 22-Oct-2013 | 22-Oct-2013 | Foreign Corrupt Practices Act |
| In the Matter of Stryker Corporation | Stryker Corporation | Public Company | 24-Oct-2013 | 24-Oct-2013 | Foreign Corrupt Practices Act |
| In the Matter of Piper Jaffray & Co. and Jane Towery | Jane Towery | Individual | 05-Nov-2013 | 05-Nov-2013 | Municipal Securities & Public Pensions |
| In the Matter of Piper Jaffray & Co. and Jane Towery | Piper Jaffray & Co. | Subsidiary of Public Company | 05-Nov-2013 | 05-Nov-2013 | Municipal Securities & Public Pensions |
| In the Matter of The Greater Wenatchee Regional Events Center Public Facilities District, Allison Williams, Global Entertainment Corporation, and Richard Kozuback | Allison Williams | Individual | 05-Nov-2013 | 05-Nov-2013 | Municipal Securities & Public Pensions |
| In the Matter of The Greater Wenatchee Regional Events Center Public Facilities District, Allison Williams, Global Entertainment Corporation, and Richard Kozuback | Global Entertainment Corporation | Public Company | 05-Nov-2013 | 05-Nov-2013 | Municipal Securities & Public Pensions |
| In the Matter of The Greater Wenatchee Regional Events Center Public Facilities District, Allison Williams, Global Entertainment Corporation, and Richard Kozuback | Richard Kozuback | Individual | 05-Nov-2013 | 05-Nov-2013 | Municipal Securities & Public Pensions |
| In the Matter of The Greater Wenatchee Regional Events Center Public Facilities District, Allison Williams, Global Entertainment Corporation, and Richard Kozuback | The Greater Wenatchee Regional Events Center Public Facilities District | Other | 05-Nov-2013 | 05-Nov-2013 | Municipal Securities & Public Pensions |
| In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA | Christopher A. Valleau, CPA | Individual | 06-Nov-2013 | 06-Nov-2013 | Issuer Reporting and Disclosure |
| In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA | Mark Mycio, CPA | Individual | 06-Nov-2013 | 06-Nov-2013 | Issuer Reporting and Disclosure |
| In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA | Sherb & Co., LLP | Other | 06-Nov-2013 | 06-Nov-2013 | Issuer Reporting and Disclosure |
| In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA | Steven J. Sherb, CPA | Individual | 06-Nov-2013 | 06-Nov-2013 | Issuer Reporting and Disclosure |
| In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA | Steven N. Epstein, CPA | Individual | 06-Nov-2013 | 06-Nov-2013 | Issuer Reporting and Disclosure |
| SEC v. RBS Securities Inc. | RBS Securities, Inc. | Subsidiary of Public Company | 07-Nov-2013 | 07-Nov-2013 | Broker Dealer |
| SEC v. Weatherford International Ltd. | Weatherford International plc
Aliases |
Public Company | 26-Nov-2013 | 26-Nov-2013 | Foreign Corrupt Practices Act |
| In the Matter of Fifth Third Bancorp and Daniel Poston | Daniel Poston | Individual | 04-Dec-2013 | 04-Dec-2013 | Issuer Reporting and Disclosure |
| In the Matter of Fifth Third Bancorp and Daniel Poston | Fifth Third Bancorp | Public Company | 04-Dec-2013 | 04-Dec-2013 | Issuer Reporting and Disclosure |
| In the Matter of GLG Partners Inc. and GLG Partners, L.P. | GLG Partners, Inc.
Aliases |
Public Company | 12-Dec-2013 | 12-Dec-2013 | Issuer Reporting and Disclosure |
| In the Matter of GLG Partners Inc. and GLG Partners, L.P. | GLG Partners, L.P. | Subsidiary of Public Company | 12-Dec-2013 | 12-Dec-2013 | Issuer Reporting and Disclosure |
| In the Matter of Joseph G. Parish III and Scott H. Shannon | Joseph G. Parish III | Individual | 12-Dec-2013 | 12-Dec-2013 | Securities Offering |
| In the Matter of Joseph G. Parish III and Scott H. Shannon | Scott H. Shannon | Individual | 12-Dec-2013 | 12-Dec-2013 | Securities Offering |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 12-Dec-2013 | 12-Dec-2013 | Securities Offering |
| In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC | ConvergEx Execution Solutions LLC | Subsidiary of Public Company | 18-Dec-2013 | 18-Dec-2013 | Broker Dealer |
| In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC | ConvergEx Global Markets Limited | Subsidiary of Public Company | 18-Dec-2013 | 18-Dec-2013 | Broker Dealer |
| In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC | G-Trade Services LLC | Subsidiary of Public Company | 18-Dec-2013 | 18-Dec-2013 | Broker Dealer |
| In the Matter of Jonathan Samuel Daspin | Jonathan Daspin | Individual | 18-Dec-2013 | 18-Dec-2013 | Broker Dealer |
| In the Matter of Thomas Leskargeren | Thomas Lekargeren | Individual | 18-Dec-2013 | 18-Dec-2013 | Broker Dealer |
| SEC v. Archer-Daniels-Midland Company | Archer-Daniels-Midland Company | Public Company | 20-Dec-2013 | 20-Dec-2013 | Foreign Corrupt Practices Act |
| In the Matter of Instinet, LLC | Instinet, LLC | Subsidiary of Public Company | 26-Dec-2013 | 26-Dec-2013 | Investment Advisers/Investment Companies |
| In the matter of Alcoa Inc. | ALCOA INC. | Public Company | 09-Jan-2014 | 09-Jan-2014 | Foreign Corrupt Practices Act |
| In the Matter of Michael Mendes | Michael Mendes | Individual | 09-Jan-2014 | 09-Jan-2014 | Issuer Reporting and Disclosure |
| SEC v. Diamond Foods, Inc. | Diamond Foods, Inc. | Public Company | 09-Jan-2014 | 09-Jan-2014 | Issuer Reporting and Disclosure |
| SEC v. Steven Neil | Steven Neil | Individual | 09-Jan-2014 | 02-Feb-2015 | Issuer Reporting and Disclosure |
| In the Matter of Waldyr Da Silva Prado Neto | Waldyr Da Silva Prado Neto | Individual | 23-Jan-2014 | 20-May-2014 | Broker Dealer |
| In the Matter of Western Asset Management Co. | Western Asset Management Company | Subsidiary of Public Company | 27-Jan-2014 | 27-Jan-2014 | Investment Advisers/Investment Companies |
| In the Matter of Western Asset Management Company | Western Asset Management Company | Subsidiary of Public Company | 27-Jan-2014 | 27-Jan-2014 | Investment Advisers/Investment Companies |
| In the Matter of Charles W. Adams | Charles W. Adams | Individual | 31-Jan-2014 | 31-Jan-2014 | Broker Dealer |
| In the Matter of David M. Martin CPA | David M. Martin | Individual | 11-Feb-2014 | 11-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Apple Eight Advisors, Inc. | Other | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Apple Nine Advisors, Inc. | Other | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Apple REIT Eight, Inc. | Other | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Apple REIT Nine, Inc. | Other | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Apple REIT Seven, Inc. | Other | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Apple REIT Six, Inc. | Subsidiary of Public Company | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Apple Seven Advisors, Inc. | Other | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Apple Six Advisors, Inc. | Other | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Bryan F. Peery | Individual | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA | Glade M. Knight | Individual | 12-Feb-2014 | 12-Feb-2014 | Issuer Reporting and Disclosure |
| In the Matter of Credit Suisse Group AG | Credit Suisse Group AG
Aliases |
Public Company | 21-Feb-2014 | 21-Feb-2014 | Broker Dealer |
| In the Matter of Clayton T. Marshall | Clayton T. Marshall | Individual | 11-Mar-2014 | 11-Mar-2014 | Issuer Reporting and Disclosure |
| In the Matter of John A. Stadler | John T. Stadler | Individual | 11-Mar-2014 | 11-Mar-2014 | Issuer Reporting and Disclosure |
| SEC v. AgFeed Industries | AgFeed Industries, Inc. | Public Company | 11-Mar-2014 | 15-Sep-2014 | Issuer Reporting and Disclosure |
| SEC v. AgFeed Industries | Edward J. Pazdro | Individual | 11-Mar-2014 | 15-Sep-2014 | Issuer Reporting and Disclosure |
| SEC v. AgFeed Industries | Junhong Xiong | Individual | 11-Mar-2014 | 15-Sep-2014 | Issuer Reporting and Disclosure |
| SEC v. AgFeed Industries | K. Ivan Gothner | Individual | 11-Mar-2014 | 15-Sep-2014 | Issuer Reporting and Disclosure |
| SEC v. AgFeed Industries | Selina Jin | Individual | 11-Mar-2014 | 15-Sep-2014 | Issuer Reporting and Disclosure |
| SEC v. AgFeed Industries | Shaobo Ouyang | Individual | 11-Mar-2014 | 15-Sep-2014 | Issuer Reporting and Disclosure |
| SEC v. AgFeed Industries | Songyan Li | Individual | 11-Mar-2014 | 15-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Jefferies LLC (formerly known as Jefferies & Company, Inc.) | Jefferies LLC
Aliases |
Subsidiary of Public Company | 12-Mar-2014 | 12-Mar-2014 | Broker Dealer |
| In the Matter of Lions Gate Entertainment Corp. | Lions Gate Entertainment Corp. | Public Company | 13-Mar-2014 | 13-Mar-2014 | Issuer Reporting and Disclosure |
| In the Matter of the Phoenix Companies, Inc. and PHL Variable Insurance Company | PHL Variable Insurance Company | Subsidiary of Public Company | 21-Mar-2014 | 21-Mar-2014 | Issuer Reporting and Disclosure |
| In the Matter of the Phoenix Companies, Inc. and PHL Variable Insurance Company | The Phoenix Companies Inc.
Aliases |
Public Company | 21-Mar-2014 | 21-Mar-2014 | Issuer Reporting and Disclosure |
| In the Matter of L&L Energy, Inc. and Dickson Lee, CPA | Dickson Lee | Individual | 27-Mar-2014 | 01-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of L&L Energy, Inc. and Dickson Lee, CPA | L&L Energy, Inc.
Aliases |
Public Company | 27-Mar-2014 | 01-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of Shirley Kiang | Shirley Kiang | Individual | 27-Mar-2014 | 27-Mar-2014 | Issuer Reporting and Disclosure |
| In the Matter of Transamerica Financial Advisors, Inc. | Transamerica Financial Advisors, Inc. | Subsidiary of Public Company | 03-Apr-2014 | 03-Apr-2014 | Investment Advisers/Investment Companies |
| In the Matter of Laird Daniels, CPA | Laird Daniels | Individual | 08-Apr-2014 | 08-Apr-2014 | Issuer Reporting and Disclosure |
| SEC v. CVS Caremark Corp. | CVS Caremark Corp. | Public Company | 08-Apr-2014 | 08-Apr-2014 | Issuer Reporting and Disclosure |
| In the Matter of Hewlett-Packard Company | Hewlett-Packard Company | Public Company | 09-Apr-2014 | 09-Apr-2014 | Foreign Corrupt Practices Act |
| SEC v. Keith A. Seilhan | Keith A. Seilhan | Individual | 17-Apr-2014 | 24-Apr-2014 | Insider Trading |
| SEC v. Barry R. Bekkedam | Barry R. Bekkedam | Individual | 30-Apr-2014 | 22-Apr-2020 | Investment Advisers/Investment Companies |
| In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. | Archipelago Securities, L.L.C. | Subsidiary of Public Company | 01-May-2014 | 01-May-2014 | Other |
| In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. | New York Stock Exchange LLC | Subsidiary of Public Company | 01-May-2014 | 01-May-2014 | Other |
| In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. | NYSE Arca, Inc. | Subsidiary of Public Company | 01-May-2014 | 01-May-2014 | Other |
| In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. | NYSE MKT LLC | Subsidiary of Public Company | 01-May-2014 | 01-May-2014 | Other |
| In the Matter of Bryce Walker, CA and Spence Walker, CA, CPA | Bryce Walker, CA | Individual | 20-May-2014 | 20-May-2014 | Issuer Reporting and Disclosure |
| In the Matter of Bryce Walker, CA and Spence Walker, CA, CPA | Spence Walker, CA, CPA | Individual | 20-May-2014 | 20-May-2014 | Issuer Reporting and Disclosure |
| SEC v. DGSE Companies Inc. and I. John Benson | DGSE Companies Inc. | Public Company | 27-May-2014 | 27-May-2014 | Issuer Reporting and Disclosure |
| SEC v. DGSE Companies Inc. and I. John Benson | I. John Benson | Individual | 27-May-2014 | 27-May-2014 | Issuer Reporting and Disclosure |
| Deferred Procecution Agreement with Regions Financial Corporation | Regions Financial Corporation | Public Company | 10-Jun-2014 | 10-Jun-2014 | Issuer Reporting and Disclosure |
| In the Matter of I. John Benson, CPA | I. John Benson | Individual | 18-Jun-2014 | 18-Jun-2014 | Issuer Reporting and Disclosure |
| In the Matter of Jeffrey C. Kuehr and Michael J. Willoughby | Jeffrey C. Kuehr | Individual | 25-Jun-2014 | 25-Jun-2014 | Issuer Reporting and Disclosure |
| In the Matter of Jeffrey C. Kuehr and Michael J. Willoughby | Michael J. Willoughby | Individual | 25-Jun-2014 | 25-Jun-2014 | Issuer Reporting and Disclosure |
| In the Matter of Thomas A. Neely, Jr. | Thomas A. Neely, Jr. | Individual | 25-Jun-2014 | Issuer Reporting and Disclosure | |
| In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA | EFP Rotenberg, LLP | Other | 01-Jul-2014 | 01-Jul-2014 | Issuer Reporting and Disclosure |
| In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA | Nicholas R. Bottini, CPA | Individual | 01-Jul-2014 | 01-Jul-2014 | Issuer Reporting and Disclosure |
| In the Matter of Child, Van Wagoner & Bradshaw, PLLC, Russell E. Anderson, CPA, and Marty Van Wagoner, CPA | Child, Van Wagoner & Bradshaw, PLLC | Other | 08-Jul-2014 | 11-Feb-2015 | Issuer Reporting and Disclosure |
| In the Matter of Child, Van Wagoner & Bradshaw, PLLC, Russell E. Anderson, CPA, and Marty Van Wagoner, CPA | Marty Van Wagoner, CPA | Individual | 08-Jul-2014 | 11-Feb-2015 | Issuer Reporting and Disclosure |
| In the Matter of Child, Van Wagoner & Bradshaw, PLLC, Russell E. Anderson, CPA, and Marty Van Wagoner, CPA | Russell E. Anderson, CPA
Aliases |
Individual | 08-Jul-2014 | 11-Feb-2015 | Issuer Reporting and Disclosure |
| In the Matter of Debra L. Hobbs, CPA | Debra L. Hobbs, CPA | Individual | 24-Jul-2014 | 24-Jul-2014 | Issuer Reporting and Disclosure |
| In the Matter of John ("Jack") J. Egan, Jr., CPA | Jack J. Egan, Jr. | Individual | 24-Jul-2014 | 24-Jul-2014 | Issuer Reporting and Disclosure |
| In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC | Morgan Stanley ABS Capital I, Inc. | Subsidiary of Public Company | 24-Jul-2014 | 24-Jul-2014 | Securities Offering |
| In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 24-Jul-2014 | 24-Jul-2014 | Securities Offering |
| In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC | Morgan Stanley Mortgage Capital Holdings LLC | Subsidiary of Public Company | 24-Jul-2014 | 24-Jul-2014 | Securities Offering |
| In the Matter of LavaFlow, Inc. | LavaFlow, Inc. | Subsidiary of Public Company | 25-Jul-2014 | 25-Jul-2014 | Broker Dealer |
| In the Matter of Smith & Wesson Holding Corporation | Smith & Wesson Holding Corporation | Public Company | 28-Jul-2014 | 28-Jul-2014 | Foreign Corrupt Practices Act |
| In the Matter of Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc. and Kevin T. McKnight | Houston American Energy Corp.
Aliases |
Public Company | 04-Aug-2014 | 23-Apr-2015 | Issuer Reporting and Disclosure |
| In the Matter of Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc. and Kevin T. McKnight | John F. Terwilliger | Individual | 04-Aug-2014 | 23-Apr-2015 | Issuer Reporting and Disclosure |
| In the Matter of Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc. and Kevin T. McKnight | Kevin T. McKnight | Individual | 04-Aug-2014 | 23-Apr-2015 | Issuer Reporting and Disclosure |
| In the Matter of Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc. and Kevin T. McKnight | Undiscovered Equities, Inc. | Other | 04-Aug-2014 | 23-Apr-2015 | Issuer Reporting and Disclosure |
| SEC v. Anthony G. Blumberg | Anthony G. Blumberg | Individual | 07-Aug-2014 | 28-May-2019 | Broker Dealer |
| In the Matter of Bank of America Corporation | Bank of America Corporation | Public Company | 21-Aug-2014 | 21-Aug-2014 | Issuer Reporting and Disclosure |
| In the Matter of Brian Scott Zwerner | Brian Scott Zwerner | Individual | 26-Aug-2014 | 26-Aug-2014 | Municipal Securities & Public Pensions |
| In the Matter of Lynn R. Blodgett and Kevin R. Kyser, CPA | Kevin R. Kyser | Individual | 28-Aug-2014 | 28-Aug-2014 | Issuer Reporting and Disclosure |
| In the Matter of Lynn R. Blodgett and Kevin R. Kyser, CPA | Lynn R. Blodgett | Individual | 28-Aug-2014 | 28-Aug-2014 | Issuer Reporting and Disclosure |
| In the Matter of Jesse C. Litvak | Jesse C. Litvak | Individual | 02-Sep-2014 | 22-Jan-2015 | Broker Dealer |
| In the Matter of Alan M. Schnaid | Alan M. Schnaid | Individual | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Bradley S. Forsyth | Bradley S. Forsyth | Individual | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Charles F. Willis IV | Charles F. Willis IV | Individual | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Donald A. Nunemaker | Donald A. Nunemaker | Individual | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Jones Lang LaSalle Incorporated | Jones Lang LaSalle Incorporated | Public Company | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| in the Matter of KMG Chemicals, Inc. | KMG Chemicals, Inc. | Public Company | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Paul D. Arling | Paul D. Arling | Individual | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Security Capital Research & Management Incorporated | Security Capital Research & Management Incorporated | Subsidiary of Public Company | 10-Sep-2014 | 10-Sep-2014 | Other |
| In the Matter of Starwood Hotel & Resorts Worldwide, Inc. | Starwood Hotel & Resorts Worldwide, Inc. | Public Company | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Tel-Instrument Electronics Corp. | Tel-Instrument Electronics Corp. | Public Company | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of The Royal Bank of Scotland Group plc | Royal Bank of Scotland plc
Aliases |
Public Company | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Thomas C. Nord | Thomas C. Nord | Individual | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Universal Electronics Inc. | Universal Electronics Inc | Public Company | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Willis Lease Finance Corporation | Willis Lease Finance Corporation | Public Company | 10-Sep-2014 | 10-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Alexander W. Wright | Alexander W. Wright | Individual | 11-Sep-2014 | 11-Sep-2014 | Municipal Securities & Public Pensions |
| In the Matter of Wilmington Trust Corporation | Wilmington Trust Corporation | Public Company | 11-Sep-2014 | 11-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of BlackRock Institutional Trust Company, N.A. | BlackRock Institutional Trust Company, N.A. | Subsidiary of Public Company | 16-Sep-2014 | 16-Sep-2014 | Market Manipulation |
| In the Matter of Wells Fargo Advisors, LLC | Wells Fargo Advisors, LLC | Subsidiary of Public Company | 22-Sep-2014 | 22-Sep-2014 | Broker Dealer |
| In the Matter of Barclays Capital Inc. | Barclays Capital Inc. | Subsidiary of Public Company | 23-Sep-2014 | 23-Sep-2014 | Investment Advisers/Investment Companies |
| In the Matter of Babak ("Bobby") Yazdani | Bobby Yazdani | Individual | 24-Sep-2014 | 24-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon | Patrick Farrell | Individual | 24-Sep-2014 | 24-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon | Saba Software, Inc. | Public Company | 24-Sep-2014 | 24-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon | Sajeev Menon | Individual | 24-Sep-2014 | 24-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of David Scott Cacchione | D. Scott Cacchione | Individual | 25-Sep-2014 | 25-Feb-2015 | Broker Dealer |
| In the Matter of JDA Software Group, Inc. | JDA Software Group, Inc. | Public Company | 25-Sep-2014 | 25-Sep-2014 | Issuer Reporting and Disclosure |
| In the Matter of Bank of America Corporation | Bank of America Corporation | Public Company | 29-Sep-2014 | 29-Sep-2014 | Issuer Reporting and Disclosure |
| SEC v. China Valves Technology, Inc., Siping Fang, Jianbao Wang, and Renrui Tang | China Valves Technology, Inc. | Public Company | 29-Sep-2014 | 14-May-2015 | Issuer Reporting and Disclosure |
| SEC v. China Valves Technology, Inc., Siping Fang, Jianbao Wang, and Renrui Tang | Jianbao Wang | Individual | 29-Sep-2014 | 14-May-2015 | Issuer Reporting and Disclosure |
| SEC v. China Valves Technology, Inc., Siping Fang, Jianbao Wang, and Renrui Tang | Renrui Tang | Individual | 29-Sep-2014 | 14-May-2015 | Issuer Reporting and Disclosure |
| SEC v. China Valves Technology, Inc., Siping Fang, Jianbao Wang, and Renrui Tang | Siping Fang | Individual | 29-Sep-2014 | 14-May-2015 | Issuer Reporting and Disclosure |
| In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC | E*Trade Securities, LLC | Subsidiary of Public Company | 09-Oct-2014 | 09-Oct-2014 | Broker Dealer |
| In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC | G1 Execution Services, LLC | Subsidiary of Public Company | 09-Oct-2014 | 09-Oct-2014 | Broker Dealer |
| In the Matter of Judy K. Wolf | Judy K. Wolf | Individual | 15-Oct-2014 | 05-Aug-2015 | Broker Dealer |
| In the Matter of Eugene F. Hovanec, CPA | Eugene F. Hovanec | Individual | 23-Oct-2014 | 23-Oct-2014 | Issuer Reporting and Disclosure |
| In the Matter of Great Lakes Dredge & Dock Corporation | Great Lakes Dredge & Dock Corporation | Public Company | 27-Oct-2014 | 27-Oct-2014 | Issuer Reporting and Disclosure |
| In the Matter of Layne Christensen Company | Layne Christensen Company | Public Company | 27-Oct-2014 | 27-Oct-2014 | Foreign Corrupt Practices Act |
| In the Matter of Bio-Rad Laboratories, Inc. | Bio-Rad Laboratories, Inc. | Public Company | 03-Nov-2014 | 03-Nov-2014 | Foreign Corrupt Practices Act |
| In the Matter of Charles Schwab & Co., Inc. | Charles Schwab & Co., Inc. | Subsidiary of Public Company | 03-Nov-2014 | 03-Nov-2014 | Municipal Securities & Public Pensions |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 03-Nov-2014 | 03-Nov-2014 | Municipal Securities & Public Pensions |
| In the Matter of National Securities Corp. | National Securities Corp. | Subsidiary of Public Company | 03-Nov-2014 | 03-Nov-2014 | Municipal Securities & Public Pensions |
| In the Matter of Oppenheimer & Co., Inc. | Oppenheimer & Co. Inc. | Subsidiary of Public Company | 03-Nov-2014 | 03-Nov-2014 | Municipal Securities & Public Pensions |
| In the Matter of Stifel Nicolaus & Co., Inc. | Stifel, Nicolaus & Company, Inc.
Aliases |
Subsidiary of Public Company | 03-Nov-2014 | 03-Nov-2014 | Municipal Securities & Public Pensions |
| In the Matter of TD Ameritrade, Inc. | TD Ameritrade, Inc. | Subsidiary of Public Company | 03-Nov-2014 | 03-Nov-2014 | Municipal Securities & Public Pensions |
| In the Matter of UBS Financial Services Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 03-Nov-2014 | 03-Nov-2014 | Municipal Securities & Public Pensions |
| In the Matter of Dr. L.S. Smith | L.S. Smith | Individual | 12-Nov-2014 | 12-Nov-2014 | Issuer Reporting and Disclosure |
| In the Matter of Stephen Timms and Yasser Ramahi | Stephen Timms | Individual | 17-Nov-2014 | 17-Nov-2014 | Foreign Corrupt Practices Act |
| In the Matter of Stephen Timms and Yasser Ramahi | Yasser Ramahi | Individual | 17-Nov-2014 | 17-Nov-2014 | Foreign Corrupt Practices Act |
| SEC v. Robert Benou, Marc Benou, and Conolog Corporation | Conolog Corporation | Public Company | 21-Nov-2014 | 06-Jan-2015 | Market Manipulation |
| SEC v. Robert Benou, Marc Benou, and Conolog Corporation | Marc Benou | Individual | 21-Nov-2014 | 06-Jan-2015 | Market Manipulation |
| SEC v. Robert Benou, Marc Benou, and Conolog Corporation | Robert Benou | Individual | 21-Nov-2014 | 06-Jan-2015 | Market Manipulation |
| In the Matter of HSBC Private Bank (Suisse), SA | HSBC Private Bank (Suisse), SA | Subsidiary of Public Company | 25-Nov-2014 | 25-Nov-2014 | Investment Advisers/Investment Companies |
| In the Matter of Phillip Dennis Murphy | Phillip Dennis Murphy | Individual | 03-Dec-2014 | 31-Dec-2014 | Municipal Securities & Public Pensions |
| In the Matter of Hampton Roads Bankshares, Inc. | Hampton Roads Bankshares, Inc. | Public Company | 05-Dec-2014 | 05-Dec-2014 | Issuer Reporting and Disclosure |
| In the Matter of Neal A. Petrovich, CPA | Neal A. Petrovich | Individual | 05-Dec-2014 | 05-Dec-2014 | Issuer Reporting and Disclosure |
| In the Matter of Morgan Stanley & Co. LLC | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 10-Dec-2014 | 10-Dec-2014 | Broker Dealer |
| In the Matter of The Billiard Channel, Inc., Boston Chicken, Inc. Bridgeport Capital Corp., and Broadway International Development Corp. | Bridgeport Capital Corp. | Other | 11-Dec-2014 | Other | |
| In the Matter of The Billiard Channel, Inc., Boston Chicken, Inc. Bridgeport Capital Corp., and Broadway International Development Corp. | Broadway International Development Corp. | Other | 11-Dec-2014 | Other | |
| In the Matter of The Billiard Channel, Inc., Boston Chicken, Inc. Bridgeport Capital Corp., and Broadway International Development Corp. | The Billiard Channel, Inc. | Other | 11-Dec-2014 | Other | |
| In the Matter of Bruker Corporation | Bruker Corporation | Public Company | 15-Dec-2014 | 15-Dec-2014 | Foreign Corrupt Practices Act |
| In the Matter of Canadian Solar, Inc. and Yan Zhuang | Canadian Solar, Inc. | Public Company | 15-Dec-2014 | 15-Dec-2014 | Issuer Reporting and Disclosure |
| In the Matter of Canadian Solar, Inc. and Yan Zhuang | Yan Zhuang | Individual | 15-Dec-2014 | 15-Dec-2014 | Issuer Reporting and Disclosure |
| In the Matter of Baker Tilly Hong Kong Limited, Andrew David Ross, CPA, and Kwok Laiha Helena, CPA | Andrew David Ross, CPA | Individual | 17-Dec-2014 | 17-Dec-2014 | Issuer Reporting and Disclosure |
| In the Matter of Baker Tilly Hong Kong Limited, Andrew David Ross, CPA, and Kwok Laiha Helena, CPA | Baker Tilly Hong Kong Limited | Other | 17-Dec-2014 | 17-Dec-2014 | Issuer Reporting and Disclosure |
| In the Matter of Baker Tilly Hong Kong Limited, Andrew David Ross, CPA, and Kwok Laiha Helena, CPA | Kwok Laiha Helena, CPA | Individual | 17-Dec-2014 | 17-Dec-2014 | Issuer Reporting and Disclosure |
| SEC v. Avon Products, Inc. | Avon Products, Inc. | Public Company | 17-Dec-2014 | 17-Dec-2014 | Foreign Corrupt Practices Act |
| In the Matter of F-Squared Investments, Inc. | F-Squared Investments, Inc. | Other | 22-Dec-2014 | 22-Dec-2014 | Investment Advisers/Investment Companies |
| SEC v. Howard B. Present | Howard B. Present | Individual | 22-Dec-2014 | 22-Mar-2018 | Investment Advisers/Investment Companies |
| In the Matter of James T. Crane, CPA | James T. Crane | Individual | 13-Jan-2015 | 13-Jan-2015 | Issuer Reporting and Disclosure |
| In the Matter of UBS Securities LLC | UBS Securities LLC | Subsidiary of Public Company | 15-Jan-2015 | 15-Jan-2015 | Broker Dealer |
| In the Matter of Barbara Duka | Barbara Duka | Individual | 21-Jan-2015 | 21-Dec-2018 | Other |
| In the Matter of Standard & Poor's Ratings Services | Standard & Poor's Ratings Services | Subsidiary of Public Company | 21-Jan-2015 | 21-Jan-2015 | Other |
| In the Matter of Standard & Poor's Ratings Services | Standard & Poor's Ratings Services | Subsidiary of Public Company | 21-Jan-2015 | 21-Jan-2015 | Other |
| In the Matter of Standard & Poor's Ratings Services | Standard & Poor's Ratings Services | Subsidiary of Public Company | 21-Jan-2015 | 21-Jan-2015 | Other |
| In the Matter of Oppenheimer & Co. Inc. | Oppenheimer & Co. Inc. | Subsidiary of Public Company | 27-Jan-2015 | 27-Jan-2015 | Broker Dealer |
| In the Matter of Steven Neil, CPA | Steven Neil | Individual | 04-Feb-2015 | 04-Feb-2015 | Issuer Reporting and Disclosure |
| SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner | Broadwind Energy, Inc. | Public Company | 05-Feb-2015 | 05-Feb-2015 | Issuer Reporting and Disclosure |
| SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner | J. Cameron Drecoll | Individual | 05-Feb-2015 | 05-Feb-2015 | Issuer Reporting and Disclosure |
| SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner | Stephanie K. Kushner | Individual | 05-Feb-2015 | 05-Feb-2015 | Issuer Reporting and Disclosure |
| In the Matter of William Slater, CPA and Peter E. Williams, III | Peter E. Williams, III | Individual | 10-Feb-2015 | 10-Feb-2015 | Issuer Reporting and Disclosure |
| In the Matter of William Slater, CPA and Peter E. Williams, III | William Slater | Individual | 10-Feb-2015 | 10-Feb-2015 | Issuer Reporting and Disclosure |
| SEC v. Craig S. Lax | Craig S. Lax | Individual | 10-Feb-2015 | 11-Mar-2015 | Broker Dealer |
| In the Matter of Brian Williamson, Esq. | Brian Williamson | Individual | 19-Feb-2015 | 19-Feb-2015 | Investment Advisers/Investment Companies |
| In the Matter of The Goodyear Tire & Rubber Company | The Goodyear Tire & Rubber Company | Public Company | 24-Feb-2015 | 24-Feb-2015 | Foreign Corrupt Practices Act |
| SEC v. China Infrastructure Investment Corporation, Li Xipeng and Wang Feng | China Infrastructure Investment Corp. | Public Company | 03-Mar-2015 | 26-May-2016 | Issuer Reporting and Disclosure |
| SEC v. China Infrastructure Investment Corporation, Li Xipeng and Wang Feng | Li Xipeng | Individual | 03-Mar-2015 | 26-May-2016 | Issuer Reporting and Disclosure |
| SEC v. China Infrastructure Investment Corporation, Li Xipeng and Wang Feng | Wang Feng | Individual | 03-Mar-2015 | 26-May-2016 | Issuer Reporting and Disclosure |
| In the Matter of Craig S. Lax | Craig S. Lax | Individual | 25-Mar-2015 | 25-Mar-2015 | Broker Dealer |
| In the Matter of Polycom, Inc. | Polycom, Inc. | Public Company | 31-Mar-2015 | 31-Mar-2015 | Issuer Reporting and Disclosure |
| SEC v. Andrew M. Miller | Andrew M. Miller | Individual | 31-Mar-2015 | 26-Jan-2016 | Issuer Reporting and Disclosure |
| In the Matter of KBR, Inc. | KBR, Inc. | Public Company | 01-Apr-2015 | 01-Apr-2015 | Other |
| In the Matter of FLIR Systems, Inc. | FLIR Systems, Inc. | Public Company | 08-Apr-2015 | 08-Apr-2015 | Foreign Corrupt Practices Act |
| In the Matter of Molex Incorporated | Molex Incorporated | Public Company | 09-Apr-2015 | 09-Apr-2015 | Issuer Reporting and Disclosure |
| SEC v. Katsuichi Fusamae | Katsuichi Fusamae | Individual | 09-Apr-2015 | 16-Apr-2015 | Issuer Reporting and Disclosure |
| In the Matter of R. Scott Peden, Esq. | R. Scott Peden | Individual | 16-Apr-2015 | 23-Nov-2015 | Issuer Reporting and Disclosure |
| In the Matter of Blackrock Advisors, LLC and Bartholomew A. Battista | Bartholomew A. Battista | Individual | 20-Apr-2015 | 20-Apr-2015 | Investment Advisers/Investment Companies |
| In the Matter of Blackrock Advisors, LLC and Bartholomew A. Battista | BlackRock Advisors, LLC | Subsidiary of Public Company | 20-Apr-2015 | 20-Apr-2015 | Investment Advisers/Investment Companies |
| In the Matter of W2007 Grace Acquisition I, Inc. | W2007 Grace Acquisition I, Inc. | Subsidiary of Public Company | 22-Apr-2015 | 22-Apr-2015 | Issuer Reporting and Disclosure |
| SEC v. David R. Gibson, Robert V.A. Harra, Jr., Kevyn N. Rakowski, and William B. North | David R. Gibson | Individual | 06-May-2015 | 25-Jun-2015 | Issuer Reporting and Disclosure |
| SEC v. David R. Gibson, Robert V.A. Harra, Jr., Kevyn N. Rakowski, and William B. North | Kevyn N. Rakowski | Individual | 06-May-2015 | 25-Jun-2015 | Issuer Reporting and Disclosure |
| SEC v. David R. Gibson, Robert V.A. Harra, Jr., Kevyn N. Rakowski, and William B. North | Robert V.A. Harra, Jr. | Individual | 06-May-2015 | 25-Jun-2015 | Issuer Reporting and Disclosure |
| SEC v. David R. Gibson, Robert V.A. Harra, Jr., Kevyn N. Rakowski, and William B. North | William B. North | Individual | 06-May-2015 | 25-Jun-2015 | Issuer Reporting and Disclosure |
| SEC v. ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick | Daniel M. Fitzpatrick
Aliases |
Individual | 12-May-2015 | 30-Jun-2017 | Issuer Reporting and Disclosure |
| SEC v. ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick | ITT Educational Services Inc.
Aliases |
Public Company | 12-May-2015 | 30-Jun-2017 | Issuer Reporting and Disclosure |
| SEC v. ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick | Kevin M. Modany
Aliases |
Individual | 12-May-2015 | 30-Jun-2017 | Issuer Reporting and Disclosure |
| In the Matter of Mitchell J. Stein | Mitchell J. Stein | Individual | 15-May-2015 | 15-May-2015 | Issuer Reporting and Disclosure |
| In the Matter of BHP Billiton Ltd. and BHP Billiton Plc | BHP Billiton Plc | Public Company | 20-May-2015 | 20-May-2015 | Foreign Corrupt Practices Act |
| In the Matter of BHP Billiton Ltd. and BHP Billiton Plc | BHP Billiton, Ltd. | Public Company | 20-May-2015 | 20-May-2015 | Foreign Corrupt Practices Act |
| In the Matter of Renrui Tang | Renrui Tang | Individual | 20-May-2015 | 20-May-2015 | Issuer Reporting and Disclosure |
| In the Matter of Deutsche Bank AG | Deutsche Bank AG | Public Company | 26-May-2015 | 26-May-2015 | Issuer Reporting and Disclosure |
| In the Matter of First Bancorp, Anna Hollers, and Teresa Nixon | Anna Hollers | Individual | 01-Jun-2015 | 01-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of First Bancorp, Anna Hollers, and Teresa Nixon | First Bancorp | Public Company | 01-Jun-2015 | 01-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of First Bancorp, Anna Hollers, and Teresa Nixon | Teresa Nixon | Individual | 01-Jun-2015 | 01-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation | Merrill Lynch Professional Clearing Corporation | Subsidiary of Public Company | 01-Jun-2015 | 01-Jun-2015 | Broker Dealer |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 01-Jun-2015 | 01-Jun-2015 | Broker Dealer |
| In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield | Claus Zilmer | Individual | 05-Jun-2015 | 05-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield | Computer Sciences Corporation | Public Company | 05-Jun-2015 | 05-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield | Michael Laphen | Individual | 05-Jun-2015 | 05-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield | Michael Mancuso | Individual | 05-Jun-2015 | 05-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield | Paul Wakefield | Individual | 05-Jun-2015 | 05-Jun-2015 | Issuer Reporting and Disclosure |
| In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield | Wayne Banks | Individual | 05-Jun-2015 | 05-Jun-2015 | Issuer Reporting and Disclosure |
| SEC v. Christopher Edwards | Christopher Edwards | Individual | 05-Jun-2015 | 24-Jul-2015 | Issuer Reporting and Disclosure |
| SEC v. Edward Parker | Edward Parker | Individual | 05-Jun-2015 | 09-Sep-2015 | Issuer Reporting and Disclosure |
| SEC v. Wilfred Robert Sutcliffe | Wilfred Robert Sutcliffe | Individual | 05-Jun-2015 | 09-Sep-2015 | Issuer Reporting and Disclosure |
| In the Matter of Brian J. Ourand | Brian J. Ourand | Individual | 15-Jun-2015 | 29-Mar-2016 | Investment Advisers/Investment Companies |
| In the Matter of SFX Financial Advisory Management Enterprises, Inc. and Eugene S. Mason | Eugene S. Mason | Individual | 15-Jun-2015 | 15-Jun-2015 | Investment Advisers/Investment Companies |
| In the Matter of SFX Financial Advisory Management Enterprises, Inc. and Eugene S. Mason | SFX Financial Advisory Management Enterprises, Inc. | Subsidiary of Public Company | 15-Jun-2015 | 15-Jun-2015 | Investment Advisers/Investment Companies |
| In the Matter of BMO Capital Markets GKST Inc. | BMO Capital Markets GKST Inc. | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of BNY Mellon Capital Markets, LLC | BNY Mellon Capital Markets, LLC | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of BOSC, Inc. | BOSC, Inc. | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Citigroup Global Markets Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Goldman, Sachs & Co. | Goldman, Sachs & Co. | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Merchant Capital, L.L.C. | Merchant Capital, L.L.C. | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Merrill Lynch Pierce, Fenner & Smith, Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Morgan Stanley & Co. LLC | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Oppenheimer & Co. Inc. | Oppenheimer & Co. Inc. | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Piper Jaffray & Co. | Piper Jaffray & Co. | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Raymond James & Associates, Inc. | Raymond James & Associates, Inc. | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of RBC Capital Markets, LLC | RBC Capital Markets, LLC
Aliases |
Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Siebert Brandford Shank & Co., LLC | Siebert Brandford Shank & Co., LLC | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Sterne, Agee & Leach, Inc. | Sterne and Agee & Leach, Inc. | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Stifel, Nicolaus & Company, Inc. | Stifel, Nicolaus & Company, Inc.
Aliases |
Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of The Northern Trust Company | The Northern Trust Company | Subsidiary of Public Company | 18-Jun-2015 | 18-Jun-2015 | Municipal Securities & Public Pensions |
| In the Matter of Kohlberg Kravis Roberts & Co. L.P. | Kohlberg Kravis Roberts & Co. L.P. | Subsidiary of Public Company | 29-Jun-2015 | 29-Jun-2015 | Investment Advisers/Investment Companies |
| In the Matter of Goldman, Sachs & Co. | Goldman, Sachs & Co. | Subsidiary of Public Company | 30-Jun-2015 | 30-Jun-2015 | Broker Dealer |
| In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton | ALPS Fund Services, Inc. | Subsidiary of Public Company | 01-Jul-2015 | 01-Jul-2015 | Issuer Reporting and Disclosure |
| In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton | Andrew C. Boynton | Individual | 01-Jul-2015 | 01-Jul-2015 | Issuer Reporting and Disclosure |
| In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton | Deloitte & Touche LLP | Other | 01-Jul-2015 | 01-Jul-2015 | Issuer Reporting and Disclosure |
| In the Matter of OZ Management, LP | OZ Management, LP | Subsidiary of Public Company | 14-Jul-2015 | 14-Jul-2015 | Broker Dealer |
| In the Matter of Arthur W. Lewis | Arthur W. Lewis | Individual | 23-Jul-2015 | 23-Jul-2015 | Broker Dealer |
| In the Matter of Scott A. Eisler | Scott A. Eisler | Individual | 23-Jul-2015 | 23-Jul-2015 | Broker Dealer |
| In the Matter of Mead Johnson Nutrition Company | Mead Johnson Nutrition Company | Public Company | 28-Jul-2015 | 28-Jul-2015 | Foreign Corrupt Practices Act |
| In the Matter of Christopher Edwards, CA | Christopher Edwards | Individual | 30-Jul-2015 | 30-Jul-2015 | Issuer Reporting and Disclosure |
| In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA | Carlton W. Vogt, III | Individual | 06-Aug-2015 | 12-Jan-2016 | Issuer Reporting and Disclosure |
| In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA | David M. Hall | Individual | 06-Aug-2015 | 12-Jan-2016 | Issuer Reporting and Disclosure |
| In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA | Miller Energy Resources, Inc. | Public Company | 06-Aug-2015 | 12-Jan-2016 | Issuer Reporting and Disclosure |
| In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA | Paul W. Boyd | Individual | 06-Aug-2015 | 12-Jan-2016 | Issuer Reporting and Disclosure |
| In the Matter of Dawn M. Schlegel, CPA | Dawn M. Schlegel | Individual | 07-Aug-2015 | Issuer Reporting and Disclosure | |
| In the Matter of DJSP Enterprises, Inc. | DJSP Enterprises, Inc. | Public Company | 12-Aug-2015 | 12-Aug-2015 | Issuer Reporting and Disclosure |
| In the Matter of ITG Inc. and Alternet Securities, Inc. | AlterNet Securities, Inc. | Subsidiary of Public Company | 12-Aug-2015 | 12-Aug-2015 | Broker Dealer |
| In the Matter of ITG Inc. and Alternet Securities, Inc. | ITG Inc. | Subsidiary of Public Company | 12-Aug-2015 | 12-Aug-2015 | Broker Dealer |
| In the Matter of Kumar Gursahaney | Kumar Gursahaney | Individual | 12-Aug-2015 | 12-Aug-2015 | Issuer Reporting and Disclosure |
| In the Matter of Vicente E. Garcia | Vincente E. Garcia | Individual | 12-Aug-2015 | 12-Aug-2015 | Foreign Corrupt Practices Act |
| In the Matter of Cory D. Williams | Cory D. Williams | Individual | 13-Aug-2015 | 13-Aug-2015 | Investment Advisers/Investment Companies |
| In the Matter of Signator Investors, Inc. and Gregory J. Mitchell | Gregory J. Mitchell | Individual | 13-Aug-2015 | 13-Aug-2015 | Investment Advisers/Investment Companies |
| In the Matter of Signator Investors, Inc. and Gregory J. Mitchell | Signator Investors, Inc. | Subsidiary of Public Company | 13-Aug-2015 | 13-Aug-2015 | Investment Advisers/Investment Companies |
| SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill | Colonial Tidewater Realty Income Partners, LLC | Other | 13-Aug-2015 | 20-Aug-2015 | Investment Advisers/Investment Companies |
| SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill | James R. Glover | Individual | 13-Aug-2015 | 20-Aug-2015 | Investment Advisers/Investment Companies |
| SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill | Sherman T. Hill | Individual | 13-Aug-2015 | 20-Aug-2015 | Investment Advisers/Investment Companies |
| In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. | Citigroup Alternative Investments LLC | Subsidiary of Public Company | 17-Aug-2015 | 17-Aug-2015 | Investment Advisers/Investment Companies |
| In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 17-Aug-2015 | 17-Aug-2015 | Investment Advisers/Investment Companies |
| In the Matter of The Bank of New York Mellon Corporation | Bank of New York Mellon Corporation
Aliases |
Public Company | 18-Aug-2015 | 18-Aug-2015 | Foreign Corrupt Practices Act |
| In the Matter of Citigroup Global Markets, Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 19-Aug-2015 | 19-Aug-2015 | Broker Dealer |
| In the Matter of Brian M. Bennett (f/k/a Brian M. Zentmyer) | Brian M. Bennett
Aliases |
Individual | 25-Aug-2015 | 25-Aug-2015 | Investment Advisers/Investment Companies |
| In the Matter of James R. Glover | James R. Glover | Individual | 25-Aug-2015 | 25-Aug-2015 | Investment Advisers/Investment Companies |
| In the Matter of Taberna Capital Management, LLC Michael Fralin and Raphael Licht | Michael Fralin | Individual | 02-Sep-2015 | 02-Sep-2015 | Investment Advisers/Investment Companies |
| In the Matter of Taberna Capital Management, LLC Michael Fralin and Raphael Licht | Raphael Licht | Individual | 02-Sep-2015 | 02-Sep-2015 | Investment Advisers/Investment Companies |
| In the Matter of Taberna Capital Management, LLC Michael Fralin and Raphael Licht | Taberna Capital Management, LLC | Subsidiary of Public Company | 02-Sep-2015 | 02-Sep-2015 | Investment Advisers/Investment Companies |
| In the Matter of Bankrate, Inc. | Bankrate Inc. | Public Company | 08-Sep-2015 | 08-Sep-2015 | Issuer Reporting and Disclosure |
| In the Matter of Hyunjin Lerner, CPA | Hyunjin Lerner | Individual | 08-Sep-2015 | 08-Sep-2015 | Issuer Reporting and Disclosure |
| SEC v. Edward DiMaria and Matthew Gamsey | Edward DiMaria | Individual | 08-Sep-2015 | 15-Aug-2017 | Issuer Reporting and Disclosure |
| SEC v. Edward DiMaria and Matthew Gamsey | Matthew Gamsey
Aliases |
Individual | 08-Sep-2015 | 15-Aug-2017 | Issuer Reporting and Disclosure |
| SEC v. Ross B. Shapiro, Michael A. Gramins, and Tyler G. Peters | Michael A. Gramins | Individual | 08-Sep-2015 | 03-Oct-2018 | Broker Dealer |
| SEC v. Ross B. Shapiro, Michael A. Gramins, and Tyler G. Peters | Ross B. Shapiro | Individual | 08-Sep-2015 | 03-Oct-2018 | Broker Dealer |
| SEC v. Ross B. Shapiro, Michael A. Gramins, and Tyler G. Peters | Tyler G. Peters | Individual | 08-Sep-2015 | 03-Oct-2018 | Broker Dealer |
| In the Matter of Edward Parker, CA | Edward Parker | Individual | 15-Sep-2015 | 15-Sep-2015 | Issuer Reporting and Disclosure |
| In the Matter of Wilfred Robert Sutcliffe | Wilfred Robert Sutcliffe | Individual | 15-Sep-2015 | 15-Sep-2015 | Issuer Reporting and Disclosure |
| In the Matter of Stein Mart, Inc. | Stein Mart, Inc. | Public Company | 22-Sep-2015 | 22-Sep-2015 | Issuer Reporting and Disclosure |
| In the Matter of Credit Suisse Securities (USA) LLC | Credit Suisse Securities (USA) LLC | Subsidiary of Public Company | 28-Sep-2015 | 28-Sep-2015 | Broker Dealer |
| SEC v. Hitachi, Ltd. | Hitachi Ltd. | Public Company | 28-Sep-2015 | 28-Sep-2015 | Foreign Corrupt Practices Act |
| In the Matter of Hyperdynamics Corporation | Hyperdynamics Corporation | Public Company | 29-Sep-2015 | 29-Sep-2015 | Issuer Reporting and Disclosure |
| In the Matter of Ramiro L. Colon, III | Ramiro L. Colon, III | Individual | 29-Sep-2015 | 29-Sep-2015 | Broker Dealer |
| In the Matter of UBS Financial Services Incorporated of Puerto Rico | UBS Financial Services Inc. of Puerto Rico | Subsidiary of Public Company | 29-Sep-2015 | 29-Sep-2015 | Broker Dealer |
| SEC v. Jose G. Ramirez, Jr. | Jose G. Ramirez, Jr. | Individual | 29-Sep-2015 | 31-Mar-2020 | Broker Dealer |
| In the Matter of BB&T Securities, LLC | BB&T Securities, LLC | Subsidiary of Public Company | 30-Sep-2015 | 30-Sep-2015 | Municipal Securities & Public Pensions |
| In the Matter of Comerica Securities, Inc. | Comerica Securities, Inc. | Subsidiary of Public Company | 30-Sep-2015 | 30-Sep-2015 | Municipal Securities & Public Pensions |
| In the Matter of Commerce Bank Capital Markets Group | Commerce Bank Capital Markets Group | Subsidiary of Public Company | 30-Sep-2015 | 30-Sep-2015 | Municipal Securities & Public Pensions |
| In the Matter of Fifth Third Securities, Inc. | Fifth Third Securities, Inc. | Subsidiary of Public Company | 30-Sep-2015 | 30-Sep-2015 | Municipal Securities & Public Pensions |
| In the Matter of Focus Media Holding Limited and Jason Jiang | Focus Media Holding Limited | Public Company | 30-Sep-2015 | 30-Sep-2015 | Issuer Reporting and Disclosure |
| In the Matter of Focus Media Holding Limited and Jason Jiang | Jason Jiang | Individual | 30-Sep-2015 | 30-Sep-2015 | Issuer Reporting and Disclosure |
| In the Matter of PNC Capital Markets LLC | PNC Capital Markets LLC | Subsidiary of Public Company | 30-Sep-2015 | 30-Sep-2015 | Municipal Securities & Public Pensions |
| In the Matter of U.S. Bank Municipal Securities Group, a Division of U.S. Bank National Association | U.S. Bank National Association | Subsidiary of Public Company | 30-Sep-2015 | 30-Sep-2015 | Municipal Securities & Public Pensions |
| In the Matter of UBS Financial Services Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 30-Sep-2015 | 30-Sep-2015 | Municipal Securities & Public Pensions |
| In the Matter of UMB Bank, N.A. Investment Banking Division | UMB Bank, N.A. | Subsidiary of Public Company | 30-Sep-2015 | 30-Sep-2015 | Municipal Securities & Public Pensions |
| In the Matter of Bristol-Myers Squibb Company | Bristol-Myers Squibb Company | Public Company | 05-Oct-2015 | 05-Oct-2015 | Foreign Corrupt Practices Act |
| In the Matter of Home Loan Servicing Solutions, Ltd. | Home Loan Servicing Solutions, Ltd. | Public Company | 05-Oct-2015 | 05-Oct-2015 | Issuer Reporting and Disclosure |
| In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C., and Blackstone Management Partners IV L.L.C. | Blackstone Management Partners III L.L.C. | Subsidiary of Public Company | 07-Oct-2015 | 07-Oct-2015 | Investment Advisers/Investment Companies |
| In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C., and Blackstone Management Partners IV L.L.C. | Blackstone Management Partners IV L.L.C. | Subsidiary of Public Company | 07-Oct-2015 | 07-Oct-2015 | Investment Advisers/Investment Companies |
| In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C., and Blackstone Management Partners IV L.L.C. | Blackstone Management Partners L.L.C. | Subsidiary of Public Company | 07-Oct-2015 | 07-Oct-2015 | Investment Advisers/Investment Companies |
| In the Matter of UBS AG | UBS AG | Public Company | 13-Oct-2015 | 13-Oct-2015 | Securities Offering |
| In the Matter of Harvest Capital Strategies LLC | Harvest Capital Strategies LLC | Subsidiary of Public Company | 14-Oct-2015 | 14-Oct-2015 | Securities Offering |
| In the Matter of J.P. Morgan Investment Management Inc. | J.P. Morgan Investment Management Inc. | Subsidiary of Public Company | 14-Oct-2015 | 14-Oct-2015 | Securities Offering |
| In the Matter of UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C. | UBS Fund Advisor L.L.C. | Subsidiary of Public Company | 16-Oct-2015 | 16-Oct-2015 | Investment Advisers/Investment Companies |
| In the Matter of UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C. | UBS Willow Management L.L.C. | Subsidiary of Public Company | 16-Oct-2015 | 16-Oct-2015 | Investment Advisers/Investment Companies |
| In the Matter of National Asset Management, Inc. | National Asset Management, Inc. | Subsidiary of Public Company | 26-Oct-2015 | 26-Oct-2015 | Investment Advisers/Investment Companies |
| In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA | J. Brian Salter | Individual | 27-Oct-2015 | 27-Oct-2015 | Issuer Reporting and Disclosure |
| In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA | Janna L. Connolly | Individual | 27-Oct-2015 | 27-Oct-2015 | Issuer Reporting and Disclosure |
| In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA | Phillip B. Jones | Individual | 27-Oct-2015 | 27-Oct-2015 | Issuer Reporting and Disclosure |
| In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA | The St. Joe Company | Public Company | 27-Oct-2015 | 27-Oct-2015 | Issuer Reporting and Disclosure |
| In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA | William Britton Greene | Individual | 27-Oct-2015 | 27-Oct-2015 | Issuer Reporting and Disclosure |
| In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA | William S. McCalmont | Individual | 27-Oct-2015 | 27-Oct-2015 | Issuer Reporting and Disclosure |
| In the Matter of Virtus Investment Advisers, Inc. | Virtus Investment Advisers, Inc. | Subsidiary of Public Company | 16-Nov-2015 | 16-Nov-2015 | Investment Advisers/Investment Companies |
| SEC (Plaintiff) v. Christopher Freeman Brogdon (Defendant) and Connie Brogdon, Tygh Brogdon, Brogdon Family LLC, Gordon Jensen Healthcare Association, Inc., JRT Group 2 Properties, LLC, Mobama Nursing, LLC, National Assistance Bureau, Inc., Saint Simons Healthcare, LLC , and Winter Haven Homes, Inc. (Relief Defendants) | Christopher Freeman Brogdon | Individual | 20-Nov-2015 | 18-Dec-2015 | Securities Offering |
| In the Matter of Grant Thornton, LLP | Grant Thornton, LLP | Other | 02-Dec-2015 | 02-Dec-2015 | Issuer Reporting and Disclosure |
| In the Matter of Melissa K. Koeppel, CPA, and Jeffrey J. Robinson, CPA | Jeffrey J. Robinson, CPA | Individual | 02-Dec-2015 | 02-Dec-2015 | Issuer Reporting and Disclosure |
| In the Matter of Melissa K. Koeppel, CPA, and Jeffrey J. Robinson, CPA | Melissa K. Koeppel, CPA | Individual | 02-Dec-2015 | 02-Dec-2015 | Issuer Reporting and Disclosure |
| In the Matter of Charles Loveless, CPA | Charles Loveless | Individual | 14-Dec-2015 | 14-Dec-2015 | Issuer Reporting and Disclosure |
| In the Matter of Michael McKenna, CPA | Michael McKenna | Individual | 14-Dec-2015 | 14-Dec-2015 | Issuer Reporting and Disclosure |
| In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 18-Dec-2015 | 18-Dec-2015 | Investment Advisers/Investment Companies |
| In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC | JPMorgan Chase Bank, N.A. | Subsidiary of Public Company | 18-Dec-2015 | 18-Dec-2015 | Investment Advisers/Investment Companies |
| In the Matter of KCG Americas LLC | KCG Americas LLC
Aliases |
Subsidiary of Public Company | 21-Dec-2015 | 21-Dec-2015 | Broker Dealer |
| In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang | Morgan Stanley Investment Management Inc. | Subsidiary of Public Company | 22-Dec-2015 | 22-Dec-2015 | Investment Advisers/Investment Companies |
| In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang | Sheila Huang | Individual | 22-Dec-2015 | 22-Dec-2015 | Investment Advisers/Investment Companies |
| In the Matter of SG Americas Securities LLC and Yimin Ge | SG Americas Securities LLC | Other | 22-Dec-2015 | 22-Dec-2015 | Broker Dealer |
| In the Matter of SG Americas Securities LLC and Yimin Ge | Yimin Ge | Individual | 22-Dec-2015 | 22-Dec-2015 | Broker Dealer |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 06-Jan-2016 | 06-Jan-2016 | Investment Advisers/Investment Companies |
| In the Matter of Goldman, Sachs & Co. | Goldman, Sachs & Co. | Subsidiary of Public Company | 14-Jan-2016 | 14-Jan-2016 | Broker Dealer |
| In the Matter of State Street Bank and Trust Company | State Street Bank and Trust Company | Subsidiary of Public Company | 14-Jan-2016 | 14-Jan-2016 | Municipal Securities & Public Pensions |
| In the Matter of Vincent J. DeBaggis | Vincent J. Debaggis | Individual | 14-Jan-2016 | 14-Jan-2016 | Municipal Securities & Public Pensions |
| SEC v. Robert B. Crowe | Robert B. Crowe | Individual | 14-Jan-2016 | 04-May-2017 | Municipal Securities & Public Pensions |
| In the Matter of Ocwen Financial Corp. | Ocwen Financial Corp. | Public Company | 20-Jan-2016 | 20-Jan-2016 | Issuer Reporting and Disclosure |
| In the Matter of Barclays Capital Inc. | Barclays Capital Inc. | Subsidiary of Public Company | 31-Jan-2016 | 31-Jan-2016 | Broker Dealer |
| In the Matter of Credit Suisse Securities (USA) LLC | Credit Suisse Securities (USA) LLC | Subsidiary of Public Company | 31-Jan-2016 | 31-Jan-2016 | Broker Dealer |
| In the Matter of Credit Suisse Securities (USA) LLC | Credit Suisse Securities (USA) LLC | Subsidiary of Public Company | 31-Jan-2016 | 31-Jan-2016 | Broker Dealer |
| In the Matter of SAP SE | SAP SE | Public Company | 01-Feb-2016 | 01-Feb-2016 | Foreign Corrupt Practices Act |
| In the Matter of Barclays Capital Inc. | Barclays Capital Inc. | Subsidiary of Public Company | 02-Feb-2016 | 02-Feb-2016 | Municipal Securities & Public Pensions |
| In the Matter of Hilltop Securities Inc. | Hilltop Securities Inc.
Aliases |
Subsidiary of Public Company | 02-Feb-2016 | 02-Feb-2016 | Municipal Securities & Public Pensions |
| In the Matter of Jefferies LLC | Jefferies LLC
Aliases |
Subsidiary of Public Company | 02-Feb-2016 | 02-Feb-2016 | Municipal Securities & Public Pensions |
| In the Matter of KeyBanc Capital Markets Inc. | KeyBanc Capital Markets Inc. | Subsidiary of Public Company | 02-Feb-2016 | 02-Feb-2016 | Municipal Securities & Public Pensions |
| In the Matter of Mitsubishi UFJ Securities (USA), Inc. | Mitsubishi UFJ Securities (USA), Inc. | Subsidiary of Public Company | 02-Feb-2016 | 02-Feb-2016 | Municipal Securities & Public Pensions |
| In the Matter of TD Securities (USA) LLC | TD Securities (USA) LLC | Subsidiary of Public Company | 02-Feb-2016 | 02-Feb-2016 | Municipal Securities & Public Pensions |
| In the Matter of Wells Fargo Bank, N.A. Municipal Products Group | Wells Fargo Bank and N.A. Municipal Products Group | Subsidiary of Public Company | 02-Feb-2016 | 02-Feb-2016 | Municipal Securities & Public Pensions |
| In the Matter of Ignacio Cueto Plaza | Ignacio Cueto Plaza | Individual | 04-Feb-2016 | 04-Feb-2016 | Foreign Corrupt Practices Act |
| In the Matter of SciClone Pharmaceuticals, Inc. | SciClone Pharmaceuticals, Inc. | Public Company | 04-Feb-2016 | 04-Feb-2016 | Foreign Corrupt Practices Act |
| In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas | Anthony P. Hartke | Individual | 09-Feb-2016 | 09-Feb-2016 | Issuer Reporting and Disclosure |
| In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas | Jonathan W. Nienas | Individual | 09-Feb-2016 | 09-Feb-2016 | Issuer Reporting and Disclosure |
| In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas | Monsanto Company | Public Company | 09-Feb-2016 | 09-Feb-2016 | Issuer Reporting and Disclosure |
| In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas | Sara M. Brunnquell | Individual | 09-Feb-2016 | 09-Feb-2016 | Issuer Reporting and Disclosure |
| In the Matter of Frazer Frost, LLP; Susan Woo, CPA; and Miranda Suen, CPA | Frazer Frost, LLP | Other | 11-Feb-2016 | 07-Jun-2016 | Issuer Reporting and Disclosure |
| In the Matter of Frazer Frost, LLP; Susan Woo, CPA; and Miranda Suen, CPA | Miranda Suen, CPA | Individual | 11-Feb-2016 | 07-Jun-2016 | Issuer Reporting and Disclosure |
| In the Matter of Frazer Frost, LLP; Susan Woo, CPA; and Miranda Suen, CPA | Susan Woo, CPA | Individual | 11-Feb-2016 | 07-Jun-2016 | Issuer Reporting and Disclosure |
| In the Matter of PTC Inc. | PTC Inc. | Public Company | 16-Feb-2016 | 16-Feb-2016 | Foreign Corrupt Practices Act |
| In the Matter of Charles P. Grom | Charles P. Grom | Individual | 17-Feb-2016 | 17-Feb-2016 | Broker Dealer |
| In the Matter of Donald J. Glidewell, CPA | Donald J. Glidewell | Individual | 17-Feb-2016 | 17-Feb-2016 | Issuer Reporting and Disclosure |
| In the Matter of Julieta Favela Barcenas | Julieta Favela Barcenas | Individual | 17-Feb-2016 | 17-Feb-2016 | Issuer Reporting and Disclosure |
| SEC v. Hector M. Absi, Jr. | Hector M. Absi, Jr. | Individual | 17-Feb-2016 | 31-Aug-2023 | Issuer Reporting and Disclosure |
| SEC v. Marrone Bio Innovations, Inc. | Marrone Bio Innovations | Public Company | 17-Feb-2016 | 17-Feb-2016 | Issuer Reporting and Disclosure |
| SEC v. VimpelCom Ltd | VimpelCom Ltd. | Public Company | 18-Feb-2016 | 18-Feb-2016 | Foreign Corrupt Practices Act |
| In the Matter of Cantella & Co. | Cantella & Co. | Other | 23-Feb-2016 | 23-Feb-2016 | Investment Advisers/Investment Companies |
| In the Matter of Jason Maiher | Jason Maiher | Individual | 23-Feb-2016 | 17-Aug-2016 | Broker Dealer |
| In the Matter of KeyBanc Capital Markets Inc. | KeyBanc Capital Markets Inc. | Subsidiary of Public Company | 29-Feb-2016 | 29-Feb-2016 | Broker Dealer |
| In the Matter of Qualcomm Incorporated | Qualcomm Incorporated | Public Company | 01-Mar-2016 | 01-Mar-2016 | Foreign Corrupt Practices Act |
| Deferred Prosecution Agreement with Bernard Thomas Marren | Bernard Thomas Marren | Individual | 03-Mar-2016 | 03-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of Mikhail Gourevitch | Mikhail Gourevitch | Individual | 03-Mar-2016 | 03-Mar-2016 | Foreign Corrupt Practices Act |
| In the Matter of Nordion (Canada) Inc. | Nordion (Canada) Inc. | Public Company | 03-Mar-2016 | 03-Mar-2016 | Foreign Corrupt Practices Act |
| In the Matter of First Southwest Company, LLC | First Southwest Company, LLC | Subsidiary of Public Company | 07-Mar-2016 | 07-Mar-2016 | Municipal Securities & Public Pensions |
| SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Canada, Keith W. Stokes, and James Michael Saul | James Michael Saul | Individual | 07-Mar-2016 | 07-Mar-2016 | Municipal Securities & Public Pensions |
| SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Canada, Keith W. Stokes, and James Michael Saul | Keith W. Stokes | Individual | 07-Mar-2016 | 07-Mar-2016 | Municipal Securities & Public Pensions |
| SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Canada, Keith W. Stokes, and James Michael Saul | Peter M. Cannava | Individual | 07-Mar-2016 | 07-Mar-2016 | Municipal Securities & Public Pensions |
| SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Canada, Keith W. Stokes, and James Michael Saul | Wells Fargo Securities LLC
Aliases |
Subsidiary of Public Company | 07-Mar-2016 | 07-Mar-2016 | Municipal Securities & Public Pensions |
| SEC v. Reed J. Killion, Jeffrey W. Tomz, and Uni-Pixel, Inc. | Jeffrey W. Tomz | Individual | 09-Mar-2016 | 09-Mar-2016 | Issuer Reporting and Disclosure |
| SEC v. Reed J. Killion, Jeffrey W. Tomz, and Uni-Pixel, Inc. | Reed J. Killion | Individual | 09-Mar-2016 | 09-Mar-2016 | Issuer Reporting and Disclosure |
| SEC v. Reed J. Killion, Jeffrey W. Tomz, and Uni-Pixel, Inc. | Uni-Pixel, Inc. | Public Company | 09-Mar-2016 | 09-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of David S. Krueger, CPA | David S. Krueger, CPA | Individual | 10-Mar-2016 | 10-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of Joseph R. Allred, CPA | Joseph R. Allred, CPA | Individual | 10-Mar-2016 | 10-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of Magnum Hunter Resources Corporation | Magnum Hunter Resources Corporation | Public Company | 10-Mar-2016 | 10-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of Ronald D. Ormand | Ronald D. Ormand | Individual | 10-Mar-2016 | 10-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of Wayne Gray, CPA | Wayne Gray, CPA | Individual | 10-Mar-2016 | 10-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation | FSC Securities Corporation | Subsidiary of Public Company | 14-Mar-2016 | 14-Mar-2016 | Investment Advisers/Investment Companies |
| In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation | Royal Alliance Associates, Inc. | Subsidiary of Public Company | 14-Mar-2016 | 14-Mar-2016 | Investment Advisers/Investment Companies |
| In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation | SagePoint Financial, Inc. | Subsidiary of Public Company | 14-Mar-2016 | 14-Mar-2016 | Investment Advisers/Investment Companies |
| In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable | Catherine L. Venable | Individual | 15-Mar-2016 | 15-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable | Joseph C. Lawler | Individual | 15-Mar-2016 | 15-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable | ModusLink Global Solutions, Inc. | Public Company | 15-Mar-2016 | 15-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable | Steven G. Crane | Individual | 15-Mar-2016 | 15-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of Novartis AG | Novartis AG | Public Company | 23-Mar-2016 | 23-Mar-2016 | Foreign Corrupt Practices Act |
| SEC v. AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer | AVEO Pharmaceuticals, Inc. | Public Company | 29-Mar-2016 | 29-Mar-2016 | Issuer Reporting and Disclosure |
| SEC v. AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer | David Johnston | Individual | 29-Mar-2016 | 29-Mar-2016 | Issuer Reporting and Disclosure |
| SEC v. AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer | Tuan Ha-Ngoc | Individual | 29-Mar-2016 | 29-Mar-2016 | Issuer Reporting and Disclosure |
| SEC v. AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer | William Slichenmyer | Individual | 29-Mar-2016 | 29-Mar-2016 | Issuer Reporting and Disclosure |
| In the Matter of Navistar International Corporation | Navistar International Corporation
Aliases |
Public Company | 31-Mar-2016 | 31-Mar-2016 | Issuer Reporting and Disclosure |
| SEC v. Daniel C. Ustian | Daniel C. Ustian | Individual | 31-Mar-2016 | 27-Feb-2020 | Issuer Reporting and Disclosure |
| In the Matter of Las Vegas Sands Corp. | Las Vegas Sands Corp. | Public Company | 07-Apr-2016 | 07-Apr-2016 | Foreign Corrupt Practices Act |
| In the Matter of INTL FCStone Inc. | INTL FCStone Inc. | Public Company | 12-Apr-2016 | 12-Apr-2016 | Issuer Reporting and Disclosure |
| SEC v. Khaled "Kal" Bassily | Khaled "Kal" Bassily | Individual | 12-Apr-2016 | 21-Dec-2017 | Broker Dealer |
| SEC v. Erik K. Bardman, and Jennifer F. Wolf | Erik K. Bardman | Individual | 18-Apr-2016 | 06-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Erik K. Bardman, and Jennifer F. Wolf | Jennifer F. Wolf | Individual | 18-Apr-2016 | 06-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of Ener 1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke | Charles L. Gassenheimer | Individual | 19-Apr-2016 | 19-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Ener 1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke | Ener1, Inc. | Public Company | 19-Apr-2016 | 19-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Ener 1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke | Jeffrey A. Seidel | Individual | 19-Apr-2016 | 19-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Ener 1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke | Robert R. Kamischke | Individual | 19-Apr-2016 | 19-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Logitech International, S.A., Michael Docktorczyk, and Sherralyn Bolles, CPA | Logitech International, S.A. | Public Company | 19-Apr-2016 | 19-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Logitech International, S.A., Michael Docktorczyk, and Sherralyn Bolles, CPA | Michael Doktorczyk | Individual | 19-Apr-2016 | 19-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Logitech International, S.A., Michael Docktorczyk, and Sherralyn Bolles, CPA | Sherralyn Bolles | Individual | 19-Apr-2016 | 19-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Robert D. Hesselgesser, CPA | Robert D. Hesselgesser | Individual | 19-Apr-2016 | 19-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Cabela's Incorporated and Ralph W. Castner, CPA | Cabela's Incorporated | Public Company | 26-Apr-2016 | 26-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Cabela's Incorporated and Ralph W. Castner, CPA | Ralph W. Castner | Individual | 26-Apr-2016 | 26-Apr-2016 | Issuer Reporting and Disclosure |
| In the Matter of Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA | Joseph A. Scolaro, CPA | Individual | 29-Apr-2016 | 29-Apr-2016 | Investment Advisers/Investment Companies |
| In the Matter of Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA | Santos, Postal & Company, P.C. | Other | 29-Apr-2016 | 29-Apr-2016 | Investment Advisers/Investment Companies |
| SEC v. Ross I. McLellan | Ross I. McLellan | Individual | 13-May-2016 | 17-Jun-2024 | Broker Dealer |
| In the Matter of Swisher Hygiene Inc. | Swisher Hygiene Inc. | Public Company | 24-May-2016 | 24-May-2016 | Issuer Reporting and Disclosure |
| SEC v. John Pierrard | John Pierrard | Individual | 24-May-2016 | 24-May-2016 | Issuer Reporting and Disclosure |
| SEC v. Michael J. Kipp and Joanne K. Viard | Joanne K. Viard
Aliases |
Individual | 24-May-2016 | 11-Feb-2019 | Issuer Reporting and Disclosure |
| SEC v. Michael J. Kipp and Joanne K. Viard | Michael J. Kipp | Individual | 24-May-2016 | 11-Feb-2019 | Issuer Reporting and Disclosure |
| In the Matter of Federated Global Investment Management Corp. | Federated Global Investment Management Corp. | Subsidiary of Public Company | 27-May-2016 | 27-May-2016 | Investment Advisers/Investment Companies |
| Non-Prosecution Agreement with Akamai Technologies, Inc. | Akamai Technologies, Inc. | Public Company | 07-Jun-2016 | 07-Jun-2016 | Foreign Corrupt Practices Act |
| Non-Prosecution Agreement with Nortek, Inc. | Nortek, Inc. | Public Company | 07-Jun-2016 | 07-Jun-2016 | Foreign Corrupt Practices Act |
| In the Matter of Galen J. Marsh | Galen J. Marsh | Individual | 08-Jun-2016 | 08-Jun-2016 | Broker Dealer |
| In the Matter of IEC Electronics Corp., Ronald J. Years, CPA, and Donald S. Doody | Donald S. Doody | Individual | 08-Jun-2016 | 08-Jun-2016 | Issuer Reporting and Disclosure |
| In the Matter of IEC Electronics Corp., Ronald J. Years, CPA, and Donald S. Doody | IEC Electronics Corp. | Public Company | 08-Jun-2016 | 08-Jun-2016 | Issuer Reporting and Disclosure |
| In the Matter of IEC Electronics Corp., Ronald J. Years, CPA, and Donald S. Doody | Ronald J. Years, CPA | Individual | 08-Jun-2016 | 08-Jun-2016 | Issuer Reporting and Disclosure |
| In the Matter of Morgan Stanley Smith Barney LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 08-Jun-2016 | 08-Jun-2016 | Broker Dealer |
| In the Matter of The Bank of New York Mellon | The Bank of New York Mellon
Aliases |
Subsidiary of Public Company | 13-Jun-2016 | 13-Jun-2016 | Investment Advisers/Investment Companies |
| SEC v. Andrew K. Proctor, and Atlas JG, LLC | Andrew K. Proctor | Individual | 14-Jun-2016 | 16-Jun-2016 | Securities Offering |
| SEC v. Andrew K. Proctor, and Atlas JG, LLC | Atlas JG, LLC | Other | 14-Jun-2016 | 16-Jun-2016 | Securities Offering |
| In the Matter of Analogic Corporation and Lars Frost | Analogic Corporation | Public Company | 21-Jun-2016 | 21-Jun-2016 | Foreign Corrupt Practices Act |
| In the Matter of Analogic Corporation and Lars Frost | Lars Frost | Individual | 21-Jun-2016 | 21-Jun-2016 | Foreign Corrupt Practices Act |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 23-Jun-2016 | 23-Jun-2016 | Securities Offering |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. | Merrill Lynch Professional Clearing Corporation | Subsidiary of Public Company | 23-Jun-2016 | 23-Jun-2016 | Broker Dealer |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 23-Jun-2016 | 23-Jun-2016 | Broker Dealer |
| In the Matter of William Tirrell | William Tirrell | Individual | 23-Jun-2016 | Broker Dealer | |
| SEC v. Michael P. Toups, and Longwei Petroleum Investment Holding Limited | Longwei Petroleum Investment Holding Limited | Public Company | 27-Jun-2016 | 21-Dec-2017 | Issuer Reporting and Disclosure |
| SEC v. Michael P. Toups, and Longwei Petroleum Investment Holding Limited | Michael Toups | Individual | 27-Jun-2016 | 21-Dec-2017 | Issuer Reporting and Disclosure |
| In the Matter of Johnson Controls, Inc. | Johnson Controls, Inc. | Public Company | 11-Jul-2016 | 11-Jul-2016 | Foreign Corrupt Practices Act |
| In the Matter of Citigroup Global Markets, Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 12-Jul-2016 | 12-Jul-2016 | Broker Dealer |
| In the Matter of The Phoenix Companies, Inc. | The Phoenix Companies Inc.
Aliases |
Public Company | 15-Jul-2016 | 15-Jul-2016 | Issuer Reporting and Disclosure |
| In the Matter of Washington Wealth Management, LLC | Washington Wealth Management, LLC | Subsidiary of Public Company | 18-Jul-2016 | 18-Jul-2016 | Investment Advisers/Investment Companies |
| In the Matter of LAN Airlines S.A. | LAN Airlines S.A. | Public Company | 25-Jul-2016 | 25-Jul-2016 | Foreign Corrupt Practices Act |
| In the Matter of State Street Bank and Trust Company | State Street Bank and Trust Company | Subsidiary of Public Company | 26-Jul-2016 | 12-Dec-2016 | Investment Advisers/Investment Companies |
| SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC | Global Transition Solutions, Inc. | Other | 08-Aug-2016 | 21-Apr-2017 | Broker Dealer |
| SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC | Global Transition Solutions, LLC | Other | 08-Aug-2016 | 21-Apr-2017 | Broker Dealer |
| SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC | John P. Kirk | Individual | 08-Aug-2016 | 21-Apr-2017 | Broker Dealer |
| SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC | John T. Place | Individual | 08-Aug-2016 | 21-Apr-2017 | Broker Dealer |
| SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC | Paul G. Kirk | Individual | 08-Aug-2016 | 21-Apr-2017 | Broker Dealer |
| In the Matter of Blue Linx Holdings Inc. | BlueLinx Holdings Inc. | Public Company | 10-Aug-2016 | 10-Aug-2016 | Other |
| In the Matter of Key Energy Services, Inc. | Key Energy Services, Inc. | Public Company | 11-Aug-2016 | 11-Aug-2016 | Foreign Corrupt Practices Act |
| In the Matter of Health Net, Inc. | Health Net, Inc. | Public Company | 16-Aug-2016 | 16-Aug-2016 | Other |
| In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. | Apollo Commodities Management, L.P. | Subsidiary of Public Company | 23-Aug-2016 | 23-Aug-2016 | Investment Advisers/Investment Companies |
| In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. | Apollo Management V, L.P. | Subsidiary of Public Company | 23-Aug-2016 | 23-Aug-2016 | Investment Advisers/Investment Companies |
| In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. | Apollo Management VI, L.P | Subsidiary of Public Company | 23-Aug-2016 | 23-Aug-2016 | Investment Advisers/Investment Companies |
| In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. | Apollo Management VII, L.P. | Subsidiary of Public Company | 23-Aug-2016 | 23-Aug-2016 | Investment Advisers/Investment Companies |
| In the Matter of Casella Waste Systems, Inc. | Casella Waste Systems, Inc. | Public Company | 24-Aug-2016 | 24-Aug-2016 | Municipal Securities & Public Pensions |
| In the Matter of WL Ross & Co. LLC | WL Ross & Co. LLC | Subsidiary of Public Company | 24-Aug-2016 | 24-Aug-2016 | Investment Advisers/Investment Companies |
| In the Matter BB&T Securities, LLC | BB&T Securities, LLC | Subsidiary of Public Company | 25-Aug-2016 | 25-Aug-2016 | Investment Advisers/Investment Companies |
| In the Matter of AssetMark, INc. (f/k/a Genworth Financial Wealth Management, Inc. | AssetMark, Inc. (f/k/a Genworth Financial Wealth Management, Inc.) | Subsidiary of Public Company | 25-Aug-2016 | 25-Aug-2016 | Investment Advisers/Investment Companies |
| In the Matter of Constellation Wealth Advisors | Constellation Wealth Advisors LLC | Subsidiary of Public Company | 25-Aug-2016 | 25-Aug-2016 | Investment Advisers/Investment Companies |
| In the Matter of Ladenburg Thalmann Asset Managemet Inc. | Ladenburg Thalmann Asset Management Inc. | Subsidiary of Public Company | 25-Aug-2016 | 25-Aug-2016 | Investment Advisers/Investment Companies |
| In the Matter of AstraZeneca PLC | AstraZeneca PLC | Public Company | 30-Aug-2016 | 30-Aug-2016 | Foreign Corrupt Practices Act |
| In the Matter of RBC Capital Markets, LLC | RBC Capital Markets, LLC
Aliases |
Subsidiary of Public Company | 31-Aug-2016 | 31-Aug-2016 | Issuer Reporting and Disclosure |
| In the Matter of Raymond James & Associates, Inc. | Raymond James & Associates, Inc. | Subsidiary of Public Company | 08-Sep-2016 | 08-Sep-2016 | Investment Advisers/Investment Companies |
| SEC v. Brian S. Block and Lisa Pavelka McAlister | Brian S. Block | Individual | 08-Sep-2016 | 11-Jan-2018 | Issuer Reporting and Disclosure |
| SEC v. Brian S. Block and Lisa Pavelka McAlister | Lisa Pavelka McAlister | Individual | 08-Sep-2016 | 11-Jan-2018 | Issuer Reporting and Disclosure |
| In the Matter of BOKF, NA | BOKF, NA | Subsidiary of Public Company | 09-Sep-2016 | 09-Sep-2016 | Securities Offering |
| SEC v. Marrien Neilson | Marrien Neilson | Individual | 09-Sep-2016 | 03-Mar-2017 | Securities Offering |
| SEC v. RPM International Inc. and Edward W. Moore | Edward W. Moore | Individual | 09-Sep-2016 | 22-Dec-2020 | Issuer Reporting and Disclosure |
| SEC v. RPM International Inc. and Edward W. Moore | RPM International, Inc. | Public Company | 09-Sep-2016 | 22-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Portugal Telecom, SGPS, S.A., now known as Pharol SGPS, S.A. | Portugal Telecom SGPS S.A. | Public Company | 13-Sep-2016 | 13-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Nu Skin Enterprises, Inc. | Nu Skin Enterprises, Inc. | Public Company | 20-Sep-2016 | 20-Sep-2016 | Foreign Corrupt Practices Act |
| In the Matter of Park National Corporation | Park National Corporation | Public Company | 21-Sep-2016 | 21-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Wilmington Savings Fund Society, FSB | Wilmington Savings Fund Society, FSB | Subsidiary of Public Company | 22-Sep-2016 | 22-Sep-2016 | Transfer Agent |
| In the Matter of Aviva Investors Americas, LLC, as the successor entity to Aviva Investors North America, Inc. | Aviva Investors Americas, LLC | Subsidiary of Public Company | 23-Sep-2016 | 23-Sep-2016 | Investment Advisers/Investment Companies |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 26-Sep-2016 | 26-Sep-2016 | Broker Dealer |
| SEC v. Mard, Inc. F/K/A KiOR, Inc. and Fred H. Cannon, Jr. | Fred H. Cannon, Jr. | Individual | 26-Sep-2016 | 26-Sep-2016 | Securities Offering |
| SEC v. Mard, Inc. F/K/A KiOR, Inc. and Fred H. Cannon, Jr. | Mard, Inc.
Aliases |
Public Company | 26-Sep-2016 | 26-Sep-2016 | Securities Offering |
| In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA | Bradley S. Everly | Individual | 27-Sep-2016 | 27-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA | Douglas P. Barton | Individual | 27-Sep-2016 | 27-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA | Jeffrey W. Embly | Individual | 27-Sep-2016 | 27-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA | Orrstown Financial Services, Inc. | Public Company | 27-Sep-2016 | 27-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA | Thomas R. Quinn | Individual | 27-Sep-2016 | 27-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Weatherford International plc, F/K/A Weatherford International Ltd., James Hudgins, CPA, and and Darryl Kitay, CPA | Darryl Kitay | Individual | 27-Sep-2016 | 27-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Weatherford International plc, F/K/A Weatherford International Ltd., James Hudgins, CPA, and and Darryl Kitay, CPA | James Hudgins | Individual | 27-Sep-2016 | 27-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Weatherford International plc, F/K/A Weatherford International Ltd., James Hudgins, CPA, and and Darryl Kitay, CPA | Weatherford International plc
Aliases |
Public Company | 27-Sep-2016 | 27-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of Anheuser-Busch InBev SA/NV | Anheuser-Busch InBev SA/NV | Public Company | 28-Sep-2016 | 28-Sep-2016 | Foreign Corrupt Practices Act |
| In the Matter of UBS Financial Services Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 28-Sep-2016 | 28-Sep-2016 | Broker Dealer |
| In the Matter of Altair Nanotechnologies, Inc. | Altair Nanotechnologies, Inc. | Public Company | 29-Sep-2016 | 29-Sep-2016 | Issuer Reporting and Disclosure |
| In the Matter of International Game Technology | International Game Technology | Subsidiary of Public Company | 29-Sep-2016 | 29-Sep-2016 | Other |
| In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank | Daniel S. Och | Individual | 29-Sep-2016 | 29-Sep-2016 | Foreign Corrupt Practices Act |
| In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank | Joel M. Frank | Individual | 29-Sep-2016 | 29-Sep-2016 | Foreign Corrupt Practices Act |
| In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank | Och-Ziff Capital Management Group LLC
Aliases |
Public Company | 29-Sep-2016 | 29-Sep-2016 | Foreign Corrupt Practices Act |
| In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank | OZ Management, LP | Subsidiary of Public Company | 29-Sep-2016 | 29-Sep-2016 | Foreign Corrupt Practices Act |
| In the Matter of GlaxoSmithKline plc | GlaxoSmithKline plc | Public Company | 30-Sep-2016 | 30-Sep-2016 | Foreign Corrupt Practices Act |
| In the Matter of Credit Suisse AG | Credit Suisse AG | Subsidiary of Public Company | 05-Oct-2016 | 05-Oct-2016 | Issuer Reporting and Disclosure |
| In the Matter of Rolf Bögli | Rolf Bögli | Individual | 05-Oct-2016 | 05-Oct-2016 | Issuer Reporting and Disclosure |
| In the Matter of Deutsche Bank Securities Inc. | Deutsche Bank Securities, Inc.
Aliases |
Subsidiary of Public Company | 12-Oct-2016 | 12-Oct-2016 | Broker Dealer |
| SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina | James G. Smith | Individual | 17-Oct-2016 | 17-Oct-2016 | Issuer Reporting and Disclosure |
| SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina | Joaquin Alberto Dos Santos Almeida | Individual | 17-Oct-2016 | 17-Oct-2016 | Issuer Reporting and Disclosure |
| SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina | Julianne M. Chandler | Individual | 17-Oct-2016 | 17-Oct-2016 | Issuer Reporting and Disclosure |
| SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina | Karan Raina | Individual | 17-Oct-2016 | 17-Oct-2016 | Issuer Reporting and Disclosure |
| SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina | Lime Energy Co. | Public Company | 17-Oct-2016 | 17-Oct-2016 | Issuer Reporting and Disclosure |
| In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA | Craig R. Fronckiewicz | Individual | 18-Oct-2016 | 18-Oct-2016 | Issuer Reporting and Disclosure |
| In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA | Ernst & Young LLP | Other | 18-Oct-2016 | 18-Oct-2016 | Issuer Reporting and Disclosure |
| In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA | Sarah E. Adams | Individual | 18-Oct-2016 | 18-Oct-2016 | Issuer Reporting and Disclosure |
| In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA | FMC Technologies, Inc. | Public Company | 20-Oct-2016 | 20-Oct-2016 | Issuer Reporting and Disclosure |
| In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA | Jeffrey Favret | Individual | 20-Oct-2016 | 20-Oct-2016 | Issuer Reporting and Disclosure |
| In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA | Steven K. Croft | Individual | 20-Oct-2016 | 20-Oct-2016 | Issuer Reporting and Disclosure |
| In the Matter of Julianne M. Chandler | Julianne M. Chandler | Individual | 21-Oct-2016 | 21-Oct-2016 | Issuer Reporting and Disclosure |
| SEC v. Embraer S.A. | Embraer S.A. | Public Company | 24-Oct-2016 | 24-Oct-2016 | Foreign Corrupt Practices Act |
| In the Matter of PowerSecure International, Inc. | Powersecure International, Inc. | Subsidiary of Public Company | 07-Nov-2016 | 07-Nov-2016 | Issuer Reporting and Disclosure |
| In the Matter of JPMorgan Chase & Co. | JPMorgan Chase & Co. | Public Company | 17-Nov-2016 | 17-Nov-2016 | Foreign Corrupt Practices Act |
| In the Matter of United Continental Holdings, Inc. | United Continental Holdings, Inc. | Public Company | 02-Dec-2016 | 02-Dec-2016 | Issuer Reporting and Disclosure |
| In the Matter of KPMG LLP | KPMG LLP | Other | 06-Dec-2016 | 06-Dec-2016 | Issuer Reporting and Disclosure |
| In the Matter of David W. Noack | David W. Noack | Individual | 07-Dec-2016 | 07-Dec-2016 | Municipal Securities & Public Pensions |
| In the Matter of Deutsche Bank Securities Inc. | Deutsche Bank Securities, Inc.
Aliases |
Subsidiary of Public Company | 16-Dec-2016 | 16-Dec-2016 | Broker Dealer |
| In the Matter of NeuStar, Inc. | NeuStar, Inc. | Public Company | 19-Dec-2016 | 19-Dec-2016 | Other |
| In the Matter of Morgan Stanley & Co. LLC | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 20-Dec-2016 | 20-Dec-2016 | Broker Dealer |
| In the Matter of SandRidge Energy, Inc., | SandRidge Energy, Inc. | Public Company | 20-Dec-2016 | 20-Dec-2016 | Other |
| In the Matter of Jack Henry & Associates, Inc. | Jack Henry & Associates, Inc. | Public Company | 21-Dec-2016 | 21-Dec-2016 | Issuer Reporting and Disclosure |
| SEC v. Braskem, S.A. | Braskem, S.A. | Public Company | 21-Dec-2016 | 21-Dec-2016 | Foreign Corrupt Practices Act |
| In the Matter of Alok Saraf, CA | Alok Saraf, CA | Individual | 22-Dec-2016 | 22-Dec-2016 | Issuer Reporting and Disclosure |
| In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited | Badree Komandur | Individual | 22-Dec-2016 | 22-Dec-2016 | Issuer Reporting and Disclosure |
| In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited | Satish Arunachalam, CA | Individual | 22-Dec-2016 | 22-Dec-2016 | Issuer Reporting and Disclosure |
| In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited | Wipro Limited | Public Company | 22-Dec-2016 | 22-Dec-2016 | Issuer Reporting and Disclosure |
| SEC v. Teva Pharmaceutical Industries Ltd. | Teva Pharmaceutical Industries Limited | Public Company | 22-Dec-2016 | 22-Dec-2016 | Foreign Corrupt Practices Act |
| In the Matter of General Cable Corporation | General Cable Corporation | Public Company | 29-Dec-2016 | 29-Dec-2016 | Issuer Reporting and Disclosure |
| In the Matter of General Cable Corporation | General Cable Corporation | Public Company | 29-Dec-2016 | 29-Dec-2016 | Foreign Corrupt Practices Act |
| In the Matter of Karl J. Zimmer | Karl J. Zimmer | Individual | 29-Dec-2016 | 29-Dec-2016 | Foreign Corrupt Practices Act |
| In the Matter of Cadbury Limited and Mondelēz International, Inc. | Cadbury Limited | Subsidiary of Public Company | 06-Jan-2017 | 06-Jan-2017 | Foreign Corrupt Practices Act |
| In the Matter of Cadbury Limited and Mondelēz International, Inc. | Mondelēz International, Inc. | Public Company | 06-Jan-2017 | 06-Jan-2017 | Foreign Corrupt Practices Act |
| In the Matter of L3 Technologies, Inc. | L3 Technologies, Inc. | Public Company | 11-Jan-2017 | 11-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Biomet, Inc. | Biomet Inc.
Aliases |
Subsidiary of Public Company | 12-Jan-2017 | 12-Jan-2017 | Foreign Corrupt Practices Act |
| In the Matter of ITG Inc. | ITG Inc. | Subsidiary of Public Company | 12-Jan-2017 | 12-Jan-2017 | Broker Dealer |
| In the Matter of The Bank of New York Mellon Corporation | Bank of New York Mellon Corporation
Aliases |
Public Company | 12-Jan-2017 | 12-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Morgan Stanley Smith Barney, LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 13-Jan-2017 | 13-Jan-2017 | Investment Advisers/Investment Companies |
| In the Matter of Sociedad Quimica y Minera de Chile, S.A. | Sociedad Quimica Y Minera De Chile and S.A. | Public Company | 13-Jan-2017 | 13-Jan-2017 | Foreign Corrupt Practices Act |
| In the Matter of Allergan, Inc. | Allergan, Inc. | Subsidiary of Public Company | 17-Jan-2017 | 17-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of BlackRock, Inc. | BlackRock, Inc. | Public Company | 17-Jan-2017 | 17-Jan-2017 | Other |
| In the Matter of Brian McCollum | Brian McCollum | Individual | 18-Jan-2017 | 18-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Eytan Bar | Eytan Bar | Individual | 18-Jan-2017 | 18-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of General Motors Company | General Motors Company
Aliases |
Public Company | 18-Jan-2017 | 18-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Jeffrey Hammel, CPA | Jeffrey Hammel | Individual | 18-Jan-2017 | 18-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Kenneth Mack and Bryan McMillan | Bryan McMillan | Individual | 18-Jan-2017 | 18-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Kenneth Mack and Bryan McMillan | Kenneth Mack | Individual | 18-Jan-2017 | 18-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of MDC Partners Inc. | MDC Partners Inc. | Public Company | 18-Jan-2017 | 18-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Mer Telemanagement Solutions Ltd. | Mer Telemanagement Solutions Ltd. | Public Company | 18-Jan-2017 | 18-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Orthofix International N.V. | Orthofix International N.V. | Public Company | 18-Jan-2017 | 18-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Orthofix International N.V. | Orthofix International N.V. | Public Company | 18-Jan-2017 | 18-Jan-2017 | Foreign Corrupt Practices Act |
| In the Matter of HomeStreet, Inc. and Darrell van Amen | Darrell Van Amen | Individual | 19-Jan-2017 | 19-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of HomeStreet, Inc. and Darrell van Amen | HomeStreet, Inc. | Public Company | 19-Jan-2017 | 19-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin | Myles Robert Itkin | Individual | 23-Jan-2017 | 23-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin | Overseas Shipholding Group, Inc. | Public Company | 23-Jan-2017 | 23-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Citigroup Global Markets, Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 24-Jan-2017 | 24-Jan-2017 | Broker Dealer |
| In the Matter of Morgan Stanley Smith Barney LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 24-Jan-2017 | 24-Jan-2017 | Broker Dealer |
| SEC v. Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez | Jose Antonio Miranda Gonzalez | Individual | 24-Jan-2017 | 24-Jan-2017 | Issuer Reporting and Disclosure |
| SEC v. Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez | Maria D. Cidre | Individual | 24-Jan-2017 | 24-Jan-2017 | Issuer Reporting and Disclosure |
| SEC v. Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez | Mathias Francisco Sandoval Herrera | Individual | 24-Jan-2017 | 24-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA | Anderson Bradshaw PLLC | Other | 26-Jan-2017 | 26-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA | Russell E. Anderson, CPA
Aliases |
Individual | 26-Jan-2017 | 26-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA | Sandra Chen, CPA | Individual | 26-Jan-2017 | 26-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA | William Denney, CPA | Individual | 26-Jan-2017 | 26-Jan-2017 | Issuer Reporting and Disclosure |
| In the Matter of Citigroup Global Markets, Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 26-Jan-2017 | 26-Jan-2017 | Investment Advisers/Investment Companies |
| SEC v. Michael L. Cohen and Vanya Baros | Michael L. Cohen | Individual | 26-Jan-2017 | 13-Jul-2018 | Foreign Corrupt Practices Act |
| SEC v. Michael L. Cohen and Vanya Baros | Vanya Baros | Individual | 26-Jan-2017 | 13-Jul-2018 | Foreign Corrupt Practices Act |
| In the Matter of Ixia and Victor Alston | Ixia | Public Company | 03-Feb-2017 | 03-Feb-2017 | Issuer Reporting and Disclosure |
| In the Matter of Ixia and Victor Alston | Victor Alston | Individual | 03-Feb-2017 | 03-Feb-2017 | Issuer Reporting and Disclosure |
| SEC v. Barry F. Connell | Barry F. Connell | Individual | 03-Feb-2017 | 30-Dec-2020 | Investment Advisers/Investment Companies |
| SEC v. Thomas Miller and William Liang | Thomas Miller | Individual | 03-Feb-2017 | 14-Feb-2019 | Issuer Reporting and Disclosure |
| SEC v. Thomas Miller and William Liang | William Liang | Individual | 03-Feb-2017 | 14-Feb-2019 | Issuer Reporting and Disclosure |
| In the Matter of Columbia Management Investment Services Corp. | Columbia Management Investment Services Corp. | Subsidiary of Public Company | 10-Feb-2017 | 10-Feb-2017 | Transfer Agent |
| In the Matter of CVR Energy, Inc. | CVR Energy, Inc. | Public Company | 14-Feb-2017 | 14-Feb-2017 | Issuer Reporting and Disclosure |
| In the Matter of Morgan Stanley Smith Barney, LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 14-Feb-2017 | 14-Feb-2017 | Investment Advisers/Investment Companies |
| SEC v. Desarrolladora Homex, S.A.B. de C.V. | Desarrolladora Homex S.A.B. de C.V | Public Company | 03-Mar-2017 | 03-Mar-2017 | Issuer Reporting and Disclosure |
| In the Matter of Voya Financial Advisors, Inc. | Voya Financial Advisors, Inc. | Subsidiary of Public Company | 08-Mar-2017 | 08-Mar-2017 | Investment Advisers/Investment Companies |
| In the Matter of Stifel, Nicolaus & Company, Incorporated | Stifel, Nicolaus & Company, Inc.
Aliases |
Subsidiary of Public Company | 13-Mar-2017 | 13-Mar-2017 | Investment Advisers/Investment Companies |
| In the Matter of Advanced Emissions Solutions, Inc. | Advanced Emissions Solutions, Inc. | Public Company | 29-Mar-2017 | 29-Mar-2017 | Issuer Reporting and Disclosure |
| SEC v. Mark McKinnies | Mark McKinnies | Individual | 29-Mar-2017 | 29-Mar-2017 | Issuer Reporting and Disclosure |
| In the Matter of Credit Suisse Securities (USA) LLC | Credit Suisse Securities (USA) LLC | Subsidiary of Public Company | 04-Apr-2017 | 04-Apr-2017 | Investment Advisers/Investment Companies |
| In the Matter of Sanford Michael Katz | Sanford Michael Katz | Individual | 04-Apr-2017 | 04-Apr-2017 | Investment Advisers/Investment Companies |
| In the Matter of Lawson Financial Corporation and Robert Lawson | Lawson Financial Corporation | Other | 05-Apr-2017 | 05-Apr-2017 | Securities Offering |
| In the Matter of Lawson Financial Corporation and Robert Lawson | Robert Lawson | Individual | 05-Apr-2017 | 05-Apr-2017 | Securities Offering |
| In the Matter of Christopher French | Christopher French | Individual | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Ciaran Thornton | Ciaran Thornton | Individual | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of CyRx Corporation | Cytrx Corporation | Public Company | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Galena Biopharma, Inc. and Mark J. Ahn | Galena Biopharma, Inc. | Public Company | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Galena Biopharma, Inc. and Mark J. Ahn | Mark J. Ahn | Individual | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of ImmunoCellular Therapeutics, Ltd. | ImmunoCellular Therapeutics, Ltd. | Public Company | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Joel Corenman | Joel Corenman | Individual | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Lion Biotechnologies, Inc. | Lion Biotechnologies, Inc. | Public Company | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Manish Singh and Lavos, LLC | Lavos, LLC | Other | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Manish Singh and Lavos, LLC | Manish Singh | Individual | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC | Michael A. McCarthy | Individual | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC | Mission Investor Relations, LLC | Other | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC | QualityStocks LLC | Other | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC | The DreamTeam Group, LLC | Other | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| In the Matter of Stephen Ramey | Stephen Ramey | Individual | 10-Apr-2017 | 10-Apr-2017 | Market Manipulation |
| SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Andrew Hodge | Individual | 10-Apr-2017 | 12-Apr-2017 | Market Manipulation |
| SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Brian Nichols | Individual | 10-Apr-2017 | 12-Apr-2017 | Market Manipulation |
| SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Kamilla Bjorlin | Individual | 10-Apr-2017 | 12-Apr-2017 | Market Manipulation |
| SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Lidingo Holdings, LLC | Other | 10-Apr-2017 | 12-Apr-2017 | Market Manipulation |
| SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Vincent Cassano | Individual | 10-Apr-2017 | 12-Apr-2017 | Market Manipulation |
| SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Andrew Hodge | Individual | 10-Apr-2017 | 10-Apr-2018 | Market Manipulation |
| SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Brian Nichols | Individual | 10-Apr-2017 | 10-Apr-2018 | Market Manipulation |
| SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Kamilla Bjorlin | Individual | 10-Apr-2017 | 10-Apr-2018 | Market Manipulation |
| SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Lidingo Holdings, LLC | Other | 10-Apr-2017 | 10-Apr-2018 | Market Manipulation |
| SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano | Vincent Cassano | Individual | 10-Apr-2017 | 10-Apr-2018 | Market Manipulation |
| In the Matter of BlackRock Fund Advisors | Blackrock Fund Advisors | Subsidiary of Public Company | 25-Apr-2017 | 25-Apr-2017 | Investment Advisers/Investment Companies |
| In the Matter of David Pruitt, CPA | David Pruitt | Individual | 28-Apr-2017 | 28-Apr-2017 | Issuer Reporting and Disclosure |
| In the Matter of Mark Wentlent | Mark Wentlent | Individual | 28-Apr-2017 | 28-Apr-2017 | Issuer Reporting and Disclosure |
| In the Matter of Barclays Capital Inc. | Barclays Capital Inc. | Subsidiary of Public Company | 01-May-2017 | 01-May-2017 | Broker Dealer |
| In the Matter of David F. Wong | David F. Wong | Individual | 01-May-2017 | 01-May-2017 | Broker Dealer |
| In the Matter of MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai | MagnaChip Semiconductor Corporation | Public Company | 01-May-2017 | 01-May-2017 | Issuer Reporting and Disclosure |
| In the Matter of MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai | Margaret Hye-Ryoung Sakai | Individual | 01-May-2017 | 01-May-2017 | Issuer Reporting and Disclosure |
| In the Matter of Yoon Seok Lee | Yoon Seok Lee | Individual | 01-May-2017 | 01-May-2017 | Broker Dealer |
| In the Matter of Barclays Capital Inc. | Barclays Capital Inc. | Subsidiary of Public Company | 10-May-2017 | 10-May-2017 | Investment Advisers/Investment Companies |
| In the Matter of Miles S. Nadal | Miles S. Nadal | Individual | 11-May-2017 | 11-May-2017 | Issuer Reporting and Disclosure |
| SEC v. James H. Im | James H. Im | Individual | 15-May-2017 | 09-May-2022 | Broker Dealer |
| SEC v. Kee Chan | Kee Chan | Individual | 15-May-2017 | 16-May-2017 | Broker Dealer |
| In the Matter of Kee Chan | Kee Chan | Individual | 19-May-2017 | 19-May-2017 | Broker Dealer |
| In the Matter of New York REIT, Inc. and New York Recovery Advisors, LLC | New York Recovery Advisors, LLC | Other | 21-Jun-2017 | 21-Jun-2017 | Issuer Reporting and Disclosure |
| In the Matter of New York REIT, Inc. and New York Recovery Advisors, LLC | New York REIT, Inc. | Public Company | 21-Jun-2017 | 21-Jun-2017 | Issuer Reporting and Disclosure |
| In the Matter of Anthony Portelli | Anthony Portelli | Individual | 22-Jun-2017 | 22-Jun-2017 | Broker Dealer |
| SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab | Jeffrey A. Curran
Aliases |
Individual | 28-Jun-2017 | 28-Jun-2017 | Issuer Reporting and Disclosure |
| SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab | Penn West Petroleum Ltd. | Public Company | 28-Jun-2017 | 28-Jun-2017 | Issuer Reporting and Disclosure |
| SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab | Todd H. Takeyasu
Aliases |
Individual | 28-Jun-2017 | 28-Jun-2017 | Issuer Reporting and Disclosure |
| SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab | Waldemar Grab | Individual | 28-Jun-2017 | 28-Jun-2017 | Issuer Reporting and Disclosure |
| In the Matter of Paramount Group Real Estate Advisor LLC | Paramount Group Real Estate Advisor LLC | Subsidiary of Public Company | 06-Jul-2017 | 06-Jul-2017 | Investment Advisers/Investment Companies |
| In the Matter of KMS Financial Services, Inc. | KMS Financial Services, Inc. | Subsidiary of Public Company | 19-Jul-2017 | 19-Jul-2017 | Investment Advisers/Investment Companies |
| In the Matter of Halliburton Company and Jeannot Lorenz | Halliburton Company | Public Company | 27-Jul-2017 | 27-Jul-2017 | Foreign Corrupt Practices Act |
| In the Matter of Halliburton Company and Jeannot Lorenz | Jeannot Lorenz | Individual | 27-Jul-2017 | 27-Jul-2017 | Foreign Corrupt Practices Act |
| In the Matter of KPMG LLP and John Riordan, CPA | John Riordan, CPA | Individual | 15-Aug-2017 | 15-Aug-2017 | Issuer Reporting and Disclosure |
| In the Matter of KPMG LLP and John Riordan, CPA | KPMG LLP | Other | 15-Aug-2017 | 15-Aug-2017 | Issuer Reporting and Disclosure |
| In the Matter of Edward DiMaria | Edward DiMaria | Individual | 22-Aug-2017 | 22-Aug-2017 | Issuer Reporting and Disclosure |
| In the Matter of Matthew Gamsey, CPA | Matthew Gamsey
Aliases |
Individual | 22-Aug-2017 | 22-Aug-2017 | Issuer Reporting and Disclosure |
| SEC v. Navellier & Associates, Inc., and Louis Navellier | Louis Navellier | Individual | 31-Aug-2017 | 02-Jun-2020 | Investment Advisers/Investment Companies |
| SEC v. Navellier & Associates, Inc., and Louis Navellier | Navellier & Associates, Inc. | Other | 31-Aug-2017 | 02-Jun-2020 | Investment Advisers/Investment Companies |
| In the Matter of State Street Bank and Trust Company | State Street Bank and Trust Company | Subsidiary of Public Company | 07-Sep-2017 | 07-Sep-2017 | Other |
| In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC and State Street Bank and Trust Company | State Street Bank and Trust Company | Subsidiary of Public Company | 07-Sep-2017 | 07-Sep-2017 | Broker Dealer |
| In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC and State Street Bank and Trust Company | State Street Global Advisors Funds Distributors, LLC | Subsidiary of Public Company | 07-Sep-2017 | 07-Sep-2017 | Broker Dealer |
| In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC and State Street Bank and Trust Company | State Street Global Markets, LLC | Subsidiary of Public Company | 07-Sep-2017 | 07-Sep-2017 | Broker Dealer |
| In the Matter of Waldemar Grab | Waldemar Grab | Individual | 07-Sep-2017 | 07-Sep-2017 | Issuer Reporting and Disclosure |
| In the Matter of Suntrust Investment Services, Inc. | Suntrust Investment Services, Inc. | Subsidiary of Public Company | 14-Sep-2017 | 14-Sep-2017 | Investment Advisers/Investment Companies |
| SEC . Aegerion Pharmaceuticals, Inc. | Aegerion Pharmaceuticals, Inc. | Subsidiary of Public Company | 22-Sep-2017 | 22-Sep-2017 | Issuer Reporting and Disclosure |
| In the Matter of Alere Inc. | Alere Inc. | Public Company | 28-Sep-2017 | 28-Sep-2017 | Issuer Reporting and Disclosure |
| SEC v. Gerardo de Nicolas Gutierrez, Carlos Javier Moctezuma Velasco, Ramon Lafarga Batiz, and Noe Corrales Reyes | Carlos Javier Moctezuma Velasco | Individual | 11-Oct-2017 | 29-Jun-2021 | Issuer Reporting and Disclosure |
| SEC v. Gerardo de Nicolas Gutierrez, Carlos Javier Moctezuma Velasco, Ramon Lafarga Batiz, and Noe Corrales Reyes | Gerardo de Nicolas Gutierrez | Individual | 11-Oct-2017 | 29-Jun-2021 | Issuer Reporting and Disclosure |
| SEC v. Gerardo de Nicolas Gutierrez, Carlos Javier Moctezuma Velasco, Ramon Lafarga Batiz, and Noe Corrales Reyes | Noe Corrales Reyes | Individual | 11-Oct-2017 | 29-Jun-2021 | Issuer Reporting and Disclosure |
| SEC v. Gerardo de Nicolas Gutierrez, Carlos Javier Moctezuma Velasco, Ramon Lafarga Batiz, and Noe Corrales Reyes | Ramón Lafarga Bátiz | Individual | 11-Oct-2017 | 29-Jun-2021 | Issuer Reporting and Disclosure |
| SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliott | Guy Robert Elliott | Individual | 17-Oct-2017 | 20-Nov-2023 | Issuer Reporting and Disclosure |
| SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliott | Rio Tinto Limited | Other | 17-Oct-2017 | 20-Nov-2023 | Issuer Reporting and Disclosure |
| SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliott | Rio Tinto PLC | Public Company | 17-Oct-2017 | 20-Nov-2023 | Issuer Reporting and Disclosure |
| SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliott | Thomas Albanese | Individual | 17-Oct-2017 | 20-Nov-2023 | Issuer Reporting and Disclosure |
| SEC v. Mohammed Ali Rashid | Mohammed Ali Rashid | Individual | 25-Oct-2017 | 14-Oct-2020 | Investment Advisers/Investment Companies |
| In the Matter of UBS Financial Services, Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 27-Oct-2017 | 27-Oct-2017 | Broker Dealer |
| SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery | Bobby Dwayne Montgomery | Individual | 02-Nov-2017 | 02-Nov-2017 | Issuer Reporting and Disclosure |
| SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery | Gregory I. Law | Individual | 02-Nov-2017 | 02-Nov-2017 | Issuer Reporting and Disclosure |
| SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery | Lode B. Debrabandere | Individual | 02-Nov-2017 | 02-Nov-2017 | Issuer Reporting and Disclosure |
| SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery | Osiris Therapeutics, Inc. | Public Company | 02-Nov-2017 | 02-Nov-2017 | Issuer Reporting and Disclosure |
| SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery | Phillip R. Jacoby, Jr. | Individual | 02-Nov-2017 | 02-Nov-2017 | Issuer Reporting and Disclosure |
| In the Matter of Wells Fargo Advisors, LLC | Wells Fargo Advisors, LLC | Subsidiary of Public Company | 13-Nov-2017 | 13-Nov-2017 | Broker Dealer |
| In the Matter of Michael C. Sabatino, CPA | Michael C. Sabatino, CPA | Individual | 17-Nov-2017 | 17-Nov-2017 | Issuer Reporting and Disclosure |
| In the Matter of Ameriprise Financial Services, Inc. | Ameriprise Financial Services, Inc.
Aliases |
Subsidiary of Public Company | 08-Dec-2017 | 08-Dec-2017 | Investment Advisers/Investment Companies |
| In the Matter of Horter Investment Management, LLC | Horter Investment Management, LLC | Other | 08-Dec-2017 | 08-Dec-2017 | Investment Advisers/Investment Companies |
| In the Matter of Institutional Investor Advisers, Inc. | Institutional Investor Advisers, Inc. | Other | 08-Dec-2017 | 08-Dec-2017 | Investment Advisers/Investment Companies |
| In the Matter of Peter R. Culpepper, CPA | Peter R. Culpepper, CPA | Individual | 12-Dec-2017 | 12-Dec-2017 | Issuer Reporting and Disclosure |
| In the Matter of Provectus Biopharmaceuticals, Inc. | Provectus Biopharmaceuticals, Inc. | Public Company | 12-Dec-2017 | 12-Dec-2017 | Issuer Reporting and Disclosure |
| SEC v. Harry Craig Dees | Harry Craig Dees | Individual | 12-Dec-2017 | 28-May-2019 | Issuer Reporting and Disclosure |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 21-Dec-2017 | 21-Dec-2017 | Broker Dealer |
| In the Matter of Khaled "Kal" Bassily | Khaled "Kal" Bassily | Individual | 03-Jan-2018 | 03-Jan-2018 | Broker Dealer |
| In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon | Benjamin Solomon | Individual | 12-Feb-2018 | 12-Feb-2018 | Broker Dealer |
| In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon | Deutsche Bank Securities, Inc.
Aliases |
Subsidiary of Public Company | 12-Feb-2018 | 12-Feb-2018 | Broker Dealer |
| In the Matter of Ameriprise Financial Services, Inc. | Ameriprise Financial Services, Inc.
Aliases |
Subsidiary of Public Company | 28-Feb-2018 | 28-Feb-2018 | Broker Dealer |
| In the Matter of New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc. | New York Stock Exchange LLC | Subsidiary of Public Company | 06-Mar-2018 | 06-Mar-2018 | Other |
| In the Matter of New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc. | NYSE American LLC | Subsidiary of Public Company | 06-Mar-2018 | 06-Mar-2018 | Other |
| In the Matter of New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc. | NYSE Arca, Inc. | Subsidiary of Public Company | 06-Mar-2018 | 06-Mar-2018 | Other |
| In the Matter of Merrill Lynch, Pierce and Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 08-Mar-2018 | 08-Mar-2018 | Securities Offering |
| In the Matter of Voya Investments, LLC and Directed Services LLC | Directed Services, LLC | Subsidiary of Public Company | 08-Mar-2018 | 08-Mar-2018 | Investment Advisers/Investment Companies |
| In the Matter of Voya Investments, LLC and Directed Services LLC | Voya Investments, LLC | Subsidiary of Public Company | 08-Mar-2018 | 08-Mar-2018 | Investment Advisers/Investment Companies |
| In the Matter of Elbit Imaging Ltd. | Elbit Imaging Ltd. | Public Company | 09-Mar-2018 | 09-Mar-2018 | Foreign Corrupt Practices Act |
| In the Matter of Kinross Gold Corporation | Kinross Gold Corporation | Public Company | 26-Mar-2018 | 26-Mar-2018 | Foreign Corrupt Practices Act |
| SEC v. Akorn, Inc., Timothy Dick, and David Hebeda | Akorn, Inc. | Public Company | 26-Mar-2018 | 26-Mar-2018 | Issuer Reporting and Disclosure |
| SEC v. Akorn, Inc., Timothy Dick, and David Hebeda | David Hebeda | Individual | 26-Mar-2018 | 26-Mar-2018 | Issuer Reporting and Disclosure |
| SEC v. Akorn, Inc., Timothy Dick, and David Hebeda | Timothy Dick | Individual | 26-Mar-2018 | 26-Mar-2018 | Issuer Reporting and Disclosure |
| In the Matter of Maxwell Technologies, Inc., et al. | David J. Schramm | Individual | 27-Mar-2018 | 27-Mar-2018 | Issuer Reporting and Disclosure |
| In the Matter of Maxwell Technologies, Inc., et al. | James W. DeWitt, Jr. | Individual | 27-Mar-2018 | 27-Mar-2018 | Issuer Reporting and Disclosure |
| In the Matter of Maxwell Technologies, Inc., et al. | Maxwell Technologies Inc.
Aliases |
Public Company | 27-Mar-2018 | 27-Mar-2018 | Issuer Reporting and Disclosure |
| In the Matter of Maxwell Technologies, Inc., et al. | Van M. Andrews | Individual | 27-Mar-2018 | 27-Mar-2018 | Issuer Reporting and Disclosure |
| SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi | Andy Altahawi
Aliases |
Individual | 04-Apr-2018 | 06-Apr-2018 | Securities Offering |
| SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi | Dorababu Penumarthi | Individual | 04-Apr-2018 | 06-Apr-2018 | Securities Offering |
| SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi | Longfin Corp. | Public Company | 04-Apr-2018 | 06-Apr-2018 | Securities Offering |
| SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi | Suresh Tammineedi | Individual | 04-Apr-2018 | 06-Apr-2018 | Securities Offering |
| SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi | Venkata S. Meenavalli | Individual | 04-Apr-2018 | 06-Apr-2018 | Securities Offering |
| In the Matter of PNC Investments LLC | PNC Investments LLC | Subsidiary of Public Company | 06-Apr-2018 | 06-Apr-2018 | Investment Advisers/Investment Companies |
| In the Matter of Securities America Advisors, Inc. | Securities America Advisors, Inc. | Subsidiary of Public Company | 06-Apr-2018 | 06-Apr-2018 | Investment Advisers/Investment Companies |
| In the Matter of the Dun & Bradstreet Corporation | The Dun & Bradstreet Corporation | Public Company | 23-Apr-2018 | 23-Apr-2018 | Foreign Corrupt Practices Act |
| In the Matter of Altaba Inc. and f/d/b/a Yahoo! Inc. | Altaba, Inc. | Public Company | 24-Apr-2018 | 24-Apr-2018 | Issuer Reporting and Disclosure |
| In the Matter of SEI Investments Global Funds Services | SEI Investments Global Funds Services | Subsidiary of Public Company | 26-Apr-2018 | 26-Apr-2018 | Investment Advisers/Investment Companies |
| In the Matter of Panasonic Corporation | Panasonic Corporation | Other | 30-Apr-2018 | 30-Apr-2018 | Foreign Corrupt Practices Act |
| In the Matter of Constant Contact, Inc. and Endurance International Group Holdings, Inc. | Constant Contact, Inc. | Subsidiary of Public Company | 05-Jun-2018 | 05-Jun-2018 | Issuer Reporting and Disclosure |
| In the Matter of Constant Contact, Inc. and Endurance International Group Holdings, Inc. | Endurance International Group Holdings, Inc. | Public Company | 05-Jun-2018 | 05-Jun-2018 | Issuer Reporting and Disclosure |
| In the Matter of Merrill Lynch, Pierce and Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 12-Jun-2018 | 12-Jun-2018 | Broker Dealer |
| In the Matter of Merrill Lynch, Pierce and Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 19-Jun-2018 | 19-Jun-2018 | Broker Dealer |
| In the Matter of Wells Fargo Advisors, LLC | Wells Fargo Advisors, LLC | Subsidiary of Public Company | 25-Jun-2018 | 25-Jun-2018 | Broker Dealer |
| In the Matter of Morgan Stanley Smith Barney LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 29-Jun-2018 | 29-Jun-2018 | Investment Advisers/Investment Companies |
| In the Matter of Beam, Inc. | Beam Suntory Inc.
Aliases |
Public Company | 02-Jul-2018 | 02-Jul-2018 | Foreign Corrupt Practices Act |
| In the Matter of KBR, Inc. | KBR, Inc. | Public Company | 02-Jul-2018 | 02-Jul-2018 | Issuer Reporting and Disclosure |
| In the Matter of The Dow Chemical Company | The Dow Chemical Company | Subsidiary of Public Company | 02-Jul-2018 | 02-Jul-2018 | Issuer Reporting and Disclosure |
| SEC v. Charles Schwab & Co., Inc. | Charles Schwab & Co., Inc. | Subsidiary of Public Company | 02-Jul-2018 | 09-Jul-2018 | Broker Dealer |
| SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson | Benjamin L. Wissink | Individual | 03-Jul-2018 | 03-Jul-2018 | Issuer Reporting and Disclosure |
| SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson | Cara D. Obert | Individual | 03-Jul-2018 | 03-Jul-2018 | Issuer Reporting and Disclosure |
| SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson | David A. Hanson | Individual | 03-Jul-2018 | 03-Jul-2018 | Issuer Reporting and Disclosure |
| SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson | Hollis M. Greenlaw | Individual | 03-Jul-2018 | 03-Jul-2018 | Issuer Reporting and Disclosure |
| SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson | Theodore F. Etter | Individual | 03-Jul-2018 | 03-Jul-2018 | Issuer Reporting and Disclosure |
| SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson | United Development Funding III, LP | Other | 03-Jul-2018 | 03-Jul-2018 | Issuer Reporting and Disclosure |
| SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson | United Development Funding IV | Public Company | 03-Jul-2018 | 03-Jul-2018 | Issuer Reporting and Disclosure |
| In the Matter of Credit Suisse Group AG | Credit Suisse Group AG
Aliases |
Public Company | 05-Jul-2018 | 05-Jul-2018 | Foreign Corrupt Practices Act |
| In the Matter of Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA | Advanced Drainage Systems, Inc. | Public Company | 10-Jul-2018 | 10-Jul-2018 | Issuer Reporting and Disclosure |
| In the Matter of Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA | Mark Sturgeon, CPA | Individual | 10-Jul-2018 | 10-Jul-2018 | Issuer Reporting and Disclosure |
| In the Matter of Oaktree Capital Management, L.P. | Oaktree Capital Management, L.P. | Subsidiary of Public Company | 10-Jul-2018 | 10-Jul-2018 | Municipal Securities & Public Pensions |
| In the Matter of BGC Financial, L.P. | BGC Financial, L.P. | Subsidiary of Public Company | 17-Jul-2018 | 17-Jul-2018 | Broker Dealer |
| In the Matter of Deutsche Bank Securities Inc. | Deutsche Bank Securities, Inc.
Aliases |
Subsidiary of Public Company | 20-Jul-2018 | 20-Jul-2018 | Broker Dealer |
| In the Matter of Deutsche Bank Trust Company Americas | Deutsche Bank Trust Company Americas | Subsidiary of Public Company | 20-Jul-2018 | 20-Jul-2018 | Broker Dealer |
| In the Matter of Mizuho Securities USA LLC | Mizuho Securities USA LLC | Subsidiary of Public Company | 23-Jul-2018 | 23-Jul-2018 | Broker Dealer |
| In the Matter of Ribbon Communications Inc., Mark Greenquist and Michael Swade | Mark Greenquist | Individual | 07-Aug-2018 | 07-Aug-2018 | Issuer Reporting and Disclosure |
| In the Matter of Ribbon Communications Inc., Mark Greenquist and Michael Swade | Michael Swade | Individual | 07-Aug-2018 | 07-Aug-2018 | Issuer Reporting and Disclosure |
| In the Matter of Ribbon Communications Inc., Mark Greenquist and Michael Swade | Ribbon Communications Inc. | Public Company | 07-Aug-2018 | 07-Aug-2018 | Issuer Reporting and Disclosure |
| In the Matter of Kevin M. Modany, CPA | Kevin M. Modany
Aliases |
Individual | 08-Aug-2018 | 08-Aug-2018 | Issuer Reporting and Disclosure |
| In the Matter of Daniel M. Fitzpatrick, CPA | Daniel M. Fitzpatrick
Aliases |
Individual | 08-Aug-2018 | 08-Aug-2018 | Issuer Reporting and Disclosure |
| In the Matter of Lockwood Advisors, Incorporated | Lockwood Advisors, Incorporated
Aliases |
Subsidiary of Public Company | 14-Aug-2018 | 14-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of Ameriprise Financial Services, Inc. | Ameriprise Financial Services, Inc.
Aliases |
Subsidiary of Public Company | 15-Aug-2018 | 15-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of Citigroup Global Markets Inc. and Citigroup Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 16-Aug-2018 | 16-Aug-2018 | Broker Dealer |
| In the Matter of Citigroup Global Markets Inc. and Citigroup Inc. | Citigroup Inc.
Aliases |
Public Company | 16-Aug-2018 | 16-Aug-2018 | Broker Dealer |
| In the Matter of Citigroup Inc. | Citigroup Inc.
Aliases |
Public Company | 16-Aug-2018 | 16-Aug-2018 | Issuer Reporting and Disclosure |
| In the Matter of Merrill Lynch, Pierce and Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 20-Aug-2018 | 20-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of Hari K. Ravichandran | Hari K. Ravichandran | Individual | 21-Aug-2018 | 21-Aug-2018 | Issuer Reporting and Disclosure |
| In the Matter of Waruna Tivanka Ellawala | Waruna Tivanka Ellawala | Individual | 21-Aug-2018 | 21-Aug-2018 | Issuer Reporting and Disclosure |
| SEC v. Harpreet Grewal | Harpreet Grewal | Individual | 21-Aug-2018 | 27-Nov-2019 | Issuer Reporting and Disclosure |
| In the Matter of Jeffrey Scott Davis | Jeffrey Scott Davis | Individual | 22-Aug-2018 | 22-Aug-2018 | Broker Dealer |
| In the Matter of AEGON USA Investment Management, LLC, et al. | AEGON USA Investment Management, LLC | Subsidiary of Public Company | 27-Aug-2018 | 27-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of AEGON USA Investment Management, LLC, et al. | Transamerica Asset Management, Inc. | Subsidiary of Public Company | 27-Aug-2018 | 27-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of AEGON USA Investment Management, LLC, et al. | Transamerica Capital Inc.
Aliases |
Subsidiary of Public Company | 27-Aug-2018 | 27-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of AEGON USA Investment Management, LLC, et al. | Transamerica Financial Advisors, Inc. | Subsidiary of Public Company | 27-Aug-2018 | 27-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of Bradley J. Beman | Bradley J. Beman | Individual | 27-Aug-2018 | 27-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of Kevin A. Giles | Kevin A. Giles | Individual | 27-Aug-2018 | 27-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of Legg Mason, Inc. | Legg Mason, Inc. | Public Company | 27-Aug-2018 | 27-Aug-2018 | Foreign Corrupt Practices Act |
| In the Matter of Moody's Investors Service, Inc. | Moody's Investors Service, Inc. | Subsidiary of Public Company | 28-Aug-2018 | 28-Aug-2018 | Other |
| In the Matter of Moody's Investors Service, Inc. | Moody's Investors Service, Inc. | Subsidiary of Public Company | 28-Aug-2018 | 28-Aug-2018 | Other |
| In the Matter of Philip R. Jacoby, Jr., CPA | Phillip R. Jacoby, Jr. | Individual | 30-Aug-2018 | Issuer Reporting and Disclosure | |
| In the Matter of Massachusetts Financial Services Company | Massachusetts Financial Services Company | Subsidiary of Public Company | 31-Aug-2018 | 31-Aug-2018 | Investment Advisers/Investment Companies |
| In the Matter of Joanne K. Viard, CPA | Joanne K. Viard
Aliases |
Individual | 04-Sep-2018 | Issuer Reporting and Disclosure | |
| In the Matter of Michael J. Kipp | Michael J. Kipp | Individual | 04-Sep-2018 | Issuer Reporting and Disclosure | |
| In the Matter of Sanofi | Sanofi | Public Company | 04-Sep-2018 | 04-Sep-2018 | Foreign Corrupt Practices Act |
| SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach | Albert R. Subbloie | Individual | 04-Sep-2018 | 04-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach | Donald J. Farias | Individual | 04-Sep-2018 | 04-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach | Gary R. Martino | Individual | 04-Sep-2018 | 04-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach | Tangoe, Inc. | Public Company | 04-Sep-2018 | 04-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach | Thomas H. Beach | Individual | 04-Sep-2018 | 04-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of BB&T Securities, LLC, as successor entity to BB&T Investment Services, Inc. | BB&T Securities, LLC | Subsidiary of Public Company | 07-Sep-2018 | 07-Sep-2018 | Investment Advisers/Investment Companies |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Alpha Capital Anstalt | Other | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | ATG Capital LLC | Other | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Barry C. Honig | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Brian Keller | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Elliot Maza | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Frost Gamma Investments Trust | Other | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Grander Holdings, Inc. | Other | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | GRQ Consultants, Inc. | Other | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | HS Contrarian Investments, LLC | Other | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | John H. Ford | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | John R. O'Rourke III | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | John Stetson | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Mark Groussman | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Melechdavid, Inc. | Other | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Michael Brauser | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Opko Health Inc. | Public Company | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Phillip Frost | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Robert Ladd | Individual | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Southern Biotech, Inc. | Other | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. | Stetson Capital Investments, Inc. | Other | 07-Sep-2018 | 21-Sep-2018 | Market Manipulation |
| In the Matter of United Technologies Corporation | United Technologies Corporation | Public Company | 12-Sep-2018 | 12-Sep-2018 | Foreign Corrupt Practices Act |
| In the Matter of Convergex Execution Solutions, LLC, now known as Cowen Execution Services LLC | Cowen Execution Services LLC | Subsidiary of Public Company | 13-Sep-2018 | 13-Sep-2018 | Broker Dealer |
| In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC | Citi Order Routing and Execution, LLC | Subsidiary of Public Company | 14-Sep-2018 | 14-Sep-2018 | Broker Dealer |
| In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 14-Sep-2018 | 14-Sep-2018 | Broker Dealer |
| In the Matter of Jennifer R. Johnson | Jennifer R. Johnson | Individual | 18-Sep-2018 | 02-Jun-2023 | Broker Dealer |
| In the Matter of Susan E. Walker | Susan E. Walker | Individual | 18-Sep-2018 | 02-Jun-2023 | Broker Dealer |
| SEC v. Clovis Oncology Inc., Patrick J Mahaffy, and Erle T. Mast | Clovis Oncology, Inc. | Public Company | 18-Sep-2018 | 18-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Clovis Oncology Inc., Patrick J Mahaffy, and Erle T. Mast | Erle T. Mast | Individual | 18-Sep-2018 | 18-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Clovis Oncology Inc., Patrick J Mahaffy, and Erle T. Mast | Patrick J. Mahaffy | Individual | 18-Sep-2018 | 18-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Frederick D. Jacobs | Frederick D. Jacobs | Individual | 18-Sep-2018 | 18-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Seaworld Entertainment, Inc. and James Atchison | James Atchison | Individual | 18-Sep-2018 | 18-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Seaworld Entertainment, Inc. and James Atchison | SeaWorld Entertainment, Inc. | Public Company | 18-Sep-2018 | 18-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of Sientra, Inc. | Sientra, Inc. | Public Company | 19-Sep-2018 | 19-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Hani Zeini | Hani Zeini | Individual | 19-Sep-2018 | 15-Aug-2019 | Issuer Reporting and Disclosure |
| In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA | Barrett Business Services, Inc. | Public Company | 20-Sep-2018 | 20-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA | Mark Cannon, CPA | Individual | 20-Sep-2018 | 20-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. James Douglas Miller | James Douglas Miller | Individual | 20-Sep-2018 | 11-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of Dasan Zhone Solutions, Inc. | Dasan Zhone Solutions, Inc. | Public Company | 21-Sep-2018 | 21-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr | Heartland Payment Systems, LLC | Subsidiary of Public Company | 21-Sep-2018 | 21-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr | Robert O. Carr | Individual | 21-Sep-2018 | 21-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of Primoris Services Corporation | Primoris Services Corporation | Public Company | 21-Sep-2018 | 21-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of TD Ameritrade, Inc. | TD Ameritrade, Inc. | Subsidiary of Public Company | 24-Sep-2018 | 24-Sep-2018 | Broker Dealer |
| In the Matter of Voya Financial Advisors, Inc. | Voya Financial Advisors, Inc. | Subsidiary of Public Company | 26-Sep-2018 | 26-Sep-2018 | Broker Dealer |
| In the Matter of Petróleo Brasileiro S.A. – Petrobras | Petróleo Brasileiro S.A. – Petrobras | Public Company | 27-Sep-2018 | 27-Sep-2018 | Foreign Corrupt Practices Act |
| SEC v. Elon Musk | Elon Musk | Individual | 27-Sep-2018 | 16-Oct-2018 | Issuer Reporting and Disclosure |
| In the Matter of Credit Suisse Securities (USA) LLC | Credit Suisse Securities (USA) LLC | Subsidiary of Public Company | 28-Sep-2018 | 28-Sep-2018 | Broker Dealer |
| In the Matter of Lendingclub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud Laplanche, and Carrie Dolan | Carrie Dolan | Individual | 28-Sep-2018 | 28-Sep-2018 | Investment Advisers/Investment Companies |
| In the Matter of Lendingclub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud Laplanche, and Carrie Dolan | LendingClub Asset Management, LLC | Subsidiary of Public Company | 28-Sep-2018 | 28-Sep-2018 | Investment Advisers/Investment Companies |
| In the Matter of Lendingclub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud Laplanche, and Carrie Dolan | Renaud Laplanche | Individual | 28-Sep-2018 | 28-Sep-2018 | Investment Advisers/Investment Companies |
| In the Matter of Stryker Corporation | Stryker Corporation | Public Company | 28-Sep-2018 | 28-Sep-2018 | Foreign Corrupt Practices Act |
| In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon | Gregory D. Wasson | Individual | 28-Sep-2018 | 28-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon | Wade D. Miquelon | Individual | 28-Sep-2018 | 28-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon | Walgreens Boots Alliance, Inc. | Public Company | 28-Sep-2018 | 28-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Adam C. Derbyshire | Adam C. Derbyshire | Individual | 28-Sep-2018 | 04-Apr-2019 | Issuer Reporting and Disclosure |
| SEC v. Salix Pharmaceuticals, LTD | Salix Pharmaceuticals, Ltd. | Subsidiary of Public Company | 28-Sep-2018 | 28-Sep-2018 | Issuer Reporting and Disclosure |
| SEC v. Tesla, Inc. | Tesla, Inc. | Public Company | 29-Sep-2018 | 29-Sep-2018 | Issuer Reporting and Disclosure |
| In the Matter of Ross B. Shapiro | Ross B. Shapiro | Individual | 10-Oct-2018 | 10-Oct-2018 | Broker Dealer |
| In the Matter of Citibank, N.A. | Citibank, N.A. | Subsidiary of Public Company | 07-Nov-2018 | 07-Nov-2018 | Broker Dealer |
| In the Matter of ITG Inc. and AlterNet Securities, Inc. | AlterNet Securities, Inc. | Subsidiary of Public Company | 07-Nov-2018 | 07-Nov-2018 | Broker Dealer |
| In the Matter of ITG Inc. and AlterNet Securities, Inc. | ITG Inc. | Subsidiary of Public Company | 07-Nov-2018 | 07-Nov-2018 | Broker Dealer |
| In the Matter of Pyxus International, Inc. | Pyxus International, Inc. | Public Company | 09-Nov-2018 | 09-Nov-2018 | Issuer Reporting and Disclosure |
| In the Matter of Vantage Drilling International | Vantage Drilling International | Subsidiary of Public Company | 19-Nov-2018 | 19-Nov-2018 | Foreign Corrupt Practices Act |
| In the Matter of Fifth Street Management, LLC | Fifth Street Management, LLC | Subsidiary of Public Company | 03-Dec-2018 | 03-Dec-2018 | Investment Advisers/Investment Companies |
| In the Matter of KCAP Financial, Inc. | KCAP Financial, Inc. | Public Company | 04-Dec-2018 | 04-Dec-2018 | Issuer Reporting and Disclosure |
| In the Matter of Agria Corporation | Agria Corporation | Public Company | 10-Dec-2018 | 10-Dec-2018 | Issuer Reporting and Disclosure |
| In the Matter of Lai Guanglin (Alan) | Lai Guanglin (Alan) | Individual | 10-Dec-2018 | 10-Dec-2018 | Market Manipulation |
| In the Matter of MUFG Securities Americas Inc. | MUFG Securities Americas Inc. | Subsidiary of Public Company | 10-Dec-2018 | 10-Dec-2018 | Broker Dealer |
| In the Matter of The Hain Celestial Group, Inc. | The Hain Celestial Group, Inc. | Public Company | 11-Dec-2018 | 11-Dec-2018 | Issuer Reporting and Disclosure |
| In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC | America Modern Green Community (Houston) LLC | Subsidiary of Public Company | 12-Dec-2018 | 12-Dec-2018 | Securities Offering |
| In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC | America Modern Green Residential (Houston) LLC | Subsidiary of Public Company | 12-Dec-2018 | 12-Dec-2018 | Securities Offering |
| In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC | America Modern Green Senior (Houston) LLC | Subsidiary of Public Company | 12-Dec-2018 | 12-Dec-2018 | Securities Offering |
| In the Matter of Santander Consumer USA Holdings Inc. | Santander Consumer USA Holdings Inc. | Public Company | 17-Dec-2018 | 17-Dec-2018 | Issuer Reporting and Disclosure |
| In the Matter of The Bank of New York Mellon | The Bank of New York Mellon
Aliases |
Subsidiary of Public Company | 17-Dec-2018 | 17-Dec-2018 | Broker Dealer |
| In the Matter of UBS Financial Services Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 17-Dec-2018 | 17-Dec-2018 | Broker Dealer |
| In the Matter of Paul A. Margis | Paul A. Margis | Individual | 18-Dec-2018 | 18-Dec-2018 | Foreign Corrupt Practices Act |
| In the Matter of Takeshi "Tyrone" Uonaga | Takeshi "Tyrone" Uonaga | Individual | 18-Dec-2018 | 18-Dec-2018 | Foreign Corrupt Practices Act |
| In the Matter of ADT Inc. | ADT Inc. | Public Company | 26-Dec-2018 | 26-Dec-2018 | Issuer Reporting and Disclosure |
| In the Matter of Centrais Elétricas Brasileiras S.A. | Centrais Elétricas Brasileiras S.A. | Public Company | 26-Dec-2018 | 26-Dec-2018 | Foreign Corrupt Practices Act |
| In the Matter of JPMorgan Chase Bank, N.A. | JPMorgan Chase Bank, N.A. | Subsidiary of Public Company | 26-Dec-2018 | 26-Dec-2018 | Broker Dealer |
| In the Matter of Polycom, Inc. | Polycom, Inc. | Subsidiary of Public Company | 26-Dec-2018 | 26-Dec-2018 | Foreign Corrupt Practices Act |
| In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation | Hertz Global Holdings, Inc. | Public Company | 31-Dec-2018 | 31-Dec-2018 | Issuer Reporting and Disclosure |
| In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation | The Hertz Corporation | Subsidiary of Public Company | 31-Dec-2018 | 31-Dec-2018 | Issuer Reporting and Disclosure |
| In the Matter of Digital Turbine, Inc. | Digital Turbine, Inc. | Public Company | 29-Jan-2019 | 29-Jan-2019 | Issuer Reporting and Disclosure |
| In the Matter of Grupo Simec S.A.B. de C.V. | Grupo Simec S.A.B. de C.V. | Public Company | 29-Jan-2019 | 29-Jan-2019 | Issuer Reporting and Disclosure |
| In the Matter of Lifeway Foods, Inc. | Lifeway Foods, Inc. | Public Company | 29-Jan-2019 | 29-Jan-2019 | Issuer Reporting and Disclosure |
| In the Matter of Cognizant Technology Solutions Corporation | Cognizant Technology Solutions Corporation | Public Company | 15-Feb-2019 | 15-Feb-2019 | Foreign Corrupt Practices Act |
| SEC v. Gordon J. Coburn and Steven E. Schwartz | Gordon J. Coburn | Individual | 15-Feb-2019 | Foreign Corrupt Practices Act | |
| SEC v. Gordon J. Coburn and Steven E. Schwartz | Steven E. Schwartz | Individual | 15-Feb-2019 | Foreign Corrupt Practices Act | |
| In the Matter of BB&T Securities, LLC, as successor-in-interest to Valley Forge Asset Management, LLC | BB&T Securities, LLC | Subsidiary of Public Company | 05-Mar-2019 | 05-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Mobile TeleSystems PJSC | Mobile TeleSystems PJSC | Public Company | 06-Mar-2019 | 06-Mar-2019 | Foreign Corrupt Practices Act |
| In the Matter of AXA Advisors, LLC | AXA Advisors, LLC | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of BB&T Securities, LLC | BB&T Securities, LLC | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Bok Financial Securities, Inc. | Bok Financial Securities, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Comerica Securities, Inc. | Comerica Securities, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Deutsche Bank Securities Inc. | Deutsche Bank Securities, Inc.
Aliases |
Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of First Citizens Asset Management, Inc. | First Citizens Asset Management, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of First Citizens Investor Services, Inc. | First Citizens Investor Services, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of First Republic Investment Management, Inc. | First Republic Investment Management, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Investacorp Advisory Services, Inc. | Investacorp Advisory Services, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Lockwood Advisors, Inc. | Lockwood Advisors, Incorporated
Aliases |
Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of LPL Financial LLC | LPL Financial LLC | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of National Asset Management, Inc. | National Asset Management, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. | Oppenheimer & Co. Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. | Oppenheimer Asset Management Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Popular Securities, LLC | Popular Securities, LLC | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Principal Securities, Inc. | Principal Securities, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of ProEquities, Inc. | ProEquities, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Raymond James Financial Services Advisors, Inc. | Raymond James Financial Services Advisors, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of RBC Capital Markets, LLC | RBC Capital Markets, LLC
Aliases |
Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of SA Stone Investment Advisors Inc. | SA Stone Investment Advisors Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Santander Securities LLC | Santander Securities LLC | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Stifel, Nicolaus & Company, Incorporated | Stifel, Nicolaus & Company, Inc.
Aliases |
Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Summit Financial Group, Inc. | Summit Financial Group, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of The Hungtington Investment Company | The Huntington Investment Company | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Transamerica Financial Advisors, Inc. | Transamerica Financial Advisors, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo Advisors Financial Network, LLC | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo Clearing Services, LLC | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Woodbury Financial Services, Inc. | Woodbury Financial Services, Inc. | Subsidiary of Public Company | 11-Mar-2019 | 11-Mar-2019 | Investment Advisers/Investment Companies |
| In the Matter of Lumber Liquidators Holdings, Inc. | Lumber Liquidators Holdings, Inc. | Public Company | 12-Mar-2019 | 12-Mar-2019 | Issuer Reporting and Disclosure |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 22-Mar-2019 | 22-Mar-2019 | Broker Dealer |
| In the Matter of Fresenius Medical Care AG & Co. KGaA | Fresenius Medical Care AG & Co. KGaA | Public Company | 29-Mar-2019 | 29-Mar-2019 | Foreign Corrupt Practices Act |
| SEC v. Peter Armbruster, Bret Naggs and Mark Wogsland | Bret Naggs | Individual | 03-Apr-2019 | Issuer Reporting and Disclosure | |
| SEC v. Peter Armbruster, Bret Naggs and Mark Wogsland | Mark Wogsland | Individual | 03-Apr-2019 | Issuer Reporting and Disclosure | |
| SEC v. Peter Armbruster, Bret Naggs and Mark Wogsland | Peter Armbruster | Individual | 03-Apr-2019 | Issuer Reporting and Disclosure | |
| In the Matter of Adam C. Derbyshire | Adam C. Derbyshire | Individual | 10-Apr-2019 | 10-Apr-2019 | Issuer Reporting and Disclosure |
| In the Matter of Deutsche Bank Trust Company Americas | Deutsche Bank Trust Company Americas | Subsidiary of Public Company | 25-Apr-2019 | 25-Apr-2019 | Investment Advisers/Investment Companies |
| SEC v. Celadon Group, Inc. | Celadon Group, Inc. | Public Company | 25-Apr-2019 | 25-Apr-2019 | Issuer Reporting and Disclosure |
| In the Matter of GT Advanced Technologies Inc. | GT Advanced Technologies Inc. | Public Company | 03-May-2019 | 03-May-2019 | Issuer Reporting and Disclosure |
| In the Matter of Thomas Gutierrez | Thomas Gutierrez | Individual | 03-May-2019 | 03-May-2019 | Issuer Reporting and Disclosure |
| In the Matter of Telefônica Brasil S.A. | Telefônica Brasil S.A. | Public Company | 09-May-2019 | 09-May-2019 | Foreign Corrupt Practices Act |
| SEC v. Danny R. Williams | Danny R. Williams | Individual | 09-May-2019 | 16-Jul-2019 | Issuer Reporting and Disclosure |
| SEC v. Longfin Corp., and Venkata S. Meenavalli | Longfin Corp. | Public Company | 05-Jun-2019 | 26-Sep-2019 | Issuer Reporting and Disclosure |
| SEC v. Longfin Corp., and Venkata S. Meenavalli | Venkata S. Meenavalli | Individual | 05-Jun-2019 | 26-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of Jose G. Ramirez, Jr. | Jose G. Ramirez, Jr. | Individual | 06-Jun-2019 | 02-Dec-2022 | Broker Dealer |
| In the Matter of Andy Altahawi | Andy Altahawi
Aliases |
Individual | 10-Jun-2019 | 10-Jun-2019 | Securities Offering |
| SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd, and Ability Inc. | Ability Computer & Software Industries Ltd. | Subsidiary of Public Company | 18-Jun-2019 | 10-Dec-2019 | Issuer Reporting and Disclosure |
| SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd, and Ability Inc. | Ability Inc. | Public Company | 18-Jun-2019 | 10-Dec-2019 | Issuer Reporting and Disclosure |
| SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd, and Ability Inc. | Alexander Aurovsky | Individual | 18-Jun-2019 | 10-Dec-2019 | Issuer Reporting and Disclosure |
| SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd, and Ability Inc. | Anatoly Hurgin | Individual | 18-Jun-2019 | 10-Dec-2019 | Issuer Reporting and Disclosure |
| In the Matter of Benjamin H. Gordon | Benjamin H. Gordon | Individual | 20-Jun-2019 | 20-Jun-2019 | Issuer Reporting and Disclosure |
| In the Matter of Walmart Inc. | Walmart Inc. | Public Company | 20-Jun-2019 | 20-Jun-2019 | Foreign Corrupt Practices Act |
| SEC v. Donald S. LaGuardia, Jr. | Donald S. LaGuardia, Jr. | Individual | 24-Jun-2019 | 30-Aug-2023 | Investment Advisers/Investment Companies |
| In the Matter of State Street Bank and Trust Company | State Street Bank and Trust Company | Subsidiary of Public Company | 27-Jun-2019 | 27-Jun-2019 | Investment Advisers/Investment Companies |
| In the Matter of Nomura Securities International, Inc. | Nomura Securities International, Inc. | Subsidiary of Public Company | 15-Jul-2019 | 15-Jul-2019 | Broker Dealer |
| In the Matter of Nomura Securities International, Inc. | Nomura Securities International, Inc. | Subsidiary of Public Company | 15-Jul-2019 | 15-Jul-2019 | Broker Dealer |
| SEC v. Conn's, Inc. and Michael J. Poppe | Conn's Inc. | Public Company | 15-Jul-2019 | 15-Jul-2019 | Issuer Reporting and Disclosure |
| SEC v. Conn's, Inc. and Michael J. Poppe | Michael J. Poppe | Individual | 15-Jul-2019 | 15-Jul-2019 | Issuer Reporting and Disclosure |
| SEC v. Gary Winemaster, Craig Davis and James Needham | Craig Davis | Individual | 19-Jul-2019 | 24-Jun-2022 | Issuer Reporting and Disclosure |
| SEC v. Gary Winemaster, Craig Davis and James Needham | Gary Winemaster | Individual | 19-Jul-2019 | 24-Jun-2022 | Issuer Reporting and Disclosure |
| SEC v. Gary Winemaster, Craig Davis and James Needham | James Needham | Individual | 19-Jul-2019 | 24-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Microsoft Corporation | Microsoft Corporation | Public Company | 22-Jul-2019 | 22-Jul-2019 | Foreign Corrupt Practices Act |
| SEC v. Facebook, Inc. | Facebook, Inc. | Public Company | 24-Jul-2019 | 24-Jul-2019 | Issuer Reporting and Disclosure |
| In the Matter of Brixmor Property Group Inc. | Brixmor Property Group Inc. | Public Company | 01-Aug-2019 | 01-Aug-2019 | Issuer Reporting and Disclosure |
| SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer | Michael A. Carroll | Individual | 01-Aug-2019 | 02-Aug-2019 | Issuer Reporting and Disclosure |
| SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer | Michael Mortimer | Individual | 01-Aug-2019 | 02-Aug-2019 | Issuer Reporting and Disclosure |
| SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer | Michael V. Pappagallo | Individual | 01-Aug-2019 | 02-Aug-2019 | Issuer Reporting and Disclosure |
| SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer | Steven A. Splain | Individual | 01-Aug-2019 | 02-Aug-2019 | Issuer Reporting and Disclosure |
| SEC v. Gerard F. Hug and Kurt W. Streams | Gerard F. Hug | Individual | 02-Aug-2019 | 30-Nov-2022 | Issuer Reporting and Disclosure |
| SEC v. Gerard F. Hug and Kurt W. Streams | Kurt W. Streams | Individual | 02-Aug-2019 | 30-Nov-2022 | Issuer Reporting and Disclosure |
| In the Matter of Sito Mobile, Ltd. | Sito Mobile, Ltd. | Public Company | 05-Aug-2019 | 05-Aug-2019 | Issuer Reporting and Disclosure |
| In the Matter of BMO Capital Markets Corporation | BMO Capital Markets Corporation
Aliases |
Subsidiary of Public Company | 16-Aug-2019 | 16-Aug-2019 | Broker Dealer |
| In the Matter of TherapeuticsMD, Inc. | TherapeuticsMD, Inc. | Public Company | 20-Aug-2019 | 20-Aug-2019 | Issuer Reporting and Disclosure |
| In the Matter of Michael Filkoski, CPA, and Scott Magnuson, CPA | Michael Filkoski, CPA | Individual | 21-Aug-2019 | 21-Aug-2019 | Issuer Reporting and Disclosure |
| In the Matter of Michael Filkoski, CPA, and Scott Magnuson, CPA | Scott Magnuson, CPA | Individual | 21-Aug-2019 | 21-Aug-2019 | Issuer Reporting and Disclosure |
| In the Matter of Deutsche Bank AG | Deutsche Bank AG | Public Company | 22-Aug-2019 | 22-Aug-2019 | Foreign Corrupt Practices Act |
| In the Matter of Juniper Networks, Inc. | Juniper Networks, Inc. | Public Company | 29-Aug-2019 | 29-Aug-2019 | Foreign Corrupt Practices Act |
| In the Matter of Omega Protein Corporation | Omega Protein Corporation | Public Company | 29-Aug-2019 | 29-Aug-2019 | Issuer Reporting and Disclosure |
| In the Matter of Wendy Katz | Wendy Katz | Individual | 29-Aug-2019 | 29-Aug-2019 | Broker Dealer |
| SEC v. Cetera Advisors LLC, and Cetera Advisor Networks LLC | Cetera Advisor Networks LLC
Aliases |
Subsidiary of Public Company | 29-Aug-2019 | 13-Oct-2022 | Investment Advisers/Investment Companies |
| SEC v. Cetera Advisors LLC, and Cetera Advisor Networks LLC | Cetera Advisors, LLC | Subsidiary of Public Company | 29-Aug-2019 | 13-Oct-2022 | Investment Advisers/Investment Companies |
| In the Matter of Sridhar Thiruvengadam | Sridhar Thiruvengadam | Individual | 13-Sep-2019 | 13-Sep-2019 | Foreign Corrupt Practices Act |
| In the Matter of AST Investment Services, Inc. and PGIM Investments LLC | AST Investment Services, Inc. | Subsidiary of Public Company | 16-Sep-2019 | 16-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of AST Investment Services, Inc. and PGIM Investments LLC | PGIM Investments LLC | Subsidiary of Public Company | 16-Sep-2019 | 16-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of BMO Capital Markets Corp. | BMO Capital Markets Corporation
Aliases |
Subsidiary of Public Company | 16-Sep-2019 | 16-Sep-2019 | Broker Dealer |
| In the Matter of Marvell Technology Group, Ltd. | Marvell Technology Group, Ltd. | Public Company | 16-Sep-2019 | 16-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of Stifel, Nicolaus & Company, Incorporated | Stifel, Nicolaus & Company, Inc.
Aliases |
Subsidiary of Public Company | 16-Sep-2019 | 16-Sep-2019 | Broker Dealer |
| In the Matter of Morgan Stanley Smith Barney, LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 17-Sep-2019 | 17-Sep-2019 | Municipal Securities & Public Pensions |
| In the Matter of Raymond James & Associates, Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. | Raymond James & Associates, Inc. | Subsidiary of Public Company | 17-Sep-2019 | 17-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of Raymond James & Associates, Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. | Raymond James Financial Services Advisors, Inc. | Subsidiary of Public Company | 17-Sep-2019 | 17-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of Raymond James & Associates, Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. | Raymond James Financial Services, Inc. | Subsidiary of Public Company | 17-Sep-2019 | 17-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of David R. Gibson | David R. Gibson | Individual | 19-Sep-2019 | 19-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of Kevyn N. Rakowski, CPA | Kevyn N. Rakowski | Individual | 19-Sep-2019 | 19-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of Donald F. McGraw, JR. | Donald F. McGraw, JR. | Individual | 20-Sep-2019 | 20-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of James David Hilty | James David Hilty | Individual | 20-Sep-2019 | 20-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of The Bancorp, Inc. | The Bancorp, Inc. | Public Company | 20-Sep-2019 | 20-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of TechnipFMC plc. | TechnipFMC plc. | Public Company | 23-Sep-2019 | 23-Sep-2019 | Foreign Corrupt Practices Act |
| In the Matter of Comscore, Inc. | Comscore, Inc. | Public Company | 24-Sep-2019 | 24-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of Serge Matta | Serge Matta | Individual | 24-Sep-2019 | 24-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of TMC Bonds LLC | TMC Bonds, LLC | Subsidiary of Public Company | 24-Sep-2019 | 24-Sep-2019 | Broker Dealer |
| In the Matter of Michael P. Toups | Michael Toups | Individual | 25-Sep-2019 | Issuer Reporting and Disclosure | |
| In the Matter of Cetera Investment Advisers LLC | Cetera Investment Advisers LLC | Subsidiary of Public Company | 26-Sep-2019 | 26-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of Mahesh Agarwal | Mahesh Agarwal | Individual | 26-Sep-2019 | 26-Sep-2019 | Broker Dealer |
| In the Matter of PPG Industries, Inc. | PPG Industries, Inc. | Public Company | 26-Sep-2019 | 26-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of Quad/Graphics, Inc. | Quad/Graphics, Inc. | Public Company | 26-Sep-2019 | 26-Sep-2019 | Foreign Corrupt Practices Act |
| In the Matter of Barclays PLC | Barclays PLC | Public Company | 27-Sep-2019 | 27-Sep-2019 | Foreign Corrupt Practices Act |
| In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp. | BMO Asset Management Corp. | Subsidiary of Public Company | 27-Sep-2019 | 27-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp. | BMO Harris Financial Advisors, Inc. | Subsidiary of Public Company | 27-Sep-2019 | 27-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of FCA US LLC and FIAT Chrysler Automobiles N.V. | FCA US LLC | Subsidiary of Public Company | 27-Sep-2019 | 27-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of FCA US LLC and FIAT Chrysler Automobiles N.V. | Fiat Chrysler Automobiles N.V. | Public Company | 27-Sep-2019 | 27-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of GFI Securities LLC | GFI Securities LLC | Subsidiary of Public Company | 27-Sep-2019 | 27-Sep-2019 | Broker Dealer |
| In the Matter of Herbalife Nutrition Ltd. | Herbalife Nutrition Ltd. | Public Company | 27-Sep-2019 | 27-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty | Nancy Gougarty | Individual | 27-Sep-2019 | 27-Sep-2019 | Foreign Corrupt Practices Act |
| In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty | Westport Fuel Systems, Inc. | Public Company | 27-Sep-2019 | 27-Sep-2019 | Foreign Corrupt Practices Act |
| SEC v. Mylan N.V. | Mylan N.V. | Public Company | 27-Sep-2019 | 27-Sep-2019 | Issuer Reporting and Disclosure |
| In the Matter of Hilltop Securities, Inc. and Hilltop Securities Independent Network, Inc. | Hilltop Securities Inc.
Aliases |
Subsidiary of Public Company | 30-Sep-2019 | 30-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of Hilltop Securities, Inc. and Hilltop Securities Independent Network, Inc. | Hilltop Securities Independent Network, Inc. | Subsidiary of Public Company | 30-Sep-2019 | 30-Sep-2019 | Investment Advisers/Investment Companies |
| In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC | KCG Americas LLC
Aliases |
Subsidiary of Public Company | 30-Sep-2019 | 30-Sep-2019 | Broker Dealer |
| In the Matter of Northwest Biotherapeutics, Inc. | Northwest Biotherapeutics, Inc. | Public Company | 10-Oct-2019 | 10-Oct-2019 | Issuer Reporting and Disclosure |
| In the Matter of UQM Technologies, Inc. | UQM Technologies, Inc. | Public Company | 11-Oct-2019 | 11-Oct-2019 | Issuer Reporting and Disclosure |
| SEC v. Bolton Securities Corporation d/b/a/ Bolton Global Asset Management | Bolton Securities Corporation | Other | 04-Nov-2019 | 25-Feb-2021 | Investment Advisers/Investment Companies |
| In the Matter of Morgan Stanley Smith Barney LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 07-Nov-2019 | 07-Nov-2019 | Broker Dealer |
| SEC v. Jerry Li | Jerry Li | Individual | 14-Nov-2019 | 28-Jun-2022 | Foreign Corrupt Practices Act |
| In the Matter of Calumet Specialty Products Partners, L.P. | Calumet Specialty Products Partners, L.P. | Public Company | 25-Nov-2019 | 25-Nov-2019 | Issuer Reporting and Disclosure |
| SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken | Michael J. Senken | Individual | 26-Nov-2019 | 26-Nov-2019 | Issuer Reporting and Disclosure |
| SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken | MiMedx Group, Inc. | Public Company | 26-Nov-2019 | 26-Nov-2019 | Issuer Reporting and Disclosure |
| SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken | Parker H. Petit | Individual | 26-Nov-2019 | 26-Nov-2019 | Issuer Reporting and Disclosure |
| SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken | William C. Taylor | Individual | 26-Nov-2019 | 26-Nov-2019 | Issuer Reporting and Disclosure |
| In the Matter of Jatindar Kapur, CPA | Jatindar Kapur, CPA | Individual | 05-Dec-2019 | 05-Dec-2019 | Issuer Reporting and Disclosure |
| In the Matter of Warren Clamen, CPA | Warren Clamen, CPA | Individual | 05-Dec-2019 | 05-Dec-2019 | Issuer Reporting and Disclosure |
| SEC v. Bobby Peavler and William Eric Meek | Bobby Peavler | Individual | 05-Dec-2019 | 27-Mar-2023 | Issuer Reporting and Disclosure |
| SEC v. Bobby Peavler and William Eric Meek | William Eric Meek | Individual | 05-Dec-2019 | 27-Mar-2023 | Issuer Reporting and Disclosure |
| SEC v. Iconix Brand Group, Inc. | Iconix Brand Group, Inc. | Public Company | 05-Dec-2019 | 05-Dec-2019 | Issuer Reporting and Disclosure |
| SEC v. Neil R. Cole and Seth Horowitz | Neil R. Cole | Individual | 05-Dec-2019 | 13-Dec-2019 | Issuer Reporting and Disclosure |
| SEC v. Neil R. Cole and Seth Horowitz | Seth Horowitz | Individual | 05-Dec-2019 | 13-Dec-2019 | Issuer Reporting and Disclosure |
| SEC v. Telefonaktiebolaget LM Ericsson | Telefonaktiebolaget LM Ericsson | Public Company | 06-Dec-2019 | 06-Dec-2019 | Foreign Corrupt Practices Act |
| In the Matter of Jefferies LLC | Jefferies LLC
Aliases |
Subsidiary of Public Company | 09-Dec-2019 | 09-Dec-2019 | Broker Dealer |
| In the Matter of StoneMor Partners L.P. and StoneMor GP LLC | StoneMor GP LLC | Other | 12-Dec-2019 | 12-Dec-2019 | Issuer Reporting and Disclosure |
| In the Matter of StoneMor Partners L.P. and StoneMor GP LLC | StoneMor Partners L.P. | Public Company | 12-Dec-2019 | 12-Dec-2019 | Issuer Reporting and Disclosure |
| In the Matter of Tim Leissner | Tim Leissner | Individual | 16-Dec-2019 | 16-Dec-2019 | Foreign Corrupt Practices Act |
| In the Matter of MetLife, Inc. | MetLife, Inc
Aliases |
Public Company | 18-Dec-2019 | 18-Dec-2019 | Issuer Reporting and Disclosure |
| In the Matter of Quantum Corporation | Quantum Corporation | Public Company | 20-Dec-2019 | 20-Dec-2019 | Issuer Reporting and Disclosure |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 09-Jan-2020 | 09-Jan-2020 | Broker Dealer |
| SEC v. Hill International, Inc. and Ronald Emma | Hill International, Inc. | Public Company | 16-Jan-2020 | 17-Jan-2020 | Issuer Reporting and Disclosure |
| SEC v. Hill International, Inc. and Ronald Emma | Ronald Emma | Individual | 16-Jan-2020 | 17-Jan-2020 | Issuer Reporting and Disclosure |
| SEC v. Nicholas Tornello | Nicholas Tornello | Individual | 16-Jan-2020 | 01-Oct-2020 | Issuer Reporting and Disclosure |
| In the Matter of Diageo plc | Diageo plc | Public Company | 19-Feb-2020 | 19-Feb-2020 | Issuer Reporting and Disclosure |
| In the Matter of Wells Fargo & Company | Wells Fargo & Co.
Aliases |
Public Company | 21-Feb-2020 | 21-Feb-2020 | Issuer Reporting and Disclosure |
| In the Matter of Lone Star Value Management LLC and Jeffrey Eberwein | Jeffrey Eberwein | Individual | 24-Feb-2020 | 24-Feb-2020 | Investment Advisers/Investment Companies |
| In the Matter of Lone Star Value Management LLC and Jeffrey Eberwein | Lone Star Value Management LLC | Subsidiary of Public Company | 24-Feb-2020 | 24-Feb-2020 | Investment Advisers/Investment Companies |
| In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC | Wells Fargo Advisors Financial Network, LLC | Subsidiary of Public Company | 27-Feb-2020 | 27-Feb-2020 | Investment Advisers/Investment Companies |
| In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC | Wells Fargo Clearing Services, LLC | Subsidiary of Public Company | 27-Feb-2020 | 27-Feb-2020 | Investment Advisers/Investment Companies |
| SEC v. SCANA Corporation, Dominion Energy South Carolina, Inc. (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Byrne | Dominion Energy South Carolina, Inc. | Subsidiary of Public Company | 27-Feb-2020 | 02-Dec-2020 | Issuer Reporting and Disclosure |
| SEC v. SCANA Corporation, Dominion Energy South Carolina, Inc. (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Byrne | Kevin B. Marsh | Individual | 27-Feb-2020 | 02-Dec-2020 | Issuer Reporting and Disclosure |
| SEC v. SCANA Corporation, Dominion Energy South Carolina, Inc. (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Byrne | SCANA Corporation | Subsidiary of Public Company | 27-Feb-2020 | 02-Dec-2020 | Issuer Reporting and Disclosure |
| SEC v. SCANA Corporation, Dominion Energy South Carolina, Inc. (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Byrne | Stephen A. Byrne | Individual | 27-Feb-2020 | 02-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Cardinal Health, Inc. | Cardinal Health, Inc. | Public Company | 28-Feb-2020 | 28-Feb-2020 | Foreign Corrupt Practices Act |
| In the Matter of HSBC Securities (USA) Inc. | HSBC Securities (USA) Inc. | Subsidiary of Public Company | 16-Mar-2020 | 16-Mar-2020 | Investment Advisers/Investment Companies |
| In the Matter of Ronald Emma, CPA | Ronald Emma | Individual | 20-Mar-2020 | 20-Mar-2020 | Issuer Reporting and Disclosure |
| In the Matter of Eni S.p.A. | ENI, S.p.A.
Aliases |
Public Company | 17-Apr-2020 | 17-Apr-2020 | Foreign Corrupt Practices Act |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 17-Apr-2020 | 17-Apr-2020 | Investment Advisers/Investment Companies |
| In the Matter of RBC Capital Markets LLC | RBC Capital Markets, LLC
Aliases |
Subsidiary of Public Company | 24-Apr-2020 | 24-Apr-2020 | Broker Dealer |
| In the Matter of Todd H. Takeyasu, CA | Todd H. Takeyasu
Aliases |
Individual | 01-May-2020 | 01-May-2020 | Issuer Reporting and Disclosure |
| In the Matter of Barry R. Bekkedam | Barry R. Bekkedam | Individual | 05-May-2020 | Investment Advisers/Investment Companies | |
| In the Matter of Jeffery A. Curran, CA | Jeffrey A. Curran
Aliases |
Individual | 05-May-2020 | 05-May-2020 | Issuer Reporting and Disclosure |
| In the Matter of Morgan Stanley Smith Barney LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 12-May-2020 | 12-May-2020 | Investment Advisers/Investment Companies |
| In the Matter of Morningstar Credit Ratings, LLC | Morningstar Credit Ratings, LLC | Subsidiary of Public Company | 15-May-2020 | 15-May-2020 | Other |
| In the Matter of Ares Management LLC | Ares Management LLC | Subsidiary of Public Company | 26-May-2020 | 26-May-2020 | Investment Advisers/Investment Companies |
| In the Matter of Warren A. Davis | Warren A. Davis | Individual | 27-May-2020 | Broker Dealer | |
| In the Matter of U.S. Bancorp Investments, Inc. | U.S. Bancorp Investments, Inc. | Subsidiary of Public Company | 01-Jun-2020 | 01-Jun-2020 | Investment Advisers/Investment Companies |
| In the Matter of Argo Group International Holdings, Ltd. | Argo Group International Holdings, Ltd. | Public Company | 04-Jun-2020 | 04-Jun-2020 | Issuer Reporting and Disclosure |
| In the Matter of Louis Navellier and Navellier & Associates, Inc. | Louis Navellier | Individual | 12-Jun-2020 | Investment Advisers/Investment Companies | |
| In the Matter of Louis Navellier and Navellier & Associates, Inc. | Navellier & Associates, Inc. | Other | 12-Jun-2020 | Investment Advisers/Investment Companies | |
| SEC v. AmTrust Financial Services, Inc. and Ronald E. Pipoly, Jr. | AmTrust Financial Services, Inc. | Public Company | 17-Jun-2020 | 17-Jun-2020 | Issuer Reporting and Disclosure |
| SEC v. AmTrust Financial Services, Inc. and Ronald E. Pipoly, Jr. | Ronald E. Pipoly, Jr. | Individual | 17-Jun-2020 | 17-Jun-2020 | Issuer Reporting and Disclosure |
| In the Matter of VEREIT, Inc. | VEREIT, Inc.
Aliases |
Public Company | 23-Jun-2020 | 23-Jun-2020 | Issuer Reporting and Disclosure |
| In the Matter of Novartis AG | Novartis AG | Public Company | 25-Jun-2020 | 25-Jun-2020 | Foreign Corrupt Practices Act |
| In the Matter of Alexion Pharmaceuticals, Inc. | Alexion Pharmaceuticals, Inc. | Public Company | 02-Jul-2020 | 02-Jul-2020 | Foreign Corrupt Practices Act |
| In the Matter of Franklin Advisers, Inc., and Franklin Templeton Investments Corp. | Franklin Advisers, Inc. | Subsidiary of Public Company | 02-Jul-2020 | 02-Jul-2020 | Investment Advisers/Investment Companies |
| In the Matter of Franklin Advisers, Inc., and Franklin Templeton Investments Corp. | Franklin Templeton Investments Corp. | Subsidiary of Public Company | 02-Jul-2020 | 02-Jul-2020 | Investment Advisers/Investment Companies |
| In the Matter of First Western Capital Management Company | First Western Capital Management Company | Subsidiary of Public Company | 16-Jul-2020 | 16-Jul-2020 | Investment Advisers/Investment Companies |
| In the Matter of John J. Marvin | John J. Marvin | Individual | 20-Jul-2020 | 20-Jul-2020 | Municipal Securities & Public Pensions |
| In the Matter of UBS Financial Services Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 20-Jul-2020 | 20-Jul-2020 | Municipal Securities & Public Pensions |
| In the Matter of William S. Costas | William S. Costas | Individual | 20-Jul-2020 | 20-Jul-2020 | Municipal Securities & Public Pensions |
| In the Matter of VALIC Financial Advisors, Inc. | VALIC Financial Advisors, Inc. | Subsidiary of Public Company | 28-Jul-2020 | 28-Jul-2020 | Investment Advisers/Investment Companies |
| In the Matter of VALIC Financial Advisors, Inc. | VALIC Financial Advisors, Inc. | Subsidiary of Public Company | 28-Jul-2020 | 28-Jul-2020 | Investment Advisers/Investment Companies |
| In the Matter of Howard B. Schiller | Howard B. Schiller | Individual | 31-Jul-2020 | 31-Jul-2020 | Issuer Reporting and Disclosure |
| In the Matter of J. Michael Pearson | J. Michael Pearson | Individual | 31-Jul-2020 | 31-Jul-2020 | Issuer Reporting and Disclosure |
| In the Matter of Tanya R. Carro, CPA | Tanya R. Carro, CPA | Individual | 31-Jul-2020 | 31-Jul-2020 | Issuer Reporting and Disclosure |
| In the Matter of Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies Inc. | Bausch Health Companies, Inc.
Aliases |
Public Company | 31-Jul-2020 | 31-Jul-2020 | Issuer Reporting and Disclosure |
| In the Matter of World Acceptance Corporation | World Acceptance Corporation | Public Company | 06-Aug-2020 | 06-Aug-2020 | Foreign Corrupt Practices Act |
| SEC v. Mark P. Frissora | Mark P. Frissora | Individual | 13-Aug-2020 | 26-Aug-2020 | Issuer Reporting and Disclosure |
| In the Matter of Charles Liang | Charles Liang | Individual | 25-Aug-2020 | 25-Aug-2020 | Issuer Reporting and Disclosure |
| In the Matter of Howard Hideshima | Howard Hideshima | Individual | 25-Aug-2020 | 25-Aug-2020 | Issuer Reporting and Disclosure |
| In the Matter of Super Micro Computer, Inc. | Super Micro Computer, Inc. | Public Company | 25-Aug-2020 | 25-Aug-2020 | Issuer Reporting and Disclosure |
| In the Matter of BorgWarner Inc. | BorgWarner Inc. | Public Company | 26-Aug-2020 | 26-Aug-2020 | Issuer Reporting and Disclosure |
| In the Matter of Herbalife Nutrition Ltd. | Herbalife Nutrition Ltd. | Public Company | 28-Aug-2020 | 28-Aug-2020 | Foreign Corrupt Practices Act |
| In the Matter of FuelCell Energy, Inc. | FuelCell Energy, Inc. | Public Company | 03-Sep-2020 | 03-Sep-2020 | Securities Offering |
| In the Matter of National Financial Services LLC | National Financial Services LLC | Other | 03-Sep-2020 | 03-Sep-2020 | Securities Offering |
| In the Matter of Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited | Northern Trust Global Fund Services Cayman Limited | Subsidiary of Public Company | 18-Sep-2020 | 18-Sep-2020 | Investment Advisers/Investment Companies |
| In the Matter of Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited | Northern Trust Hedge Fund Services LLC | Subsidiary of Public Company | 18-Sep-2020 | 18-Sep-2020 | Investment Advisers/Investment Companies |
| In the Matter of RCI Hospitality Holdings, Inc., Eric S. Langan, and Phillip K. Marshall, CPA | Eric S. Langan | Individual | 21-Sep-2020 | 21-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of RCI Hospitality Holdings, Inc., Eric S. Langan, and Phillip K. Marshall, CPA | Phillip K. Marshall, CPA | Individual | 21-Sep-2020 | 21-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of RCI Hospitality Holdings, Inc., Eric S. Langan, and Phillip K. Marshall, CPA | RCI Hospitality Holdings, Inc. | Public Company | 21-Sep-2020 | 21-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Steven L. Jenkins, CPA | Steven L. Jenkins, CPA | Individual | 21-Sep-2020 | 21-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Credit Suisse Securities (USA) LLC | Credit Suisse Securities (USA) LLC | Subsidiary of Public Company | 22-Sep-2020 | 22-Sep-2020 | Broker Dealer |
| In the Matter of Power Solutions International, Inc. | Power Solutions International, Inc. | Public Company | 24-Sep-2020 | 24-Sep-2020 | Issuer Reporting and Disclosure |
| SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner | Allen Garner | Individual | 24-Sep-2020 | 24-Sep-2020 | Issuer Reporting and Disclosure |
| SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner | Daniel O'Neal | Individual | 24-Sep-2020 | 24-Sep-2020 | Issuer Reporting and Disclosure |
| SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner | James DePalma | Individual | 24-Sep-2020 | 24-Sep-2020 | Issuer Reporting and Disclosure |
| SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner | Revolution Lighting Technologies, Inc. | Public Company | 24-Sep-2020 | 24-Sep-2020 | Issuer Reporting and Disclosure |
| SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner | Robert LaPenta | Individual | 24-Sep-2020 | 24-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Aeon Global Health Corp. | Aeon Global Health Corp. | Public Company | 25-Sep-2020 | 25-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Hancock Whitney Investment Services, Inc. | Hancock Whitney Investment Services, Inc. | Subsidiary of Public Company | 25-Sep-2020 | 25-Sep-2020 | Investment Advisers/Investment Companies |
| In the Matter of Precigen, Inc. (f/k/a Intrexon Corporation) | Precigen, Inc. | Public Company | 25-Sep-2020 | 25-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Fiat Chrysler Automobiles N.V. | Fiat Chrysler Automobiles N.V. | Public Company | 28-Sep-2020 | 28-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Fulton Financial Corporation | Fulton Financial Corporation | Public Company | 28-Sep-2020 | 28-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA | Gregory J. Bauer, CPA | Individual | 28-Sep-2020 | 28-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA | Interface, Inc. | Public Company | 28-Sep-2020 | 28-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA | Patrick C. Lynch, CPA | Individual | 28-Sep-2020 | 28-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Andrew Rooke | Andrew Rooke | Individual | 29-Sep-2020 | 29-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 29-Sep-2020 | 29-Sep-2020 | Market Manipulation |
| In the Matter of Manitex International, Inc. | Manitex International, Inc. | Public Company | 29-Sep-2020 | 29-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Michael Schneider, CPA | Michael Schneider, CPA | Individual | 29-Sep-2020 | 29-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Stephen Harrison | Stephen Harrison | Individual | 29-Sep-2020 | 29-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of BGC Partners, Inc. | BGC Partners, Inc. | Public Company | 30-Sep-2020 | 30-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Hilton Worldwide Holdings Inc. | Hilton Worldwide Holdings Inc. | Public Company | 30-Sep-2020 | 30-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of HP Inc. | HP Inc. | Public Company | 30-Sep-2020 | 30-Sep-2020 | Issuer Reporting and Disclosure |
| In the Matter of Morgan Stanley & Co. LLC | Morgan Stanley and Co. LLC
Aliases |
Subsidiary of Public Company | 30-Sep-2020 | 30-Sep-2020 | Broker Dealer |
| In the Matter of Transamerica Asset Management, Inc. | Transamerica Asset Management, Inc. | Subsidiary of Public Company | 30-Sep-2020 | 30-Sep-2020 | Investment Advisers/Investment Companies |
| SEC v. Akazoo S.A. | Akazoo S.A. | Public Company | 30-Sep-2020 | 02-Apr-2021 | Issuer Reporting and Disclosure |
| In the Matter of Nicholas Tornello, CPA | Nicholas Tornello | Individual | 05-Oct-2020 | 05-Oct-2020 | Issuer Reporting and Disclosure |
| SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) | Brent N. Whiteley | Individual | 08-Oct-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) | Brian A. Beatty | Individual | 08-Oct-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) | Jeffrey H. Hastings | Individual | 08-Oct-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) | Michael J. Scott | Individual | 08-Oct-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) | SAExploration Holdings, Inc. | Public Company | 08-Oct-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Allen Garner | Allen Garner | Individual | 14-Oct-2020 | 14-Oct-2020 | Issuer Reporting and Disclosure |
| In the Matter of Daniel O'Neal | Daniel O'Neal | Individual | 14-Oct-2020 | 14-Oct-2020 | Issuer Reporting and Disclosure |
| In the Matter of James DePalma, CPA | James DePalma | Individual | 14-Oct-2020 | 14-Oct-2020 | Issuer Reporting and Disclosure |
| In the Matter of Andeavor LLC | Andeavor LLC | Subsidiary of Public Company | 15-Oct-2020 | 15-Oct-2020 | Issuer Reporting and Disclosure |
| In the Matter of The Goldman Sachs Group, Inc. | The Goldman Sachs Group, Inc
Aliases |
Public Company | 22-Oct-2020 | 22-Oct-2020 | Foreign Corrupt Practices Act |
| In the Matter of Mohammed Ali Rashid | Mohammed Ali Rashid | Individual | 26-Oct-2020 | Investment Advisers/Investment Companies | |
| In the Matter of John G. Stumpf | John G. Stumpf | Individual | 13-Nov-2020 | 13-Nov-2020 | Issuer Reporting and Disclosure |
| In the Matter of Royal Alliance Associates, Inc. | Royal Alliance Associates, Inc. | Subsidiary of Public Company | 13-Nov-2020 | 13-Nov-2020 | Investment Advisers/Investment Companies |
| In the Matter of Securities America Advisors, Inc. | Securities America Advisors, Inc. | Subsidiary of Public Company | 13-Nov-2020 | 13-Nov-2020 | Investment Advisers/Investment Companies |
| In the Matter of Summit Financial Group, Inc. | Summit Financial Group, Inc. | Subsidiary of Public Company | 13-Nov-2020 | 13-Nov-2020 | Investment Advisers/Investment Companies |
| SEC v. Carrie L. Tolstedt | Carrie L. Tolstedt | Individual | 13-Nov-2020 | 31-May-2023 | Issuer Reporting and Disclosure |
| SEC v. Eugenio Garcia Jimenez, Jr. | Eugenio Garcia Jimenez, Jr. | Individual | 01-Dec-2020 | Investment Advisers/Investment Companies | |
| In the Matter of The Cheesecake Factory Incorporated | The Cheesecake Factory Incorporated | Public Company | 04-Dec-2020 | 04-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Covia Holdings Corp. and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC | Covia Holdings Corp. | Public Company | 08-Dec-2020 | 08-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Covia Holdings Corp. and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC | Fairmount Santrol Holdings Inc.
Aliases |
Subsidiary of Public Company | 08-Dec-2020 | 08-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of General Electric Company | General Electric Company | Public Company | 09-Dec-2020 | 09-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of ICE Data Pricing & Reference Data, LLC | ICE Data Pricing & Reference Data, LLC | Subsidiary of Public Company | 09-Dec-2020 | 09-Dec-2020 | Investment Advisers/Investment Companies |
| In the Matter of Mark E. Watson III | Mark E. Watson III | Individual | 10-Dec-2020 | 10-Dec-2020 | Issuer Reporting and Disclosure |
| SEC v. Sequential Brands Group, Inc. | Sequential Brands Group, Inc. | Public Company | 11-Dec-2020 | 01-Dec-2021 | Issuer Reporting and Disclosure |
| In the Matter of Belden Inc. and Dennis Wiser, CPA | Belden Inc. | Public Company | 14-Dec-2020 | 14-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Belden Inc. and Dennis Wiser, CPA | Dennis Wiser, CPA | Individual | 14-Dec-2020 | 14-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Dentsply Sirona Inc. | Dentsply Sirona Inc. | Public Company | 16-Dec-2020 | 16-Dec-2020 | Issuer Reporting and Disclosure |
| SEC v. Luckin Coffee, Inc. | Luckin Coffee Inc. | Public Company | 16-Dec-2020 | 16-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Apex Global Brands Inc., fka Cherokee Inc. | Apex Global Brands Inc. | Public Company | 17-Dec-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Jason Boling, CPA | Jason Boling, CPA | Individual | 17-Dec-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. | Alejandro Valdez Mendoza, C.P. | Individual | 17-Dec-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. | Angel Radames Corral Nieblas, C.P. | Individual | 17-Dec-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. | Mancera, S.C. | Other | 17-Dec-2020 | 17-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of Cormark Securities Inc. | Cormark Securities Inc. | Other | 21-Dec-2020 | 21-Dec-2020 | Broker Dealer |
| In the Matter of India Globalization Capital, Inc. and Ramachandra "Ram" Mukunda | India Globalization Capital, Inc. | Public Company | 21-Dec-2020 | 21-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of India Globalization Capital, Inc. and Ramachandra "Ram" Mukunda | Ramachandra "Ram" Mukunda | Individual | 21-Dec-2020 | 21-Dec-2020 | Issuer Reporting and Disclosure |
| In the Matter of ITG Canada Corp. n/k/a Virtu ITG Canada Corp. | ITG Canada Corp. | Subsidiary of Public Company | 21-Dec-2020 | 21-Dec-2020 | Broker Dealer |
| In the Matter of Voya Financial Advisors, Inc. | Voya Financial Advisors, Inc. | Subsidiary of Public Company | 21-Dec-2020 | 21-Dec-2020 | Investment Advisers/Investment Companies |
| In the Matter of Pruco Securities, LLC | Pruco Securities, LLC | Subsidiary of Public Company | 23-Dec-2020 | 23-Dec-2020 | Investment Advisers/Investment Companies |
| In the Matter of Barry F. Connell | Barry F. Connell | Individual | 05-Jan-2021 | 05-Jan-2021 | Investment Advisers/Investment Companies |
| In the Matter of Deutsche Bank AG | Deutsche Bank AG | Public Company | 08-Jan-2021 | 08-Jan-2021 | Foreign Corrupt Practices Act |
| In the Matter of Winslow, Evans & Croker, Inc. | Winslow, Evans & Crocker, Inc. | Subsidiary of Public Company | 11-Feb-2021 | 11-Feb-2021 | Investment Advisers/Investment Companies |
| SEC v. Morningstar Credit Ratings, LLC | Morningstar Credit Ratings, LLC | Subsidiary of Public Company | 16-Feb-2021 | 07-Jun-2022 | Other |
| In the Matter of Gulfport Energy Corporation | Gulfport Energy Corporation | Public Company | 24-Feb-2021 | 24-Feb-2021 | Issuer Reporting and Disclosure |
| In the Matter of Michael G. Moore | Michael G. Moore | Individual | 24-Feb-2021 | 24-Feb-2021 | Issuer Reporting and Disclosure |
| In the Matter of Ross McLellan | Ross I. McLellan | Individual | 02-Mar-2021 | 02-Mar-2021 | Broker Dealer |
| SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black | AT&T, Inc. | Public Company | 05-Mar-2021 | 05-Dec-2022 | Issuer Reporting and Disclosure |
| SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black | Christopher C. Womack | Individual | 05-Mar-2021 | 05-Dec-2022 | Issuer Reporting and Disclosure |
| SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black | Kent D. Evans | Individual | 05-Mar-2021 | 05-Dec-2022 | Issuer Reporting and Disclosure |
| SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black | Michael J. Black | Individual | 05-Mar-2021 | 05-Dec-2022 | Issuer Reporting and Disclosure |
| In the Matter of Asta Funding, Inc. | Asta Funding, Inc. | Public Company | 29-Apr-2021 | 29-Apr-2021 | Issuer Reporting and Disclosure |
| In the Matter of ShiftPixy, Inc. | ShiftPixy, Inc. | Public Company | 29-Apr-2021 | 29-Apr-2021 | Issuer Reporting and Disclosure |
| In the Matter of Under Armour, Inc. | Under Armour, Inc. | Public Company | 03-May-2021 | 03-May-2021 | Issuer Reporting and Disclosure |
| In the Matter of S&P Dow Jones Indices LLC | S&P Dow Jones Indices LLC | Subsidiary of Public Company | 17-May-2021 | 17-May-2021 | Other |
| In the Matter of First American Financial Corporation | First American Financial Corporation | Public Company | 14-Jun-2021 | 14-Jun-2021 | Issuer Reporting and Disclosure |
| In the Matter of Gateway One Lending & Finance, LLC | Gateway One Lending & Finance, LLC | Subsidiary of Public Company | 24-Jun-2021 | 24-Jun-2021 | Securities Offering |
| In the Matter of Amec Foster Wheeler Limited | Amec Foster Wheeler Limited | Public Company | 25-Jun-2021 | 25-Jun-2021 | Foreign Corrupt Practices Act |
| In the Matter of Neovest, Inc. | Neovest, Inc. | Subsidiary of Public Company | 29-Jun-2021 | 29-Jun-2021 | Broker Dealer |
| In the Matter of Securities America Advisors, Inc. | Securities America Advisors, Inc. | Subsidiary of Public Company | 30-Jun-2021 | 30-Jun-2021 | Investment Advisers/Investment Companies |
| In the Matter of Hilltop Securities Inc. and Daniel C. Tracy | Daniel C. Tracy | Individual | 09-Jul-2021 | 09-Jul-2021 | Municipal Securities & Public Pensions |
| In the Matter of Hilltop Securities Inc. and Daniel C. Tracy | Hilltop Securities Inc.
Aliases |
Subsidiary of Public Company | 09-Jul-2021 | 09-Jul-2021 | Municipal Securities & Public Pensions |
| In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot | Brian Kabot | Individual | 13-Jul-2021 | 13-Jul-2021 | Issuer Reporting and Disclosure |
| In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot | Momentus, Inc. | Other | 13-Jul-2021 | 13-Jul-2021 | Issuer Reporting and Disclosure |
| In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot | SRC-NI Holdings, LLC | Other | 13-Jul-2021 | 13-Jul-2021 | Issuer Reporting and Disclosure |
| In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot | Stable Road Acquisition Corp. | Public Company | 13-Jul-2021 | 13-Jul-2021 | Issuer Reporting and Disclosure |
| In the Matter of Paul L. Chancey, Jr., CPA | Paul L. Chancey, Jr. CPA | Individual | 13-Jul-2021 | 27-Sep-2024 | Issuer Reporting and Disclosure |
| SEC v. Mikhail Kokorich | Mikhail Kokorich | Individual | 13-Jul-2021 | Issuer Reporting and Disclosure | |
| In the Matter of UBS Financial Services Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 19-Jul-2021 | 19-Jul-2021 | Investment Advisers/Investment Companies |
| In the Matter of Tandy Leather Factory, Inc. and Shannon Greene, CPA | Shannon Greene, CPA | Individual | 21-Jul-2021 | 21-Jul-2021 | Issuer Reporting and Disclosure |
| In the Matter of Tandy Leather Factory, Inc. and Shannon Greene, CPA | Tandy Leather Factory, Inc. | Public Company | 21-Jul-2021 | 21-Jul-2021 | Issuer Reporting and Disclosure |
| In the Matter of Brent Whiteley, Esq. | Brent N. Whiteley | Individual | 26-Jul-2021 | 26-Jul-2021 | Issuer Reporting and Disclosure |
| In the Matter of Michael Mortimer | Michael Mortimer | Individual | 26-Jul-2021 | 26-Jul-2021 | Issuer Reporting and Disclosure |
| In the Matter of Steven A. Splain, CPA | Steven A. Splain | Individual | 26-Jul-2021 | 26-Jul-2021 | Issuer Reporting and Disclosure |
| SEC v. Trevor R. Milton | Trevor R. Milton | Individual | 29-Jul-2021 | Issuer Reporting and Disclosure | |
| In the Matter of Paycom Software, Inc. | Paycom Software, Inc. | Public Company | 30-Jul-2021 | 30-Jul-2021 | Issuer Reporting and Disclosure |
| SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson | JanOne Inc. | Public Company | 02-Aug-2021 | 23-Jul-2024 | Issuer Reporting and Disclosure |
| SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson | John Isaac | Individual | 02-Aug-2021 | 23-Jul-2024 | Issuer Reporting and Disclosure |
| SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson | Kingston Diversified Holdings LLC | Other | 02-Aug-2021 | 23-Jul-2024 | Issuer Reporting and Disclosure |
| SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson | Live Ventures Incorporated | Public Company | 02-Aug-2021 | 23-Jul-2024 | Issuer Reporting and Disclosure |
| SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson | Virland A. Johnson | Individual | 02-Aug-2021 | 23-Jul-2024 | Issuer Reporting and Disclosure |
| In the Matter of National Beverage Corp. | National Beverage Corp. | Public Company | 04-Aug-2021 | 04-Aug-2021 | Issuer Reporting and Disclosure |
| In the Matter of Gary S. Klein | Gary S. Klein | Individual | 09-Aug-2021 | 09-Aug-2021 | Issuer Reporting and Disclosure |
| In the Matter of Pearson plc | Pearson Plc | Public Company | 16-Aug-2021 | 16-Aug-2021 | Issuer Reporting and Disclosure |
| In the Matter of Sofi Wealth, LLC | Sofi Wealth, LLC. | Subsidiary of Public Company | 19-Aug-2021 | 19-Aug-2021 | Investment Advisers/Investment Companies |
| In the Matter of Healthcare Services Group, Inc., John C. Shea, CPA, and Derya D. Warner | Derya D. Warner | Individual | 24-Aug-2021 | 24-Aug-2021 | Issuer Reporting and Disclosure |
| In the Matter of Healthcare Services Group, Inc., John C. Shea, CPA, and Derya D. Warner | Healthcare Services Group, Inc. | Public Company | 24-Aug-2021 | 24-Aug-2021 | Issuer Reporting and Disclosure |
| In the Matter of Healthcare Services Group, Inc., John C. Shea, CPA, and Derya D. Warner | John C. Shea, CPA | Individual | 24-Aug-2021 | 24-Aug-2021 | Issuer Reporting and Disclosure |
| In the Matter of Northwest Advisors, Inc. | Northwest Advisors, Inc. | Subsidiary of Public Company | 24-Aug-2021 | 24-Aug-2021 | Investment Advisers/Investment Companies |
| In the Matter of KMS Financial Services, Inc. | KMS Financial Services, Inc. | Subsidiary of Public Company | 30-Aug-2021 | 30-Aug-2021 | Investment Advisers/Investment Companies |
| In the Matter of Pareteum Corporation | Pareteum Corporation | Public Company | 02-Sep-2021 | 02-Sep-2021 | Issuer Reporting and Disclosure |
| SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness | Cavco Industries, Inc. | Public Company | 02-Sep-2021 | 07-Sep-2021 | Insider Trading |
| SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness | Daniel Urness | Individual | 02-Sep-2021 | 07-Sep-2021 | Insider Trading |
| SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness | Joseph Stegmayer | Individual | 02-Sep-2021 | 07-Sep-2021 | Insider Trading |
| SEC v. Robert Scott Parkhurst | Robert Scott Parkhurst | Individual | 02-Sep-2021 | 08-Oct-2021 | Insider Trading |
| In the Matter of The Kraft Heinz Co., and Eduardo Pelleissone | Eduardo Pelleissone | Individual | 03-Sep-2021 | 03-Sep-2021 | Issuer Reporting and Disclosure |
| In the Matter of The Kraft Heinz Co., and Eduardo Pelleissone | The Kraft Heinz Co. | Public Company | 03-Sep-2021 | 03-Sep-2021 | Issuer Reporting and Disclosure |
| SEC v. Klaus Hofmann | Klaus Hofmann | Individual | 03-Sep-2021 | 09-Sep-2021 | Issuer Reporting and Disclosure |
| In the Matter of DBRS, Inc. | DBRS, Inc. | Subsidiary of Public Company | 13-Sep-2021 | 13-Sep-2021 | Other |
| In the Matter of Jaime L. Durando | Jaime L. Durando | Individual | 17-Sep-2021 | 17-Sep-2021 | Municipal Securities & Public Pensions |
| In the Matter of Kenneth G. Friedrich | Kenneth G. Friedrich | Individual | 17-Sep-2021 | 17-Sep-2021 | Municipal Securities & Public Pensions |
| In the Matter of RBC Capital Markets, LLC | RBC Capital Markets, LLC
Aliases |
Subsidiary of Public Company | 17-Sep-2021 | 17-Sep-2021 | Municipal Securities & Public Pensions |
| In the Matter of WPP plc | WPP plc | Public Company | 24-Sep-2021 | 24-Sep-2021 | Foreign Corrupt Practices Act |
| In the Matter of Carlos Javier Moctezuma Velasco | Carlos Javier Moctezuma Velasco | Individual | 27-Sep-2021 | Issuer Reporting and Disclosure | |
| In the Matter of Cowen Prime Advisors LLC | Cowen Prime Advisors LLC | Subsidiary of Public Company | 27-Sep-2021 | 27-Sep-2021 | Investment Advisers/Investment Companies |
| In the Matter of Noe Corrales Reyes | Noe Corrales Reyes | Individual | 27-Sep-2021 | Issuer Reporting and Disclosure | |
| In the Matter of Ramón Lafarga Bátiz | Ramón Lafarga Bátiz | Individual | 27-Sep-2021 | Issuer Reporting and Disclosure | |
| In the Matter of Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA | Craig A. Golding, CPA | Individual | 27-Sep-2021 | 27-Sep-2021 | Issuer Reporting and Disclosure |
| In the Matter of Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA | Ravindranathan Raghunathan, CPA | Individual | 27-Sep-2021 | 27-Sep-2021 | Issuer Reporting and Disclosure |
| In the Matter of LPL Financial LLC | LPL Financial LLC | Subsidiary of Public Company | 30-Sep-2021 | 30-Sep-2021 | Broker Dealer |
| In the Matter of Amyris, Inc. | Amyris, Inc. | Public Company | 15-Oct-2021 | 15-Oct-2021 | Issuer Reporting and Disclosure |
| In the Matter of Credit Suisse Group AG | Credit Suisse Group AG
Aliases |
Public Company | 19-Oct-2021 | 19-Oct-2021 | Foreign Corrupt Practices Act |
| In the Matter of VTB Capital plc | VTB Capital Plc | Other | 19-Oct-2021 | 19-Oct-2021 | Securities Offering |
| In the Matter of United States Commodity Funds LLC and United States Oil Fund, LP | United States Commodity Funds LLC | Other | 08-Nov-2021 | 08-Nov-2021 | Issuer Reporting and Disclosure |
| In the Matter of United States Commodity Funds LLC and United States Oil Fund, LP | United States Oil Fund, LP | Public Company | 08-Nov-2021 | 08-Nov-2021 | Issuer Reporting and Disclosure |
| In the Matter of ProPetro Holding Corp. and Dale Redman | Dale Redman | Individual | 22-Nov-2021 | 22-Nov-2021 | Issuer Reporting and Disclosure |
| In the Matter of ProPetro Holding Corp. and Dale Redman | ProPetro Holding Corp. | Public Company | 22-Nov-2021 | 22-Nov-2021 | Issuer Reporting and Disclosure |
| SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith | American Renal Associates Holdings, Inc. | Public Company | 06-Dec-2021 | 06-Dec-2021 | Issuer Reporting and Disclosure |
| SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith | Jason M. Boucher | Individual | 06-Dec-2021 | 06-Dec-2021 | Issuer Reporting and Disclosure |
| SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith | Jonathan L. Wilcox | Individual | 06-Dec-2021 | 06-Dec-2021 | Issuer Reporting and Disclosure |
| SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith | Karen J. Smith | Individual | 06-Dec-2021 | 06-Dec-2021 | Issuer Reporting and Disclosure |
| In the Matter of WEX Inc. | WEX Inc. | Public Company | 13-Dec-2021 | 13-Dec-2021 | Issuer Reporting and Disclosure |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 17-Dec-2021 | 17-Dec-2021 | Broker Dealer |
| In the Matter of 1st Global Advisors, Inc., now known as Avantax Advisory Services, Inc. | 1St Global Advisors, Inc., Now Known as Avantax Advisory Services, Inc. | Subsidiary of Public Company | 20-Dec-2021 | 20-Dec-2021 | Investment Advisers/Investment Companies |
| In the Matter of Nikola Corporation | Nikola Corporation | Public Company | 21-Dec-2021 | 21-Dec-2021 | Issuer Reporting and Disclosure |
| SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium, Inc. | Andrew Murstein | Individual | 29-Dec-2021 | Issuer Reporting and Disclosure | |
| SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium, Inc. | Ichabod's Cranium, Inc. | Other | 29-Dec-2021 | Issuer Reporting and Disclosure | |
| SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium, Inc. | Lawrence Meyers | Individual | 29-Dec-2021 | Issuer Reporting and Disclosure | |
| SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium, Inc. | Medallion Financial Corp. | Public Company | 29-Dec-2021 | Issuer Reporting and Disclosure | |
| In the Matter of Leaf Group Ltd. | Leaf Group Ltd. | Subsidiary of Public Company | 07-Jan-2022 | 07-Jan-2022 | Issuer Reporting and Disclosure |
| In the Matter of tZERO ATS, LLC | tZERO ATS, LLC | Subsidiary of Public Company | 10-Jan-2022 | 10-Jan-2022 | Broker Dealer |
| In the Matter of KT Corporation | KT Corporation | Public Company | 17-Feb-2022 | 17-Feb-2022 | Foreign Corrupt Practices Act |
| In the Matter of Baxter International Inc. | Baxter International Inc. | Public Company | 22-Feb-2022 | 22-Feb-2022 | Issuer Reporting and Disclosure |
| In the Matter of Jeffrey Schaible | Jeffrey Schaible | Individual | 22-Feb-2022 | 22-Feb-2022 | Issuer Reporting and Disclosure |
| In the Matter of Scott Bohaboy | Scott Bohaboy | Individual | 22-Feb-2022 | 22-Feb-2022 | Issuer Reporting and Disclosure |
| In the Matter of City National Rochdale, LLC | City National Rochdale, LLC | Subsidiary of Public Company | 03-Mar-2022 | 03-Mar-2022 | Investment Advisers/Investment Companies |
| In the Matter of Rollins, Inc., and Paul Edward Northen | Paul Edward Northen | Individual | 18-Apr-2022 | 18-Apr-2022 | Issuer Reporting and Disclosure |
| In the Matter of Rollins, Inc., and Paul Edward Northen | Rollins, Inc. | Public Company | 18-Apr-2022 | 18-Apr-2022 | Issuer Reporting and Disclosure |
| In the Matter of Stericycle, Inc. | Stericycle, Inc. | Public Company | 20-Apr-2022 | 20-Apr-2022 | Foreign Corrupt Practices Act |
| In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube | Brook B. Taube | Individual | 28-Apr-2022 | 28-Apr-2022 | Issuer Reporting and Disclosure |
| In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube | Medley Management Inc. | Public Company | 28-Apr-2022 | 28-Apr-2022 | Issuer Reporting and Disclosure |
| In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube | Seth B. Taube | Individual | 28-Apr-2022 | 28-Apr-2022 | Issuer Reporting and Disclosure |
| SEC v. Vale S.A. | Vale S.A. | Public Company | 28-Apr-2022 | 28-Mar-2023 | Issuer Reporting and Disclosure |
| In the Matter of NVIDIA Corporation | NVIDIA Corporation | Public Company | 06-May-2022 | 06-May-2022 | Issuer Reporting and Disclosure |
| In the Matter of First Republic Investment Management, Inc. | First Republic Investment Management, Inc. | Subsidiary of Public Company | 19-May-2022 | 19-May-2022 | Investment Advisers/Investment Companies |
| In the Matter of Wells Fargo Clearing Services, LLC | Wells Fargo Clearing Services, LLC | Subsidiary of Public Company | 20-May-2022 | 20-May-2022 | Broker Dealer |
| In the Matter of BNY Mellon Investment Adviser, Inc. | BNY Mellon Investment Adviser, Inc. | Subsidiary of Public Company | 23-May-2022 | 23-May-2022 | Investment Advisers/Investment Companies |
| In the Matter of RiverSource Distributors, Inc. | RiverSource Distributors, Inc. | Subsidiary of Public Company | 25-May-2022 | 25-May-2022 | Investment Advisers/Investment Companies |
| SEC v. iFresh, Inc. and Long Deng | iFresh, Inc. | Public Company | 31-May-2022 | 17-Oct-2022 | Issuer Reporting and Disclosure |
| SEC v. iFresh, Inc. and Long Deng | Long Deng | Individual | 31-May-2022 | 17-Oct-2022 | Issuer Reporting and Disclosure |
| SEC v. Marc S. Schessel and SCWorx Corporation | Marc S. Schessel | Individual | 31-May-2022 | 31-May-2022 | Securities Offering |
| SEC v. Marc S. Schessel and SCWorx Corporation | SCWorx Corp. | Public Company | 31-May-2022 | 31-May-2022 | Securities Offering |
| In the Matter of Tenaris S.A. | Tenaris S.A. | Public Company | 02-Jun-2022 | 02-Jun-2022 | Foreign Corrupt Practices Act |
| In the Matter of Clayton "Charlie" Thomas | Clayton "Charlie" Thomas | Individual | 07-Jun-2022 | 07-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Daniel Ives | Daniel Ives | Individual | 07-Jun-2022 | 07-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of John Murdock | John Murdock | Individual | 07-Jun-2022 | 07-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Marc Bandini | Marc Bandini | Individual | 07-Jun-2022 | 07-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Ronald Prague, Esq. | Ronald Prague, Esq. | Individual | 07-Jun-2022 | 07-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Stephen G. Waldis | Stephen G. Waldis | Individual | 07-Jun-2022 | 07-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Synchronoss Technologies, Inc. | Synchronoss Technologies, Inc. | Public Company | 07-Jun-2022 | 07-Jun-2022 | Issuer Reporting and Disclosure |
| SEC v. Karen Rosenberger and Joanna Lanni | Joanna Lanni | Individual | 07-Jun-2022 | 08-Apr-2024 | Issuer Reporting and Disclosure |
| SEC v. Karen Rosenberger and Joanna Lanni | Karen Rosenberger | Individual | 07-Jun-2022 | 08-Apr-2024 | Issuer Reporting and Disclosure |
| In the Matter of CohnReznick LLP | CohnReznick LLP | Other | 08-Jun-2022 | 08-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Stephen M. Wyss, CPA, Stephen H. Jackson, CPA, and Robert G. Hilbert, CPA | Robert G. Hilbert, CPA | Individual | 08-Jun-2022 | 08-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Stephen M. Wyss, CPA, Stephen H. Jackson, CPA, and Robert G. Hilbert, CPA | Stephen H. Jackson, CPA | Individual | 08-Jun-2022 | 08-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Stephen M. Wyss, CPA, Stephen H. Jackson, CPA, and Robert G. Hilbert, CPA | Stephen M. Wyss, CPA | Individual | 08-Jun-2022 | 08-Jun-2022 | Issuer Reporting and Disclosure |
| In the Matter of Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc. | Charles Schwab & Co., Inc. | Subsidiary of Public Company | 13-Jun-2022 | 13-Jun-2022 | Investment Advisers/Investment Companies |
| In the Matter of Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc. | Charles Schwab Investment Advisory, Inc. | Subsidiary of Public Company | 13-Jun-2022 | 13-Jun-2022 | Investment Advisers/Investment Companies |
| In the Matter of Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc. | Schwab Wealth Investment Advisory, Inc. | Subsidiary of Public Company | 13-Jun-2022 | 13-Jun-2022 | Investment Advisers/Investment Companies |
| In the Matter of The Brink's Company | The Brink's Company | Public Company | 22-Jun-2022 | 22-Jun-2022 | Other |
| In the Matter of UBS Financial Services Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 29-Jun-2022 | 29-Jun-2022 | Investment Advisers/Investment Companies |
| In the Matter of voxeljet and Rudolf Franz | Rudolf Franz | Individual | 01-Jul-2022 | 01-Jul-2022 | Issuer Reporting and Disclosure |
| In the Matter of voxeljet and Rudolf Franz | voxeljet AG | Public Company | 01-Jul-2022 | 01-Jul-2022 | Issuer Reporting and Disclosure |
| In the Matter of Equitable Financial Life Insurance Company | Equitable Financial Life Insurance Company | Subsidiary of Public Company | 18-Jul-2022 | 18-Jul-2022 | Securities Offering |
| In the Matter of Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell | Gavin D. Southwell | Individual | 20-Jul-2022 | 20-Jul-2022 | Issuer Reporting and Disclosure |
| In the Matter of Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell | Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc. | Public Company | 20-Jul-2022 | 20-Jul-2022 | Issuer Reporting and Disclosure |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 27-Jul-2022 | 27-Jul-2022 | Broker Dealer |
| In the Matter of UBS Financial Services Inc. | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 27-Jul-2022 | 27-Jul-2022 | Broker Dealer |
| In the Matter of Donald S. LaGuardia, Jr. | Donald S. LaGuardia, Jr. | Individual | 01-Aug-2022 | 02-Oct-2024 | Investment Advisers/Investment Companies |
| In the Matter of Surgalign Holdings, Inc. and Robert P. Jordheim | Robert P. Jordheim | Individual | 03-Aug-2022 | 03-Aug-2022 | Issuer Reporting and Disclosure |
| In the Matter of Surgalign Holdings, Inc. and Robert P. Jordheim | Surgalign Holdings, Inc. | Public Company | 03-Aug-2022 | 03-Aug-2022 | Issuer Reporting and Disclosure |
| SEC v. Brian K. Hutchinson | Brian K. Hutchison | Individual | 03-Aug-2022 | Issuer Reporting and Disclosure | |
| In the Matter of Eagle Bancorp, Inc. | Eagle Bancorp, Inc. | Public Company | 16-Aug-2022 | 16-Aug-2022 | Issuer Reporting and Disclosure |
| SEC v. Ronald D. Paul | Ronald D. Paul | Individual | 16-Aug-2022 | 15-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of The Bancorp, Inc. | The Bancorp, Inc. | Public Company | 24-Aug-2022 | 24-Aug-2022 | Issuer Reporting and Disclosure |
| SEC v. Taronis Technologies, Inc. (n/k/a BBHC, Inc.), Taronis Fuels, Inc., Scott David Mahoney, and Tyler Burnett Wilson | Scott David Mahoney | Individual | 24-Aug-2022 | 25-Aug-2022 | Issuer Reporting and Disclosure |
| SEC v. Taronis Technologies, Inc. (n/k/a BBHC, Inc.), Taronis Fuels, Inc., Scott David Mahoney, and Tyler Burnett Wilson | Taronis Fuels, Inc. | Subsidiary of Public Company | 24-Aug-2022 | 25-Aug-2022 | Issuer Reporting and Disclosure |
| SEC v. Taronis Technologies, Inc. (n/k/a BBHC, Inc.), Taronis Fuels, Inc., Scott David Mahoney, and Tyler Burnett Wilson | Taronis Technologies, Inc. | Public Company | 24-Aug-2022 | 25-Aug-2022 | Issuer Reporting and Disclosure |
| SEC v. Taronis Technologies, Inc. (n/k/a BBHC, Inc.), Taronis Fuels, Inc., Scott David Mahoney, and Tyler Burnett Wilson | Tyler Burnett Wilson | Individual | 24-Aug-2022 | 25-Aug-2022 | Issuer Reporting and Disclosure |
| In the Matter of James H. Roberts | James H. Roberts | Individual | 25-Aug-2022 | 25-Aug-2022 | Issuer Reporting and Disclosure |
| In the Matter of Jigisha Desai | Jigisha Desai | Individual | 25-Aug-2022 | 25-Aug-2022 | Issuer Reporting and Disclosure |
| In the Matter of Laurel Krzeminski | Laurel Krzeminski | Individual | 25-Aug-2022 | 25-Aug-2022 | Issuer Reporting and Disclosure |
| SEC v. Dale Swanberg | Dale Swanberg | Individual | 25-Aug-2022 | Issuer Reporting and Disclosure | |
| SEC v. Granite Construction, Incorporated | Granite Construction Incorporated | Public Company | 25-Aug-2022 | 25-Aug-2022 | Issuer Reporting and Disclosure |
| In the Matter of Mark C. Kelly, CPA | Mark C. Kelly, CPA | Individual | 26-Aug-2022 | 26-Aug-2022 | Issuer Reporting and Disclosure |
| In the Matter of Janus Henderson Investors US LLC | Janus Henderson Investors US LLC | Subsidiary of Public Company | 09-Sep-2022 | 09-Sep-2022 | Investment Advisers/Investment Companies |
| In the Matter of VMware, Inc. | VMware, Inc. | Public Company | 12-Sep-2022 | 12-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of BNY Mellon Capital Markets, LLC | BNY Mellon Capital Markets, LLC | Subsidiary of Public Company | 13-Sep-2022 | 13-Sep-2022 | Municipal Securities & Public Pensions |
| In the Matter of Jefferies LLC | Jefferies LLC
Aliases |
Subsidiary of Public Company | 13-Sep-2022 | 13-Sep-2022 | Municipal Securities & Public Pensions |
| In the Matter of TD Securities (USA) LLC | TD Securities (USA) LLC | Subsidiary of Public Company | 13-Sep-2022 | 13-Sep-2022 | Municipal Securities & Public Pensions |
| SEC v. Oppenheimer & Co. Inc. | Oppenheimer & Co. Inc. | Subsidiary of Public Company | 13-Sep-2022 | Municipal Securities & Public Pensions | |
| In the Matter of Asset Management Group Of Bank of Hawaii | Asset Management Group of Bank of Hawaii | Subsidiary of Public Company | 15-Sep-2022 | 15-Sep-2022 | Municipal Securities & Public Pensions |
| In the Matter of Gol Linhas Aereas Inteligentes S.A. | GOL Linhas Aéreas Inteligentes S.A. | Public Company | 15-Sep-2022 | 15-Sep-2022 | Foreign Corrupt Practices Act |
| In the Matter of Waddell & Reed, LLC | Waddell & Reed, Inc.
Aliases |
Subsidiary of Public Company | 19-Sep-2022 | 19-Sep-2022 | Investment Advisers/Investment Companies |
| In the Matter of Morgan Stanley Smith Barney LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 20-Sep-2022 | 20-Sep-2022 | Investment Advisers/Investment Companies |
| In the Matter of Dennis A. Muilenburg | Dennis A. Muilenburg | Individual | 22-Sep-2022 | 22-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of Raymond James & Associates, Inc. | Raymond James & Associates, Inc. | Subsidiary of Public Company | 22-Sep-2022 | 22-Sep-2022 | Broker Dealer |
| In the Matter of The Boeing Company | The Boeing Company | Public Company | 22-Sep-2022 | 22-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of Compass Minerals International, Inc. | Compass Minerals International, Inc. | Public Company | 23-Sep-2022 | 23-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of Friedman LLP | Friedman LLP | Other | 23-Sep-2022 | 23-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of Barclays Capital Inc. | Barclays Capital Inc. | Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated | BofA Securities, Inc. | Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Citigroup Global Markets Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Credit Suisse Securities (USA) LLC | Credit Suisse Securities (USA) LLC | Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc., and DWS Distributors, Inc. | Deutsche Bank Securities, Inc.
Aliases |
Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc., and DWS Distributors, Inc. | DWS Distributors, Inc. | Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc., and DWS Distributors, Inc. | DWS Investment Management Americas, Inc. | Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Goldman Sachs & Co. LLC | Goldman Sachs & Co. LLC | Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Jefferies LLC | Jefferies LLC
Aliases |
Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney LLC | Morgan Stanley & Co. LLC | Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney LLC | Morgan Stanley Smith Barney LLC
Aliases |
Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Nomura Securities International, Inc. | Nomura Securities International, Inc. | Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Oracle Corporation | Oracle Corporation | Public Company | 27-Sep-2022 | 27-Sep-2022 | Foreign Corrupt Practices Act |
| In the Matter of UBS Financial Services, Inc. and UBS Securities LLC | UBS Financial Services Inc.
Aliases |
Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of UBS Financial Services, Inc. and UBS Securities LLC | UBS Securities LLC | Subsidiary of Public Company | 27-Sep-2022 | 27-Sep-2022 | Broker Dealer |
| In the Matter of Barclays PLC and Barclays Bank PLC | Barclays Bank PLC | Subsidiary of Public Company | 29-Sep-2022 | 29-Sep-2022 | Securities Offering |
| In the Matter of Barclays PLC and Barclays Bank PLC | Barclays PLC | Public Company | 29-Sep-2022 | 29-Sep-2022 | Securities Offering |
| In the Matter of Tupperware Brands Corporation | Tupperware Brands Corporation | Public Company | 29-Sep-2022 | 29-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of Cemtrex, Inc. and Saagar Govil | Cemtrex, Inc. | Public Company | 30-Sep-2022 | 30-Sep-2022 | Securities Offering |
| In the Matter of Cemtrex, Inc. and Saagar Govil | Saagar Govil | Individual | 30-Sep-2022 | 30-Sep-2022 | Securities Offering |
| In the Matter of RSM US LLP | RSM US LLP | Other | 30-Sep-2022 | 30-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of Steven Kirn, CPA, Michael Piqueira, CPA, and Richard Condon, CPA | Michael Piqueira, CPA | Individual | 30-Sep-2022 | 30-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of Steven Kirn, CPA, Michael Piqueira, CPA, and Richard Condon, CPA | Richard Condon, CPA | Individual | 30-Sep-2022 | 30-Sep-2022 | Issuer Reporting and Disclosure |
| In the Matter of Steven Kirn, CPA, Michael Piqueira, CPA, and Richard Condon, CPA | Steven Kirn, CPA | Individual | 30-Sep-2022 | 30-Sep-2022 | Issuer Reporting and Disclosure |
| SEC v. Brent David Willis | Brent David Willis | Individual | 18-Oct-2022 | Issuer Reporting and Disclosure | |
| In the Matter of NewAge, Inc. | NewAge, Inc. | Public Company | 19-Oct-2022 | 19-Oct-2022 | Issuer Reporting and Disclosure |
| In the Matter of Joshua Abrahams, CPA | Joshua Abrahams, CPA | Individual | 21-Oct-2022 | Issuer Reporting and Disclosure | |
| In the Matter of Mattel, Inc. | Mattel, Inc. | Public Company | 21-Oct-2022 | 21-Oct-2022 | Issuer Reporting and Disclosure |
| In the Matter of Cronos Group, Inc. | Cronos Group Inc. | Public Company | 24-Oct-2022 | 24-Oct-2022 | Issuer Reporting and Disclosure |
| In the Matter of William Hilson, CPA, CA | William Hilson, CPA, CA | Individual | 24-Oct-2022 | 24-Oct-2022 | Issuer Reporting and Disclosure |
| In the Matter of Koppers Holdings Inc. | Koppers Holdings Inc. | Public Company | 01-Nov-2022 | 01-Nov-2022 | Issuer Reporting and Disclosure |
| In the Matter of Scott David Mahoney | Scott David Mahoney | Individual | 04-Nov-2022 | Issuer Reporting and Disclosure | |
| In the Matter of S&P Global Ratings | S&P Global Ratings | Subsidiary of Public Company | 14-Nov-2022 | 14-Nov-2022 | Other |
| In the Matter of Jason Jianxun Tang, CPA | Jason Jianxun Tang, CPA | Individual | 17-Nov-2022 | 17-Nov-2022 | Issuer Reporting and Disclosure |
| In the Matter of Goldman Sachs Asset Management, L.P. | Goldman Sachs Asset Management, L.P. | Subsidiary of Public Company | 22-Nov-2022 | 22-Nov-2022 | Investment Advisers/Investment Companies |
| In the Matter of ABB Ltd. | ABB Ltd | Public Company | 03-Dec-2022 | 03-Dec-2022 | Foreign Corrupt Practices Act |
| In the Matter of Exela Technologies, Inc. and James G. Reynolds | Exela Technologies, Inc. | Public Company | 19-Dec-2022 | 19-Dec-2022 | Issuer Reporting and Disclosure |
| In the Matter of Exela Technologies, Inc. and James G. Reynolds | James Reynolds | Individual | 19-Dec-2022 | 19-Dec-2022 | Issuer Reporting and Disclosure |
| In the Matter of Honeywell International Inc. | Honeywell International Inc. | Public Company | 19-Dec-2022 | 19-Dec-2022 | Foreign Corrupt Practices Act |
| In the Matter of PNC Capital Markets LLC | PNC Capital Markets LLC | Subsidiary of Public Company | 21-Dec-2022 | 21-Dec-2022 | Municipal Securities & Public Pensions |
| In the Matter of Michael A. Gramins | Michael A. Gramins | Individual | 30-Dec-2022 | Broker Dealer | |
| SEC v. Cooper J. Morgenthau | Cooper J. Morgenthau | Individual | 03-Jan-2023 | 06-Jan-2023 | Issuer Reporting and Disclosure |
| In the Matter of Stephen J. Easterbrook and McDonald's Corporation | McDonald's Corporation | Public Company | 09-Jan-2023 | 09-Jan-2023 | Issuer Reporting and Disclosure |
| In the Matter of Stephen J. Easterbrook and McDonald's Corporation | Stephen J. Easterbrook | Individual | 09-Jan-2023 | 09-Jan-2023 | Issuer Reporting and Disclosure |
| In the Matter of Kurt W. Streams, CPA | Kurt W. Streams | Individual | 13-Jan-2023 | 13-Jan-2023 | Issuer Reporting and Disclosure |
| In the Matter of Activision Blizzard, Inc. | Activision Blizzard, Inc. | Public Company | 03-Feb-2023 | 03-Feb-2023 | Issuer Reporting and Disclosure |
| In the Matter of Gentex Corporation and Kevin C. Nash | Gentex Corporation | Public Company | 07-Feb-2023 | 07-Feb-2023 | Issuer Reporting and Disclosure |
| In the Matter of Gentex Corporation and Kevin C. Nash | Kevin C. Nash | Individual | 07-Feb-2023 | 07-Feb-2023 | Issuer Reporting and Disclosure |
| In the Matter of Roadrunner Transportation Systems, Inc. | Roadrunner Transportation Systems, Inc. | Public Company | 14-Feb-2023 | 14-Feb-2023 | Issuer Reporting and Disclosure |
| In the Matter of African Gold Acquisition Corp. | African Gold Acquisition Corp. | Public Company | 22-Feb-2023 | 22-Feb-2023 | Issuer Reporting and Disclosure |
| In the Matter of Chembio Diagnostics, Inc. | Chembio Diagnostics, Inc. | Public Company | 02-Mar-2023 | 02-Mar-2023 | Securities Offering |
| In the Matter of The Greenbrier Companies, Inc. | The Greenbrier Companies, Inc. | Public Company | 02-Mar-2023 | 02-Mar-2023 | Issuer Reporting and Disclosure |
| In the Matter of William A. Furman | William A. Furman | Individual | 02-Mar-2023 | 02-Mar-2023 | Issuer Reporting and Disclosure |
| In the Matter of Flutter Entertainemnt plc, as successor-in-interest to The Stars Group, Inc. | Flutter Entertainment and plc as successor-in-interest to The Stars Group, Inc. | Public Company | 06-Mar-2023 | 06-Mar-2023 | Foreign Corrupt Practices Act |
| In the Matter of Riot Tinto plc | Rio Tinto PLC | Public Company | 06-Mar-2023 | 06-Mar-2023 | Foreign Corrupt Practices Act |
| In the Matter of KeyBanc Capital Markets Inc. | KeyBanc Capital Markets Inc. | Subsidiary of Public Company | 07-Mar-2023 | 07-Mar-2023 | Municipal Securities & Public Pensions |
| In the Matter of Blackbaud, Inc. | Blackbaud, Inc. | Public Company | 09-Mar-2023 | 09-Mar-2023 | Issuer Reporting and Disclosure |
| SEC v. Evoqua Water Technologies Corp. and Imran Parekh | Evoqua Water Technologies Corp. | Public Company | 13-Mar-2023 | 13-Mar-2023 | Issuer Reporting and Disclosure |
| SEC v. Evoqua Water Technologies Corp. and Imran Parekh | Imran Parekh | Individual | 13-Mar-2023 | 13-Mar-2023 | Issuer Reporting and Disclosure |
| In the Matter of DXC Technology Company | DXC Technology Company | Public Company | 14-Mar-2023 | 14-Mar-2023 | Issuer Reporting and Disclosure |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 03-Apr-2023 | 03-Apr-2023 | Investment Advisers/Investment Companies |
| In the Matter of James Fitts, CPA | James Fitts, CPA | Individual | 06-Apr-2023 | 06-Apr-2023 | Issuer Reporting and Disclosure |
| In the Matter of Bobby Peavler | Bobby Peavler | Individual | 07-Apr-2023 | 07-Apr-2023 | Issuer Reporting and Disclosure |
| In the Matter of William Eric Meek | William Eric Meek | Individual | 07-Apr-2023 | 07-Apr-2023 | Issuer Reporting and Disclosure |
| In the Matter of Frank's International N.V. | Frank's International N.V. | Public Company | 26-Apr-2023 | 26-Apr-2023 | Foreign Corrupt Practices Act |
| In the Matter of HSBC Securities (USA) Inc. | HSBC Securities (USA) Inc. | Subsidiary of Public Company | 11-May-2023 | 11-May-2023 | Broker Dealer |
| In the Matter of Koninklijke Philips N.V. | Koninklijke Philips N.V.
Aliases |
Public Company | 11-May-2023 | 11-May-2023 | Foreign Corrupt Practices Act |
| In the Matter of Scotia Capital (USA) Inc. | Scotia Capital (USA) Inc. | Subsidiary of Public Company | 11-May-2023 | 11-May-2023 | Broker Dealer |
| In the Matter of Gaia, Inc. and Paul C. Tarell, Jr., CPA | Gaia, Inc. | Public Company | 23-May-2023 | 23-May-2023 | Issuer Reporting and Disclosure |
| In the Matter of Gaia, Inc. and Paul C. Tarell, Jr., CPA | Paul C. Tarell, Jr. | Individual | 23-May-2023 | 23-May-2023 | Issuer Reporting and Disclosure |
| In the Matter of Gartner, Inc. | Gartner, Inc. | Public Company | 26-May-2023 | 26-May-2023 | Foreign Corrupt Practices Act |
| In the Matter of First Guaranty Bancshares, Inc. | First Guaranty Bancshares, Inc. | Public Company | 31-May-2023 | 31-May-2023 | Issuer Reporting and Disclosure |
| In the Matter of Cantaloupe, Inc. (formerly d/b/a USA Technologies, Inc.) | Cantaloupe, Inc. (Formerly d/b/a USA Technologies, Inc.) | Public Company | 05-Jun-2023 | 05-Jun-2023 | Issuer Reporting and Disclosure |
| In the Matter of Maeve M. Duska | Maeve M. Duska | Individual | 05-Jun-2023 | 05-Jun-2023 | Issuer Reporting and Disclosure |
| In the Matter of Michael K. Lawlor | Michael K. Lawlor | Individual | 05-Jun-2023 | 05-Jun-2023 | Issuer Reporting and Disclosure |
| SEC v. Coinbase, Inc. and Coinbase Global, Inc. | Coinbase Global, Inc. | Public Company | 06-Jun-2023 | Other | |
| SEC v. Coinbase, Inc. and Coinbase Global, Inc. | Coinbase, Inc. | Subsidiary of Public Company | 06-Jun-2023 | Other | |
| In the Matter of Jeffrey D. Ansell | Jeffery D. Ansell | Individual | 20-Jun-2023 | 20-Jun-2023 | Issuer Reporting and Disclosure |
| In the Matter of Stanley Black & Decker, Inc. | Stanley Black & Decker, Inc. | Public Company | 20-Jun-2023 | 20-Jun-2023 | Issuer Reporting and Disclosure |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 22-Jun-2023 | 22-Jun-2023 | Broker Dealer |
| In the Matter of Future FinTech Group Inc. | Future Fintech Group Inc. | Public Company | 03-Jul-2023 | 03-Jul-2023 | Issuer Reporting and Disclosure |
| In the Matter of View, Inc. | View, Inc. | Public Company | 03-Jul-2023 | 03-Jul-2023 | Issuer Reporting and Disclosure |
| SEC v. Vidul Prakash | Vidul Prakash | Individual | 03-Jul-2023 | Issuer Reporting and Disclosure | |
| In the Matter of Andrew B. Benson | Andrew B. Benson | Individual | 05-Jul-2023 | 05-Jul-2023 | Issuer Reporting and Disclosure |
| In the Matter of Co-Diagnostics, Inc. | Co-Diagnostics, Inc. | Public Company | 05-Jul-2023 | 05-Jul-2023 | Issuer Reporting and Disclosure |
| In the Matter of Dwight H. Egan | Dwight H. Egan | Individual | 05-Jul-2023 | 05-Jul-2023 | Issuer Reporting and Disclosure |
| In the Matter of Reed L. Benson, CPA | Reed L. Benson, CPA | Individual | 05-Jul-2023 | 05-Jul-2023 | Issuer Reporting and Disclosure |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated; and BAC North America Holding Co. | BAC North America Holding Co. | Subsidiary of Public Company | 11-Jul-2023 | 11-Jul-2023 | Broker Dealer |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated; and BAC North America Holding Co. | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 11-Jul-2023 | 11-Jul-2023 | Broker Dealer |
| In the Matter of Fifth Third Securities, Inc. | Fifth Third Securities, Inc. | Subsidiary of Public Company | 18-Jul-2023 | 18-Jul-2023 | Municipal Securities & Public Pensions |
| In the Matter of Digital World Acquisition Corp. | Digital World Acquisition Corp. | Public Company | 20-Jul-2023 | 20-Jul-2023 | Securities Offering |
| In the Matter of Canoo Inc. | Canoo Inc. | Public Company | 04-Aug-2023 | 04-Aug-2023 | Issuer Reporting and Disclosure |
| SEC v. Ulrich Kranz and Paul Balciunas | Paul Balciunas | Individual | 04-Aug-2023 | 17-Aug-2023 | Issuer Reporting and Disclosure |
| SEC v. Ulrich Kranz and Paul Balciunas | Ulrich Kranz | Individual | 04-Aug-2023 | 17-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of BMO Capital Markets Corp. | BMO Capital Markets Corporation
Aliases |
Subsidiary of Public Company | 08-Aug-2023 | 08-Aug-2023 | Broker Dealer |
| In the Matter of Houlihan Lokey Capital, Inc. | Houlihan Lokey Capital, Inc. | Subsidiary of Public Company | 08-Aug-2023 | 08-Aug-2023 | Broker Dealer |
| In the Matter of Mizuho Securities USA LLC | Mizuho Securities USA LLC | Subsidiary of Public Company | 08-Aug-2023 | 08-Aug-2023 | Broker Dealer |
| In the Matter of Moelis & Company LLC | Moelis & Company LLC | Subsidiary of Public Company | 08-Aug-2023 | 08-Aug-2023 | Broker Dealer |
| In the Matter of SMBC Nikko Securities America, Inc. | SMBC Nikko Securities America, Inc. | Subsidiary of Public Company | 08-Aug-2023 | 08-Aug-2023 | Broker Dealer |
| In the Matter of Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC | Wells Fargo Advisors Financial Network, LLC | Subsidiary of Public Company | 08-Aug-2023 | 08-Aug-2023 | Broker Dealer |
| In the Matter of Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC | Wells Fargo Clearing Services, LLC | Subsidiary of Public Company | 08-Aug-2023 | 08-Aug-2023 | Broker Dealer |
| In the Matter of Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC | Wells Fargo Securities LLC
Aliases |
Subsidiary of Public Company | 08-Aug-2023 | 08-Aug-2023 | Broker Dealer |
| In the Matter of Grupo Aval Acciones y Valores S.A. and Corporación Financiera Colombiana S.A. | Corporación Financiera Colombiana S.A. | Subsidiary of Public Company | 10-Aug-2023 | 10-Aug-2023 | Foreign Corrupt Practices Act |
| In the Matter of Grupo Aval Acciones y Valores S.A. and Corporación Financiera Colombiana S.A. | Grupo Aval Acciones y Valores S.A. | Public Company | 10-Aug-2023 | 10-Aug-2023 | Foreign Corrupt Practices Act |
| In the Matter of Ault Alliance, Inc. (f/k/a BitNile Holdings, Inc., Ault Global Holdings, Inc., DPW Holdings, Inc., and Digital Power Corporation); Milton Charles (“Todd”) Ault III; and William B. Horne, CPA | Ault Alliance, Inc. (f/k/a BitNile Holdings, Inc., Ault Global Holdings, Inc., DPW Holdings, Inc., and Digital Power Corporation) | Public Company | 15-Aug-2023 | 15-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of Ault Alliance, Inc. (f/k/a BitNile Holdings, Inc., Ault Global Holdings, Inc., DPW Holdings, Inc., and Digital Power Corporation); Milton Charles (“Todd”) Ault III; and William B. Horne, CPA | Milton Charles (“Todd”) Ault III | Individual | 15-Aug-2023 | 15-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of Ault Alliance, Inc. (f/k/a BitNile Holdings, Inc., Ault Global Holdings, Inc., DPW Holdings, Inc., and Digital Power Corporation); Milton Charles (“Todd”) Ault III; and William B. Horne, CPA | William B. Horne, CPA | Individual | 15-Aug-2023 | 15-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of Malvern Bancorp, Inc. and Joseph D. Gangemi | Joseph D. Gangemi | Individual | 15-Aug-2023 | 15-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of Malvern Bancorp, Inc. and Joseph D. Gangemi | Malvern Bancorp, Inc. | Public Company | 15-Aug-2023 | 15-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of DST Asset Manager Solutions, Inc. | DST Asset Manager Solutions, Inc. | Subsidiary of Public Company | 17-Aug-2023 | 17-Aug-2023 | Other |
| In the Matter of Michael J. Senken | Michael J. Senken | Individual | 21-Aug-2023 | 21-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of Alpine 4 Holdings, Inc. | Alpine 4 Holdings, Inc. | Public Company | 22-Aug-2023 | 22-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of Black Spade Acquisition Co | Black Spade Acquisition Co | Public Company | 22-Aug-2023 | 22-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of ReShape Lifesciences Inc. | ReShape Lifesciences Inc. | Public Company | 22-Aug-2023 | 22-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter 3M Company | 3M Company | Public Company | 25-Aug-2023 | 25-Aug-2023 | Foreign Corrupt Practices Act |
| In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo Advisors Financial Network, LLC | Subsidiary of Public Company | 25-Aug-2023 | 25-Aug-2023 | Investment Advisers/Investment Companies |
| In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo Clearing Services, LLC | Subsidiary of Public Company | 25-Aug-2023 | 25-Aug-2023 | Investment Advisers/Investment Companies |
| In the Matter of Archipelago Trading Services, Inc. | Archipelago Trading Services, Inc. | Subsidiary of Public Company | 29-Aug-2023 | 29-Aug-2023 | Broker Dealer |
| In the Matter of Citigroup Global Markets Inc. | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 29-Aug-2023 | 29-Aug-2023 | Broker Dealer |
| In the Matter of Plug Power Inc. | Plug Power Inc. | Public Company | 30-Aug-2023 | 30-Aug-2023 | Issuer Reporting and Disclosure |
| In the Matter of Bradley R. Scott | Bradley R. Scott | Individual | 06-Sep-2023 | 06-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Fluor Corporation | Fluor Corporation | Public Company | 06-Sep-2023 | 06-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of James F. Brittain | James F. Brittain | Individual | 06-Sep-2023 | 06-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Jon Eric Best | Jon Eric Best | Individual | 06-Sep-2023 | 06-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Kent N. Smith | Kent N. Smith | Individual | 06-Sep-2023 | 06-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Robin K. Chopra, CA | Robin K. Chopra, CA | Individual | 06-Sep-2023 | 06-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Bret Naggs | Bret Naggs | Individual | 07-Sep-2023 | 07-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Mark Wogsland | Mark Wogsland | Individual | 07-Sep-2023 | 07-Sep-2023 | Issuer Reporting and Disclosure |
| SEC (Plaintiff) v. Guosheng Qi and Gridsum Holding Inc. (Defendants), and Huijie He (Relief Defendant) | Gridsum Holding Inc. | Public Company | 07-Sep-2023 | Issuer Reporting and Disclosure | |
| SEC (Plaintiff) v. Guosheng Qi and Gridsum Holding Inc. (Defendants), and Huijie He (Relief Defendant) | Guosheng Qi | Individual | 07-Sep-2023 | Issuer Reporting and Disclosure | |
| In the Matter of Maximus, Inc. | Maximus, Inc. | Public Company | 11-Sep-2023 | 11-Sep-2023 | Issuer Reporting and Disclosure |
| SEC v. Virtu Financial Inc. and Virtu Americas LLC | KCG Americas LLC
Aliases |
Subsidiary of Public Company | 12-Sep-2023 | Broker Dealer | |
| SEC v. Virtu Financial Inc. and Virtu Americas LLC | Virtu Financial, Inc.
Aliases |
Public Company | 12-Sep-2023 | Broker Dealer | |
| In the Matter of Lyft, Inc. | Lyft, Inc. | Public Company | 18-Sep-2023 | 18-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of CBRE, Inc. | CBRE, Inc. | Subsidiary of Public Company | 19-Sep-2023 | 19-Sep-2023 | Other |
| In the Matter of Kandi Technologies Group, Inc. | Kandi Technologies Group, Inc. | Public Company | 21-Sep-2023 | 21-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Goldman Sachs & Co. LLC | Goldman Sachs & Co. LLC | Subsidiary of Public Company | 22-Sep-2023 | 22-Sep-2023 | Broker Dealer |
| In the Matter of DWS Investment Management Americas, Inc. | DWS Investment Management Americas, Inc. | Subsidiary of Public Company | 25-Sep-2023 | 25-Sep-2023 | Investment Advisers/Investment Companies |
| In the Matter of DWS Investment Management Americas, Inc. | DWS Investment Management Americas, Inc. | Subsidiary of Public Company | 25-Sep-2023 | 25-Sep-2023 | Investment Advisers/Investment Companies |
| In the Matter of GTT Communications, Inc. | GTT Communications, Inc. | Public Company | 25-Sep-2023 | 25-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of AssetMark, Inc. | AssetMark, Inc. (f/k/a Genworth Financial Wealth Management, Inc.) | Subsidiary of Public Company | 26-Sep-2023 | 26-Sep-2023 | Investment Advisers/Investment Companies |
| SEC v. Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen | Craig M. Knight | Individual | 26-Sep-2023 | 26-Sep-2023 | Issuer Reporting and Disclosure |
| SEC v. Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen | Hyzon Motors Inc. | Public Company | 26-Sep-2023 | 26-Sep-2023 | Issuer Reporting and Disclosure |
| SEC v. Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen | Max C.B. Holthausen | Individual | 26-Sep-2023 | 26-Sep-2023 | Issuer Reporting and Disclosure |
| SEC v. Intrusion Inc. | Intrusion Inc. | Public Company | 26-Sep-2023 | 26-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of AgEagle Aerial Systems Inc. | AgEagle Aerial Systems Inc. | Public Company | 27-Sep-2023 | 27-Sep-2023 | Other |
| In the Matter of Avery More | Avery More | Individual | 27-Sep-2023 | 27-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Cumberland Pharmaceuticals Inc. | Cumberland Pharmaceuticals Inc. | Public Company | 27-Sep-2023 | 27-Sep-2023 | Other |
| In the Matter of eXp World Holdings, Inc. | eXp World Holdings, Inc. | Public Company | 27-Sep-2023 | 27-Sep-2023 | Other |
| In the Matter of Lattice Semiconductor Corporation | Lattice Semiconductor Corporation | Public Company | 27-Sep-2023 | 27-Sep-2023 | Other |
| In the Matter of Nicole M. Fernandez-McGovern | Nicole M. Fernandez-McGovern | Individual | 27-Sep-2023 | 27-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of SolarEdge Technologies, Inc. | SolarEdge Technologies, Inc. | Public Company | 27-Sep-2023 | 27-Sep-2023 | Other |
| In the Matter of Citigroup Global Markets, Inc. and Citi International Financial Services, LLC, now known as Insigneo International Financial Services, LLC | Citi International Financial Services, LLC, now known as Insigneo International Financial Services, LLC | Subsidiary of Public Company | 28-Sep-2023 | 28-Sep-2023 | Broker Dealer |
| In the Matter of Citigroup Global Markets, Inc. and Citi International Financial Services, LLC, now known as Insigneo International Financial Services, LLC | Citigroup Global Markets Inc.
Aliases |
Subsidiary of Public Company | 28-Sep-2023 | 28-Sep-2023 | Broker Dealer |
| In the Matter of Clear Channel Outdoor Holdings, Inc. | Clear Channel Outdoor Holdings, Inc. | Public Company | 28-Sep-2023 | 28-Sep-2023 | Foreign Corrupt Practices Act |
| In the Matter of Exelon Corporation and Commonwealth Edison Company | Commonwealth Edison Company | Subsidiary of Public Company | 28-Sep-2023 | 28-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Exelon Corporation and Commonwealth Edison Company | Exelon Corporation | Public Company | 28-Sep-2023 | 28-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Spruce Power Holding Corporation | Spruce Power Holding Corporation | Public Company | 28-Sep-2023 | 28-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Stanley Stefanski, CPA | Stanley Stefanski, CPA | Individual | 28-Sep-2023 | 28-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of TAL Education Group | TAL Education Group | Public Company | 28-Sep-2023 | 28-Sep-2023 | Issuer Reporting and Disclosure |
| SEC v. Anne Pramaggiore | Anne Pramaggiore | Individual | 28-Sep-2023 | Issuer Reporting and Disclosure | |
| SEC v. Edward O'Donnell and Victor Bozzo | Edward O'Donnell | Individual | 28-Sep-2023 | Issuer Reporting and Disclosure | |
| SEC v. Edward O'Donnell and Victor Bozzo | Victor Bozzo | Individual | 28-Sep-2023 | Issuer Reporting and Disclosure | |
| In the Matter of Albemarle Corporation | Albemarle Corporation | Public Company | 29-Sep-2023 | 29-Sep-2023 | Foreign Corrupt Practices Act |
| In the Matter of DBRS, Inc. | DBRS, Inc. | Subsidiary of Public Company | 29-Sep-2023 | 29-Sep-2023 | Other |
| In the Matter of DBRS, Inc. | DBRS, Inc. | Subsidiary of Public Company | 29-Sep-2023 | 29-Sep-2023 | Other |
| In the Matter of Fifth Third Securities, Inc. | Fifth Third Securities, Inc. | Subsidiary of Public Company | 29-Sep-2023 | 29-Sep-2023 | Broker Dealer |
| In the Matter of Newell Brands Inc. and Michael B. Polk | Michael B. Polk | Individual | 29-Sep-2023 | 29-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Newell Brands Inc. and Michael B. Polk | Newell Brands Inc. | Public Company | 29-Sep-2023 | 29-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP | Perella Weinberg Partners Capital Management LP | Subsidiary of Public Company | 29-Sep-2023 | 29-Sep-2023 | Broker Dealer |
| In the Matter of Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP | Perella Weinberg Partners LP | Subsidiary of Public Company | 29-Sep-2023 | 29-Sep-2023 | Broker Dealer |
| In the Matter of Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP | Tudor, Pickering, Holt & Co. Securities LLC | Subsidiary of Public Company | 29-Sep-2023 | 29-Sep-2023 | Broker Dealer |
| Nano-X Imaging Ltd. | Nano-x Imaging Ltd. | Public Company | 29-Sep-2023 | 29-Sep-2023 | Issuer Reporting and Disclosure |
| Nano-X Imaging Ltd. | Ran Poliakine | Individual | 29-Sep-2023 | 29-Sep-2023 | Issuer Reporting and Disclosure |
| In the Matter of Wilmington Trust Investment Management, LLC | Wilmington Trust Investment Management, LLC | Subsidiary of Public Company | 10-Oct-2023 | 10-Oct-2023 | Investment Advisers/Investment Companies |
| In the Matter of BlackRock Advisors, LLC | BlackRock Advisors, LLC | Subsidiary of Public Company | 24-Oct-2023 | 24-Oct-2023 | Investment Advisers/Investment Companies |
| SEC v. SolarWinds Corp. and Timothy G. Brown | SolarWinds Corporation | Public Company | 30-Oct-2023 | Issuer Reporting and Disclosure | |
| SEC v. SolarWinds Corp. and Timothy G. Brown | Timothy G. Brown | Individual | 30-Oct-2023 | Issuer Reporting and Disclosure | |
| In the Matter of Royal Bank of Canada | Royal Bank of Canada | Public Company | 02-Nov-2023 | 02-Nov-2023 | Issuer Reporting and Disclosure |
| In the Matter of Charter Communications, Inc. | Charter Communications, Inc. | Public Company | 14-Nov-2023 | 14-Nov-2023 | Other |
| In the Matter of Mallinckrodt | Mallinckrodt plc | Public Company | 30-Nov-2023 | 30-Nov-2023 | Issuer Reporting and Disclosure |
| In the Matter of Credit Suisse Securities (USA) LLC; Credit Suisse Asset Management, LLC; and Credit Suisse Asset Management Limited | Credit Suisse Asset Management Limited | Subsidiary of Public Company | 13-Dec-2023 | 13-Dec-2023 | Investment Advisers/Investment Companies |
| In the Matter of Credit Suisse Securities (USA) LLC; Credit Suisse Asset Management, LLC; and Credit Suisse Asset Management Limited | Credit Suisse Asset Management, LLC
Aliases |
Subsidiary of Public Company | 13-Dec-2023 | 13-Dec-2023 | Investment Advisers/Investment Companies |
| In the Matter of Credit Suisse Securities (USA) LLC; Credit Suisse Asset Management, LLC; and Credit Suisse Asset Management Limited | Credit Suisse Securities (USA) LLC | Subsidiary of Public Company | 13-Dec-2023 | 13-Dec-2023 | Investment Advisers/Investment Companies |
| SEC v. Mmobuosi Odogwu Banye (a/k/a Dozy Mmobuosi), Tingo Group, Inc., Agri-Fintech Holdings, Inc. (f/k/a Tingo Inc.), and Tingo International Holdings, Inc. | Agri-Fintech Holdings, Inc. | Other | 18-Dec-2023 | 28-Aug-2024 | Issuer Reporting and Disclosure |
| SEC v. Mmobuosi Odogwu Banye (a/k/a Dozy Mmobuosi), Tingo Group, Inc., Agri-Fintech Holdings, Inc. (f/k/a Tingo Inc.), and Tingo International Holdings, Inc. | Mmobuosi Odogwu Banye | Individual | 18-Dec-2023 | 28-Aug-2024 | Issuer Reporting and Disclosure |
| SEC v. Mmobuosi Odogwu Banye (a/k/a Dozy Mmobuosi), Tingo Group, Inc., Agri-Fintech Holdings, Inc. (f/k/a Tingo Inc.), and Tingo International Holdings, Inc. | Tingo Group, Inc.
Aliases |
Public Company | 18-Dec-2023 | 28-Aug-2024 | Issuer Reporting and Disclosure |
| SEC v. Mmobuosi Odogwu Banye (a/k/a Dozy Mmobuosi), Tingo Group, Inc., Agri-Fintech Holdings, Inc. (f/k/a Tingo Inc.), and Tingo International Holdings, Inc. | Tingo International Holdings, Inc. | Other | 18-Dec-2023 | 28-Aug-2024 | Issuer Reporting and Disclosure |
| In the Matter of Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb | Brooge Energy Limited | Public Company | 22-Dec-2023 | 22-Dec-2023 | Issuer Reporting and Disclosure |
| In the Matter of Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb | Lina Saheb | Individual | 22-Dec-2023 | 22-Dec-2023 | Issuer Reporting and Disclosure |
| In the Matter of Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb | Nicolaas Lammert Paardenkooper | Individual | 22-Dec-2023 | 22-Dec-2023 | Issuer Reporting and Disclosure |
| In the Matter of SAP SE | SAP SE | Public Company | 10-Jan-2024 | 10-Jan-2024 | Foreign Corrupt Practices Act |
| In the Matter of Morgan Stanley & Co. LLC | Morgan Stanley & Co. LLC | Subsidiary of Public Company | 12-Jan-2024 | 12-Jan-2024 | Broker Dealer |
| In the Matter of Pawan Kumar Passi | Pawan Kumar Passi | Individual | 12-Jan-2024 | 12-Jan-2024 | Other |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 16-Jan-2024 | 16-Jan-2024 | Investment Advisers/Investment Companies |
| In the Matter of Aon Investments USA Inc., fka Aon Hewitt Investment Consulting, Inc. | Aon Investments USA Inc. fka Aon Hewitt Investment Consulting, Inc. | Subsidiary of Public Company | 25-Jan-2024 | 25-Jan-2024 | Investment Advisers/Investment Companies |
| In the Matter of Claire P. Shaughnessy | Claire P. Shaughnessy | Individual | 25-Jan-2024 | 25-Jan-2024 | Investment Advisers/Investment Companies |
| In the Matter of Northern Star Investment Corp. II | Northern Star Investment Corp. II | Public Company | 25-Jan-2024 | 25-Jan-2024 | Issuer Reporting and Disclosure |
| In the Matter of Cloopen Group Holding Limited | Cloopen Group Holding Limited | Public Company | 06-Feb-2024 | 06-Feb-2024 | Issuer Reporting and Disclosure |
| In the Matter of Key Investment Services LLC, and KeyBanc Capital Markets Inc. | Key Investment Services LLC
Aliases |
Subsidiary of Public Company | 09-Feb-2024 | 09-Feb-2024 | Broker Dealer |
| In the Matter of Key Investment Services LLC, and KeyBanc Capital Markets Inc. | KeyBanc Capital Markets Inc. | Subsidiary of Public Company | 09-Feb-2024 | 09-Feb-2024 | Broker Dealer |
| In the Matter of Lincoln Financial Advisors Corporation and Lincoln Financial Securities Corporation | Lincoln Financial Advisors Corporation | Subsidiary of Public Company | 09-Feb-2024 | 09-Feb-2024 | Broker Dealer |
| In the Matter of Lincoln Financial Advisors Corporation and Lincoln Financial Securities Corporation | Lincoln Financial Securities Corporation | Subsidiary of Public Company | 09-Feb-2024 | 09-Feb-2024 | Broker Dealer |
| In the Matter of Oppenheimer & Co. Inc. | Oppenheimer & Co. Inc. | Subsidiary of Public Company | 09-Feb-2024 | 09-Feb-2024 | Broker Dealer |
| In the Matter of The Huntington Investment Company, Huntington Securities, Inc., and Capstone Capital Markets LLC | Capstone Capital Markets | Subsidiary of Public Company | 09-Feb-2024 | 09-Feb-2024 | Broker Dealer |
| In the Matter of The Huntington Investment Company, Huntington Securities, Inc., and Capstone Capital Markets LLC | Huntington Securities, Inc. | Subsidiary of Public Company | 09-Feb-2024 | 09-Feb-2024 | Broker Dealer |
| In the Matter of The Huntington Investment Company, Huntington Securities, Inc., and Capstone Capital Markets LLC | The Huntington Investment Company | Subsidiary of Public Company | 09-Feb-2024 | 09-Feb-2024 | Broker Dealer |
| In the Matter of U.S. Bancorp Investments, Inc. | U.S. Bancorp Investments, Inc. | Subsidiary of Public Company | 09-Feb-2024 | 09-Feb-2024 | Broker Dealer |
| In the Matter of Clark Schaefer Hackett & Co. | Clark Schaefer Hackett & Co. | Other | 29-Feb-2024 | 29-Feb-2024 | Issuer Reporting and Disclosure |
| In the Matter of Lordstown Motors Corp. | Lordstown Motors Corp. | Public Company | 29-Feb-2024 | 29-Feb-2024 | Issuer Reporting and Disclosure |
| In the Matter of Skechers U.S.A., Inc. | Skechers U.S.A., Inc. | Public Company | 07-Mar-2024 | 07-Mar-2024 | Issuer Reporting and Disclosure |
| In the Matter of Imran Parekh | Imran Parekh | Individual | 19-Mar-2024 | 19-Mar-2024 | Issuer Reporting and Disclosure |
| SEC v. Stephen Scott Burns | Stephen Scott Burns | Individual | 22-Mar-2024 | Issuer Reporting and Disclosure | |
| In the Matter of Bradesco Global Advisors Inc. | Bradesco Global Advisors Inc. | Subsidiary of Public Company | 12-Apr-2024 | 12-Apr-2024 | Investment Advisers/Investment Companies |
| In the Matter of Credicorp Capital Advisors LLC | Credicorp Capital Advisors LLC | Subsidiary of Public Company | 12-Apr-2024 | 12-Apr-2024 | Investment Advisers/Investment Companies |
| SEC v. Jack B. Blount | Jack B. Blount | Individual | 30-Apr-2024 | 07-May-2024 | Issuer Reporting and Disclosure |
| SEC v. FAT Brands Inc., Andrew Wiederhorn, Ron Roe, and Rebecca Hershinger | Andrew Wiederhorn | Individual | 10-May-2024 | Issuer Reporting and Disclosure | |
| SEC v. FAT Brands Inc., Andrew Wiederhorn, Ron Roe, and Rebecca Hershinger | FAT Brands, Inc. | Public Company | 10-May-2024 | Issuer Reporting and Disclosure | |
| SEC v. FAT Brands Inc., Andrew Wiederhorn, Ron Roe, and Rebecca Hershinger | Rebecca Hershinger | Individual | 10-May-2024 | Issuer Reporting and Disclosure | |
| SEC v. FAT Brands Inc., Andrew Wiederhorn, Ron Roe, and Rebecca Hershinger | Ron Roe | Individual | 10-May-2024 | Issuer Reporting and Disclosure | |
| In the Matter of Tyler Burnett Wilson, Esq. | Tyler Burnett Wilson | Individual | 17-May-2024 | 17-May-2024 | Issuer Reporting and Disclosure |
| In the Matter of Key Investment Services, LLC | Key Investment Services LLC
Aliases |
Subsidiary of Public Company | 21-May-2024 | 21-May-2024 | Broker Dealer |
| 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 | Archipelago Trading Services, Inc. | Subsidiary of Public Company | 22-May-2024 | 22-May-2024 | Other |
| 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 | ICE Clear Credit LLC | Subsidiary of Public Company | 22-May-2024 | 22-May-2024 | Other |
| 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 | ICE Clear Europe Ltd. | Subsidiary of Public Company | 22-May-2024 | 22-May-2024 | Other |
| 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 | Intercontinental Exchange, Inc. | Public Company | 22-May-2024 | 22-May-2024 | Other |
| 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 | New York Stock Exchange LLC | Subsidiary of Public Company | 22-May-2024 | 22-May-2024 | Other |
| 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 | NYSE American LLC | Subsidiary of Public Company | 22-May-2024 | 22-May-2024 | Other |
| 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 | NYSE Arca, Inc. | Subsidiary of Public Company | 22-May-2024 | 22-May-2024 | Other |
| 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 | NYSE Chicago, Inc. | Subsidiary of Public Company | 22-May-2024 | 22-May-2024 | Other |
| 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 | NYSE National, Inc. | Subsidiary of Public Company | 22-May-2024 | 22-May-2024 | Other |
| 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 | Securities Industry Automation Corporation | Subsidiary of Public Company | 22-May-2024 | 22-May-2024 | Other |
| SEC v. Zhou Min Ni; and Jian Ming Ni, also known as Jonathan Ni, also known as Jianming Ni | Jian Ming Ni | Individual | 03-Jun-2024 | 10-Jun-2024 | Issuer Reporting and Disclosure |
| SEC v. Zhou Min Ni; and Jian Ming Ni, also known as Jonathan Ni, also known as Jianming Ni | Zhou Min Ni | Individual | 03-Jun-2024 | 10-Jun-2024 | Issuer Reporting and Disclosure |
| In the Matter of HF Foods Group Inc. | HF Foods Group Inc.
Aliases |
Public Company | 06-Jun-2024 | 06-Jun-2024 | Issuer Reporting and Disclosure |
| In the Matter of Daniel Urness, CPA | Daniel Urness | Individual | 10-Jun-2024 | 10-Jun-2024 | Insider Trading |
| In the Matter of Jian Ming (“Jonathan”) Ni, CPA | Jian Ming Ni | Individual | 18-Jun-2024 | 18-Jun-2024 | Issuer Reporting and Disclosure |
| In the Matter of Karen Rosenberger | Karen Rosenberger | Individual | 18-Jun-2024 | 18-Jun-2024 | Issuer Reporting and Disclosure |
| In the Matter of R.R. Donnelley & Sons Co. | R.R. Donnelley & Sons Co. | Public Company | 18-Jun-2024 | 18-Jun-2024 | Issuer Reporting and Disclosure |
| In the Matter of CPI Aerostructures, Inc. | CPI Aerostructures, Inc. | Public Company | 20-Jun-2024 | 20-Jun-2024 | Issuer Reporting and Disclosure |
| In the Matter of Meta Materials, Inc. (f/k/a Torchlight Energy Resources, Inc.) | Meta Materials, Inc. (f/k/a Torchlight Energy Resources, Inc.) | Public Company | 25-Jun-2024 | 25-Jun-2024 | Issuer Reporting and Disclosure |
| SEC v. John Brda, Georgios Palikaras | Georgios Palikaras | Individual | 25-Jun-2024 | Issuer Reporting and Disclosure | |
| SEC v. John Brda, Georgios Palikaras | John Brda | Individual | 25-Jun-2024 | Issuer Reporting and Disclosure | |
| SEC v. Silvergate Capital Corporation, Alan J. Lane, Kathleen Fraher, and Antonio Martino | Alan J. Lane | Individual | 01-Jul-2024 | 01-Jul-2024 | Issuer Reporting and Disclosure |
| SEC v. Silvergate Capital Corporation, Alan J. Lane, Kathleen Fraher, and Antonio Martino | Antonio Martino | Individual | 01-Jul-2024 | 01-Jul-2024 | Issuer Reporting and Disclosure |
| SEC v. Silvergate Capital Corporation, Alan J. Lane, Kathleen Fraher, and Antonio Martino | Kathleen Fraher | Individual | 01-Jul-2024 | 01-Jul-2024 | Issuer Reporting and Disclosure |
| SEC v. Silvergate Capital Corporation, Alan J. Lane, Kathleen Fraher, and Antonio Martino | Silvergate Capital Corporation | Public Company | 01-Jul-2024 | 01-Jul-2024 | Issuer Reporting and Disclosure |
| SEC v. Patrick Orlando | Patrick Orlando | Individual | 17-Jul-2024 | Securities Offering | |
| In the Matter of Ideanomics, Inc. (f/k/a Seven Stars Cloud Group, Inc.), Alfred P. Poor, and Federico Tovar | Alfred Poor | Individual | 09-Aug-2024 | 09-Aug-2024 | Issuer Reporting and Disclosure |
| In the Matter of Ideanomics, Inc. (f/k/a Seven Stars Cloud Group, Inc.), Alfred P. Poor, and Federico Tovar | Federico Tovar | Individual | 09-Aug-2024 | 09-Aug-2024 | Issuer Reporting and Disclosure |
| In the Matter of Ideanomics, Inc. (f/k/a Seven Stars Cloud Group, Inc.), Alfred P. Poor, and Federico Tovar | Ideanomics, Inc. (f/k/a Seven Star Cloud Group, Inc.) | Public Company | 09-Aug-2024 | 09-Aug-2024 | Issuer Reporting and Disclosure |
| In the Matter of Zheng (Bruno) Wu | Zheng (Bruno) Wu | Individual | 09-Aug-2024 | 09-Aug-2024 | Issuer Reporting and Disclosure |
| In the Matter of Ameriprise Financial Services, LLC | Ameriprise Financial Services, LLC | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of BNY Mellon Securities Corporation and Pershing LLC | BNY Mellon Securities Corporation | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of BNY Mellon Securities Corporation and Pershing LLC | Pershing LLC | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC | Cowen and Company, LLC | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC | Cowen Investment Management LLC | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of Hilltop Securities Inc. | Hilltop Securities Inc.
Aliases |
Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of LPL Financial LLC | LPL Financial LLC | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of Piper Sandler & Co. | Piper Sandler & Co. | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of Raymond James & Associates, Inc. | Raymond James & Associates, Inc. | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of RBC Capital Markets, LLC | RBC Capital Markets, LLC
Aliases |
Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc. | Epoch Investment Partners, Inc. | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc. | TD Private Client Wealth LLC | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc. | TD Securities (USA) LLC | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of Truist Securities, Inc.; Truist Investment Services, Inc.; and Truist Advisory Services, Inc. | Truist Advisory Services, Inc. | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of Truist Securities, Inc.; Truist Investment Services, Inc.; and Truist Advisory Services, Inc. | Truist Investment Services, Inc. | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of Truist Securities, Inc.; Truist Investment Services, Inc.; and Truist Advisory Services, Inc. | Truist Securities, Inc. | Subsidiary of Public Company | 14-Aug-2024 | 14-Aug-2024 | Broker Dealer |
| In the Matter of Carl C. Icahn | Carl C. Icahn | Individual | 19-Aug-2024 | 19-Aug-2024 | Issuer Reporting and Disclosure |
| In the Matter of Icahn Enterprises L.P. | Icahn Enterprises L.P. | Public Company | 19-Aug-2024 | 19-Aug-2024 | Issuer Reporting and Disclosure |
| In the Matter of National Energy Services Reunited Corp. | National Energy Services Reunited Corp. | Public Company | 28-Aug-2024 | 28-Aug-2024 | Issuer Reporting and Disclosure |
| In the Matter of Colony Capital Investment Advisors, LLC | Colony Capital Investment Advisors, LLC | Subsidiary of Public Company | 03-Sep-2024 | 03-Sep-2024 | Investment Advisers/Investment Companies |
| In the Matter of Moody's Investors Service, Inc. | Moody's Investors Service, Inc. | Subsidiary of Public Company | 03-Sep-2024 | 03-Sep-2024 | Other |
| In the Matter of S&P Global Ratings | S&P Global Ratings | Subsidiary of Public Company | 03-Sep-2024 | 03-Sep-2024 | Other |
| In the Matter of Portland General Electric Company | Portland General Electric Company | Public Company | 04-Sep-2024 | 04-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of CIRCOR International, Inc. | CIRCOR International, Inc. | Public Company | 05-Sep-2024 | 05-Sep-2024 | Issuer Reporting and Disclosure |
| SEC v. Nicholas Bowerman | Nicholas Bowerman | Individual | 05-Sep-2024 | Issuer Reporting and Disclosure | |
| In the Matter of a.k.a. Brands Holding Corp. | a.k.a. Brands Holding Corp. | Public Company | 09-Sep-2024 | 09-Sep-2024 | Other |
| In the Matter of Acadia Healthcare Company, Inc. | Acadia Healthcare Company, Inc. | Public Company | 09-Sep-2024 | 09-Sep-2024 | Other |
| In the Matter of AppFolio, Inc. | AppFolio, Inc. | Public Company | 09-Sep-2024 | 09-Sep-2024 | Other |
| In the Matter of IDEX Corporation | IDEX Corporation | Public Company | 09-Sep-2024 | 09-Sep-2024 | Other |
| In the Matter of LSB Industries, Inc. | LSB Industries, Inc. | Public Company | 09-Sep-2024 | 09-Sep-2024 | Other |
| In the Matter of Smart for Life, Inc. | Smart for Life, Inc. | Public Company | 09-Sep-2024 | 09-Sep-2024 | Other |
| In the Matter of TransUnion | TransUnion | Public Company | 09-Sep-2024 | 09-Sep-2024 | Other |
| In the Matter of Deere & Company | Deere & Company | Public Company | 10-Sep-2024 | 10-Sep-2024 | Foreign Corrupt Practices Act |
| In the Matter of Keurig Dr Pepper Inc. | Keurig Dr Pepper Inc. | Public Company | 10-Sep-2024 | 10-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of FirstEnergy Corp. | FirstEnergy Corp. | Public Company | 12-Sep-2024 | 12-Sep-2024 | Issuer Reporting and Disclosure |
| SEC v. Charles E. Jones | Charles E. Jones | Individual | 12-Sep-2024 | Issuer Reporting and Disclosure | |
| In the Matter of Zymergen Inc. | Zymergen Inc. | Subsidiary of Public Company | 13-Sep-2024 | 13-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of Nationale-Nederlanden Powszechne Towarzystwo Emerytalne S.A. | Nationale-Nederlanden Powszechne Towarzystwo Emerytalne S.A. | Other | 17-Sep-2024 | 17-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of TD Private Client Wealth LLC | TD Private Client Wealth LLC | Subsidiary of Public Company | 17-Sep-2024 | 17-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of Zions Public Finance, Inc. | Zions Public Finance, Inc. | Subsidiary of Public Company | 17-Sep-2024 | 17-Sep-2024 | Municipal Securities & Public Pensions |
| In the Matter of First Horizon Advisors, Inc. | First Horizon Advisors, Inc. | Subsidiary of Public Company | 18-Sep-2024 | 18-Sep-2024 | Broker Dealer |
| In the Matter of SuRo Capital Corp. | SuRo Capital Corp. | Public Company | 23-Sep-2024 | 23-Sep-2024 | Investment Advisers/Investment Companies |
| In the Matter of CIBC World Markets Corp. and CIBC Private Wealth Advisors, Inc. | CIBC Private Wealth Advisors, Inc. | Subsidiary of Public Company | 24-Sep-2024 | 24-Sep-2024 | Broker Dealer |
| In the Matter of CIBC World Markets Corp. and CIBC Private Wealth Advisors, Inc. | CIBC World Markets Corp. | Subsidiary of Public Company | 24-Sep-2024 | 24-Sep-2024 | Broker Dealer |
| In the Matter of Fusion Investment Advisors LLC d/b/a Coppell Advisory Solutions, LLC and Fusion Capital Management | Fusion Investment Advisors LLC, d/b/a Coppell Advisory Solutions, LLC and Fusion Capital Management | Other | 24-Sep-2024 | 24-Sep-2024 | Investment Advisers/Investment Companies |
| In the Matter of Invesco Distributors, Inc. and Invesco Advisers, Inc. | Invesco Advisers, Inc. | Subsidiary of Public Company | 24-Sep-2024 | 24-Sep-2024 | Broker Dealer |
| In the Matter of Invesco Distributors, Inc. and Invesco Advisers, Inc. | Invesco Distributors, Inc. | Subsidiary of Public Company | 24-Sep-2024 | 24-Sep-2024 | Broker Dealer |
| In the Matter of Regions Securities LLC | Regions Securities LLC | Subsidiary of Public Company | 24-Sep-2024 | 24-Sep-2024 | Broker Dealer |
| In the Matter of Stifel, Nicolaus & Company, Inc. | Stifel, Nicolaus & Company, Inc.
Aliases |
Subsidiary of Public Company | 24-Sep-2024 | 24-Sep-2024 | Broker Dealer |
| In the Matter of WM Technology, Inc. | WM Technology, Inc. | Public Company | 24-Sep-2024 | 24-Sep-2024 | Issuer Reporting and Disclosure |
| SEC v. Christopher Beals and Arden Lee | Arden Lee | Individual | 24-Sep-2024 | 07-Oct-2024 | Issuer Reporting and Disclosure |
| SEC v. Christopher Beals and Arden Lee | Christopher Beals | Individual | 24-Sep-2024 | 07-Oct-2024 | Issuer Reporting and Disclosure |
| In the Matter of Alphabet Inc. | Alphabet Inc. | Public Company | 25-Sep-2024 | 25-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of Celsius Holdings, Inc. | Celsius Holdings, Inc. | Public Company | 25-Sep-2024 | 25-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of Curtis Drew Hodgson | Curtis Drew Hodgson | Individual | 25-Sep-2024 | 25-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of Harvest Volatility Management LLC | Harvest Volatility Management LLC | Other | 25-Sep-2024 | 25-Sep-2024 | Investment Advisers/Investment Companies |
| In the Matter of Kenneth E. Shipley | Kenneth E. Shipley | Individual | 25-Sep-2024 | 25-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of Legacy Housing Corporation | Legacy Housing Corporation | Public Company | 25-Sep-2024 | 25-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases |
Subsidiary of Public Company | 25-Sep-2024 | 25-Sep-2024 | Investment Advisers/Investment Companies |
| In the Matter of Oaktree Capital Management, L.P. | Oaktree Capital Management, L.P. | Subsidiary of Public Company | 25-Sep-2024 | 25-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of The Bank of Nova Scotia | The Bank of Nova Scotia | Public Company | 25-Sep-2024 | 25-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of The Goldman Sachs Group, Inc. | The Goldman Sachs Group, Inc
Aliases |
Public Company | 25-Sep-2024 | 25-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of DraftKings Inc. | DraftKings Inc. | Public Company | 26-Sep-2024 | 26-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of Hoau-Yan Wang | Hoau-Yan Wang | Individual | 26-Sep-2024 | 26-Sep-2024 | Issuer Reporting and Disclosure |
| SEC v. Cassava Sciences, Inc.; Remi Barbier; and Lindsay Burns | Cassava Sciences, Inc. | Public Company | 26-Sep-2024 | 26-Sep-2024 | Issuer Reporting and Disclosure |
| SEC v. Cassava Sciences, Inc.; Remi Barbier; and Lindsay Burns | Lindsay Burns | Individual | 26-Sep-2024 | 26-Sep-2024 | Issuer Reporting and Disclosure |
| SEC v. Cassava Sciences, Inc.; Remi Barbier; and Lindsay Burns | Remi Barbier | Individual | 26-Sep-2024 | 26-Sep-2024 | Issuer Reporting and Disclosure |
| In the Matter of TD Securities (USA) LLC | TD Securities (USA) LLC | Subsidiary of Public Company | 30-Sep-2024 | 30-Sep-2024 | Broker Dealer |
| SEC v. Olayinka Temitope Oyebola and Olayinka Oyebola & Co. (Chartered Accountants) | Olayinka Oyebola & Co. (Chartered Accountants) | Other | 30-Sep-2024 | Issuer Reporting and Disclosure | |
| SEC v. Olayinka Temitope Oyebola and Olayinka Oyebola & Co. (Chartered Accountants) | Olayinka Temitope Oyebola | Individual | 30-Sep-2024 | Issuer Reporting and Disclosure | |
| In the Matter of Moog Inc. | Moog Inc. | Public Company | 11-Oct-2024 | 11-Oct-2024 | Foreign Corrupt Practices Act |
| In the Matter of Robert H. Turner | Robert H. Turner | Individual | 11-Oct-2024 | 11-Oct-2024 | Issuer Reporting and Disclosure |
| In the Matter of RTX Corporation | RTX Corporation | Public Company | 16-Oct-2024 | 16-Oct-2024 | Foreign Corrupt Practices Act |
| In the Matter of WisdomTree Asset Management, Inc. | WisdomTree Asset Management, Inc. | Subsidiary of Public Company | 21-Oct-2024 | 21-Oct-2024 | Investment Advisers/Investment Companies |
| In the Matter of Avaya Holdings Corp. | Avaya Holdings Corp. | Public Company | 22-Oct-2024 | 22-Oct-2024 | Issuer Reporting and Disclosure |
| In the Matter of Check Point Software Technologies Ltd. | Check Point Software Technologies Ltd. | Public Company | 22-Oct-2024 | 22-Oct-2024 | Issuer Reporting and Disclosure |
| In the Matter of Mimecast Limited | Mimecast Limited | Public Company | 22-Oct-2024 | 22-Oct-2024 | Issuer Reporting and Disclosure |
| In the Matter of Unisys Corporation | Unisys Corporation | Public Company | 22-Oct-2024 | 22-Oct-2024 | Issuer Reporting and Disclosure |
| SEC v. Donna Dellomo, Yoon Um, and The Lovesac Company | Donna Dellomo | Individual | 29-Oct-2024 | 29-Oct-2024 | Issuer Reporting and Disclosure |
| SEC v. Donna Dellomo, Yoon Um, and The Lovesac Company | The Lovesac Company | Public Company | 29-Oct-2024 | 29-Oct-2024 | Issuer Reporting and Disclosure |
| SEC v. Donna Dellomo, Yoon Um, and The Lovesac Company | Yoon Um | Individual | 29-Oct-2024 | 29-Oct-2024 | Issuer Reporting and Disclosure |
| In the Matter of J.P. Morgan Investment Management Inc. | J.P. Morgan Investment Management Inc. | Subsidiary of Public Company | 31-Oct-2024 | 31-Oct-2024 | Investment Advisers/Investment Companies |
| In the Matter of J.P. Morgan Investment Management Inc. | J.P. Morgan Investment Management Inc. | Subsidiary of Public Company | 31-Oct-2024 | 31-Oct-2024 | Investment Advisers/Investment Companies |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 31-Oct-2024 | 31-Oct-2024 | Investment Advisers/Investment Companies |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 31-Oct-2024 | 31-Oct-2024 | Broker Dealer |
| In the Matter of J.P. Morgan Securities LLC | J.P. Morgan Securities LLC
Aliases |
Subsidiary of Public Company | 31-Oct-2024 | 31-Oct-2024 | Broker Dealer |
| In the Matter of Elanco Animal Health Inc. | Elanco Animal Health Inc. | Public Company | 12-Nov-2024 | 12-Nov-2024 | Issuer Reporting and Disclosure |
| In the Matter of BIT Mining Ltd. | BIT Mining Ltd. | Public Company | 18-Nov-2024 | 18-Nov-2024 | Foreign Corrupt Practices Act |
| In the Matter of United Parcel Service, Inc. | United Parcel Service, Inc. | Public Company | 22-Nov-2024 | 22-Nov-2024 | Issuer Reporting and Disclosure |