:2015-55 Action:SEC v. Charles H. Merchant, Sr. and Southern USA Resources, Inc. Case Number: 13-cv-03879 (United States District Court for the Northern District of Georgia) Case Filed: November 22, 2013 Qualifying Judgment/Order: May 6, 2015 Notice No. :2015-56 Action:SEC v. Gist and Gist, Kennedy & Associates, Inc. Case Number: 13-cv-01833 (United States District Court for the Northen District of Georgia) Case Filed: May 31, 2013 Qualifying Judgment/Order: May 1, 2015 Notice No.
Carino Administrative Proceeding File No. : 3-16670 Notice No. :2015-67 Action:SEC v. Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner Case number: 14-cv-80823 (United States District Court for the Southern District of Florida) Case filed: June 23, 2014 Qualifying Judgment/Order: June 22, 2015 Notice No. :2015-68 Action:In the Matter of Helmut Anscheringer Administrative Proceeding File No. : 3-16589 Case filed: June 15, 2015 Qualifying Judgment/Order: June 15, 2015 Notice No.
:2015-69 Action:SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller Case number: 10-cv-01235 (United States District Court for the Northern District of Ohio) Case filed: June 2, 2010 Qualifying Judgment/Order: May 26, 2015 Published date grouping:June 2015 Notice No. :2015-54 Action:In the Matter of Spectrum Concepts, LLC, Donald James Worswick, Michael Nicholas Grosso, and Michael Patrick Brown Administrative Proceeding File No. : 3-16358 Case Filed: January 23, 2015 Initial Decision: April 7, 2015 Qualifying Judgment/Order: May 20, 2015 Notice Date:06/30/2015 Claim Due Date:09/28/2015 Notice No.
:2019-99 Action:Wealth Strategy Partners, LLP, Harvey Altholtz, Stevens Resources Group, LLC, George Q. Stevens, and Wealth Strategy Partners, LC Case Number: 14-cv-02427 (United States District Court for the Middle District of Florida) Date Filed: September 25, 2014 Notice No. :2019-98 Action:In the Matter of State Street Bank and Trust Company Administrative Proceeding File No. : 3-19221 Date Filed: June 27, 2019 Date of Qualifying Judgment/Order: June 27, 2019 Notice No. :2019-121 Action:In the Matter of Fieldstone Financial Management Group, LLC and Kristofor R.
Yu-Cheng Lin, a/k/a Believe Lin Case Number: 17-cv-00875 (United States District Court for the District of New Jersey) Date Filed: February 9, 2017 Date of Qualifying Judgment/Order: June 14, 2017 Notice No. :2017-114 Action:SEC v. Ascenergy LLC and Joseph (a/k/a Joey) Gabaldon Case Number: 15-cv-01974 (United States District Court for the District of Nevada) Date Filed: October 13, 2015 Date of Qualifying Judgment/Order: May 23, 2017 Notice No. :2017-113 Action:SEC v. Kingdom Legacy General Partner, LLC and Mark C. Northrop Case Number: 16-cv-00441 (United States District Court for the Middle District of Florida) Date of Qualifying Judgment/Order: June 6, 2017 Notice No.
:2017-92 Action:SEC v. Scott Allen and John Michael Bennett Case Number: 11-cv-06443 (United States District Court for the Southern District of New York) Date Filed: September 15, 2011 Date of Qualifying Judgment/Order: April 4, 2017 Notice No. :2017-91 Action:SEC v. Janus Spectrum LLC; David Alcorn; Kent Maerki; Dominion Private Client Group, LLC; Janus Spectrum Group, LLC; Spectrum Management, LLC; Spectrum 100, LLC; Spectrum 100 Management, LLC; Prime Spectrum, LLC; Prime Spectrum Management, LLC; Daryl G.
Hope Advisors, LLC, and Karen Bruton Case Number: 16-cv-01752 (United States District Court for the Northern District of Georgia) Date Filed: May 31, 2016 Notice No. :2018-113 Action:SEC v. CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin Case Number: 15-cv-01068 (United States District Court for the Middle District of North Carolina) Date Filed: December 16, 2015 Date of Qualifying Judgment/Order: September 26, 2018 Published date grouping:September 2018 Notice No. :2018-112 Action:SEC v.
Dwight Shane Baldwin and Silverleaf Financial, LLC Case Number: 15-cv-00458 (United States District Court for the District of Utah) Date Filed: June 25, 2015 Date of Qualifying Judgment/Order: October 12, 2017 Notice Date:11/30/2017 Claim Due Date:02/28/2018 Notice No. :2017-167 Action:In the Matter of Henry Lin-Han Jan Administrative Proceeding File No.
Kelly, John M. Kirschenbaum, David S. Luttbeg, Timothy J. McAloon, Jocelyn M. Murphy, Michael S. Murphy, Ralph M. Riccardi, Dewey T. Tran, and Philip A. Weiner Case Number: 18-cv-01895 (United States District Court for the Southern District of California) Date Filed: August 14, 2018 Date of Qualifying Judgment/Order: August 17, 2018 Notice No. :2018-101 Action:SEC v. Core Performance Management, LLC, James P.