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Case Number: 17-cv-02251 (United States District Court for the Northern District of Illinois) Date Filed: March 23, 2017 Date of Qualifying Judgment/Order: January 4, 2019 SEC v. 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 Date of Qualifying Judgment/Order: June 17, 2019 SEC v. Berry, Berry Media Works, LLC, and Shmuel Pollen Case Number: 18-cv-23993 (United States District Court for the Southern District of Florida) Date Filed: September 27, 2018 Date of Qualifying Judgment/Order: June 5, 2019 Wealth Strategy Partners, LLP, Harvey Altholtz, Stevens Resources Group, LLC, George Q. Feldman and Romildo Da Cunha Case Number: 15-cv-12857 (United States District Court for the District of Massachusetts) Date Filed: June 30, 2015 Date of Qualifying Judgment/Order: May 14, 2019 SEC v. James Thomas Bramlette; The Pelorus Group, LLC; Anthony Mark Hartman; Private Placement Capital Notes II, LLC; Stone Mountain Equities, LLC; Travis Kozlowski, Entelecus Fund, LLC; Aaron John Wernli Case Number: 18-cv-00761 (United States District Court for the District of Utah) Date Filed: September 26, 2018 Date of Qualifying Judgment/Order: April 29, 2019 SEC v. Case Number: 17-cv-00336 (United States District Court for the Eastern District of Texas) Date Filed: May 15, 2017 Date of Qualifying Judgment/Order: October 9, 2018 In the Matter of CMB Export, LLC; Patrick F. Commodities Online, LLC and Commodities Online Management, LLC Case Number: 11-cv-60702 (United States District Court for the Southern District of Florida) Date Filed: April 1, 2011 Date of Qualifying Judgment/Order: September 24, 2018 In the Matter of Mark R. Mast Case Number:18-cv-02381 (United States District Court for the District of Colorado) Date Filed: September 18, 2018 Date of Qualifying Judgment/Order: September 19, 2018 In the Matter of Putnam Investment Management, LLC and Zachary Harrison Administrative Proceeding File No.: 3-18844 Date Filed: September 27, 2018 Date of Qualifying Judgment/Order: September 27, 2018 SEC v. 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 SEC v.

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Costa, Costa Financial Insurance Services, Corp., Albert D. Case Number: 17-cv-00529 (United States District Court for the Southern District of Texas) Date Filed: February 17, 2017 Date of Qualifying Judgment/Order: August 11, 2017 SEC v. Administrative Proceeding File No.: 3-16649 Date Filed: August 21, 2017 Date of Qualifying Judgment/Order: August 21, 2017 SEC v. Morelli, III, Berardino “Dino” Paolucci, Jr., and Don L. 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 SEC v. Northrop Case Number: 16-cv-00441 (United States District Court for the Middle District of Florida) Date Filed: June 7, 2016 Date of Qualifying Judgment/Order: June 6, 2017 SEC v. Mc Carthy, The Dream Team Group, LLC, Mission Investor Relations, LLC, and Quality Stocks LLC Administative Proceeding File No.: 3-17917 Date of Qualifying Judgment/Order: April 10, 2017 In the Matter of Ciaran Thornton Administrative Proceeding File No.: 3-17918 Date of Qualifying Judgment/Order: April 10, 2017 In the Matter of Manish Singh and Lavos, LLC Administative Proceeding File No.: 3-17920 Date of Qualifying Judgment/Order: April 10, 2017 In the Matter of Christopher French Administative Proceeding File No.: 3-17921 Date of Qualifying Judgment/Order: April 10, 2017 SEC v. Riddle Case Number:17-cv-00180 (United States District Court for the District of Idaho) Date Filed: April 28, 2017 Date of Qualifying Judgment/Order: May 10, 2017 SEC v. BIC Real Estate Development Corporation and Daniel R. Craft, Sanderley Rodrigues de Vasconcelos, Santiago de al Rosa, Randy N. Sloan Case Number: 14-cv-11858 (United States District Court for the District of Massachusetts) Date Filed: April 15, 2014 Date of Qualifying Judgment/Order: May 17, 2017 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 SEC v. Case Number: 15-cv-00609 (United States District Court for the District of Arizona) Date Filed: April 9, 2015 Date of Qualifying Judgment/Order: April 27, 2017 SEC v.

Edward Durante, Abida Khan, Larry Werbel, Christopher Cervino, Walter Reissman, Kenneth Wise, and Evolution Partners Wealth Management LLC Case Number: 15-cv-09874 (United States District Court for the Southern District of New York) Date Filed: January 6, 2016 Date of Qualifying Judgment/Order: March 20, 2019 SEC v. Nicoletta, Bella Industries LLC, Cranberry Rock Investments, Inc., and J. Arise Bank, Jared Rice Sr., and Stanley Ford Case Number: 18-cv-00186 (United States District for the Northern District of Texas) Date Filed: January 25, 2018 Date of Qualifying Judgment/Order: December 11, 2018 SEC v. and Matthew Dee Nerbonne Case Number: 16-cv-00693 (United States District Court for the Eastern District of Texas) Date Filed: September 9, 2016 Date of Qualifying Judgment/Order: December 12, 2018 SEC v. Kornfeld, Ferne Kornfeld, FEK Enterprises, Inc., d/b/a First Financial Tax Group, Andrew G. Ives, LLC, and Bellagio Place Residence, LLC Case Number: 17-cv-05953(United States District Court for the Central District of California) Date Filed: August 10, 2017 Date of Qualifying Judgment/Order: August 15, 2017 SEC v. Darrell Glenn Hardaway and Hardaway Net-Works, Inc. Mc Alees Case Number: 17-cv-80916 (United States District Court for the Southern District of Florida) Date Filed: August 4, 2017 Date of Qualifying Judgment/Order: August 15, 2017 In the Matter of Ironridge Global Partners, LLC, and Ironridge Global IV, Ltd. 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 SEC v. Administrative Proceeding File No.: 3-17915 Date of Qualifying Judgment/Order: April 10, 2017 In the Matter of Stephen Ramey Administrative Proceeding File No.: 3-17916 Date of Qualifying Judgment/Order: April 10, 2017 In the Matter of Michael A. Endeavor Partners, LLC; Endeavor Capital Management Group, LLC; Edward D. Serofim Muroff, Blackhawk Manager, LLC, ISR Capital, LLC, Equity Recap Account, LLC and Debra L. Case Number: 16-cv-05043 (United States District Court for the Eastern District of Pennsylvania ) Date Filed: September 22, 2016 Date of Qualifying Judgment/Order: May 22, 2017 SEC v. Schantz III and Verto Capital Management LLC Case Number: 17-cv-03115 (United States District Court for the District of New Jersey) Date Filed: May 4, 2017 Date of Qualifying Judgment/Order: May 8, 2017 SEC v. Smith, and Nancy Mc Ginn Case Number: 10-cv-00457 (United States District Court for the Northern District of New York) Date Filed: April 20, 2010 Date of Qualifying Judgment/Order: July 8, 2015 SEC v.

Mieka Energy Corporation, Vadda Energy Corporation, Daro Ray Blankenship, Robert William Myers, Jr., and Stephen Romo Case Number: 15-cv-00300 (United States District Court for the Northern District of Texas) Date Filed: April 10, 2015 Date of Qualifying Judgment/Order: August 6, 2018 SEC v. Administrative Proceeding File No.: 3-18681 Date Filed: August 27, 2018 Date of Qualifying Judgment/Order: August 27, 2018 In the Matter of Bradley J. Erick Laszlo Mathe and Ashif Jiwa Case Number: 14-cv-23573 (United States District Court for the Southern District of Florida) Date Filed: September 26, 2014 Date of Qualifying Judgment/Order: July 3, 2018 SEC v. Hallam, Joseph Simo, Dustin Michael Miller Rodriguez, Beth C. James Hugh Brennan III; Douglas Albert Dyer; and Broad Street Ventures, LLC Case Number:16-cv-00307 (United States District Court for the Eastern District of Tennessee) Date Filed: July 20, 2016 Date of Qualifying Judgment/Order: February 20, 2018 SEC v. JSG Capital Investments, LLC, JSG Capital, LLC, JSG Capital, LLC, JSG Enterprises, LLC, Jaswants S. Sanders Case Number: 15-cv-80496 (United States District Court for the Southern District of Florida) Date Filed: April 16, 2015 Date of Qualifying Judgment/Order: February 23, 2018 SEC v. Meadows Case Number: 14-cv-12958 (United States District Court for the District of Massachusetts) Date Filed: July 11, 2014 Date of Qualifying Judgment/Order: January 11, 2018 SEC v. Bivona; Saddle River Advisors, LLC; SRA Management Associates, LLC; Frank Gregory Mazzola Case Number: 16-cv-01386 (United States District Court for the Northern District of California) Date Filed: March 22, 2016 Date of Qualifying Judgment/Order: December 22, 2017 SEC v. Case Number: 16-cv-04950 (United States District Court for the Southern District of New York) Date Filed: June 30, 2017 Date of Qualifying Judgment/Order: October 20, 2017 SEC v. AJN Investments, LLC and Jason Adam Ogden Case number: 16-cv-63036 (United States District Court for the Southern District of Florida) Case filed: December 28, 2016 Qualifying Judgment/Order: January 19, 2017 In the Matter of Orthofix International N. Administrative Proceeding File No.: 3-17791 Case filed: January 18, 2017 Qualifying Judgment/Order: January 18, 2017 In the Matter of Jeffrey Hammel, CPA Administrative Proceeding File No.: 3-17792 Case filed: January 18, 2017 Qualifying Judgment/Order: January 18, 2017 In the Matter of Brian Mc Collum Administrative Proceeding File No.: 3-17793 Case filed: January 18, 2017 Qualifying Judgment/Order: January 18, 2017 In the Matter of Kenneth Mack and Bryan Mc Millan Administrative Proceeding File No.: 3-17794 Case filed: January 18, 2017 Qualifying Judgment/Order: January 18, 2017 SEC v. Caspersen and Irving Place III SPV, LLC Case number: 16-cv-02249 (United States District Court for the Southern District of New York) Case filed: March 28, 2016 Qualifying Judgment/Order: January 30, 2017 SEC v. Kinchloe, Peter Kirkbride, West Coast Commodities, LLC, Thomas A. Diverse Financial Corporation, Roy Dekel, and David Kandell Case number: 15-cv-01746 (United States District Court for the Central District of California) Case filed: October 28, 2015 Qualifying Judgment/Order: December 9, 2016 SEC v. Kaptrosky Case number: 16-cv-01417 (United States District Court for the Northern District of Texas) Case filed: May 24, 2016 Qualifying Judgment/Order: November 22, 2016 SEC v.

Pinzon Case Number: 18-cv-81081 (United States District Court for the Southern District of Florida) Date Filed: August 14, 2018 Date of Qualifying Judgment/Order: August 16, 2018 SEC v. Case Number: 18-cv-23368 (United States District Court for the Southern District of Florida) Date Filed: August 20, 2018 Date of Qualifying Judgment/Order: August 24, 2018 In the Matter of AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc. Hanson Case Number: 18-cv-01735 (United States District Court for the Northern District of Texas) Date Filed: July 3, 2018 Date of Qualifying Judgment/Order: July 31, 2018 SEC v. Sanford Case Number: 18-cv-00616 (United States District Court for the Eastern District of California) Date Filed: March 22, 2018 Date of Qualifying Judgment/Order: March 27, 2018 In the Matter of Maxwell Technologies, Inc., Van M. Fox and Wayne Energy, LLC Case Number: 17-cv-00271 (United States District Court for the Eastern District of Texas) Date Filed: April 19, 2017 Date of Qualifying Judgment/Order: March 8, 2018 SEC v. Wheet Case Number: 12-cv-03298 (United States District Court for the Northern District of Georgia) Date Filed: September 21, 2012 Date of Qualifying Judgment/Order: March 16, 2018 SEC v. Renwick Haddow, Bar Works, Inc., Bar Works 7th Avenue, Inc., and Bitcoin Store, Inc. Administrative Proceeding File No.: 3-17808 Case filed: January 24, 2017 Qualifying Judgment/Order: January 24, 2017 In the Matter of Morgan Stanley Smith Barney, LLC Administrative Proceeding File No.: 3-17809 Case filed: January 24, 2017 Qualifying Judgment/Order: January 24, 2017 SEC v. Randal Kent Hansen, RAHFCO Management Group, LLC, Vincent Puma, and Hudson Capital Partners Corporation Case number: 13-cv-01403 (United States District Court for the Southern District of New York) Case filed: March 4, 2013 Qualifying Judgment/Order: May 19, 2016 SEC v. Carter, 808 Renewable Energy Corporation, 808 Investments, LLC, Martin J. Flowers LLC Case number: 16-cv-02070 (United States District Court for the Central District of California) Case filed: November 17, 2016 Qualifying Judgment/Order: November 21, 2016 SEC v.

De Witt, Jr., CPA Administrative Proceeding File No.: 3-18408 Date Filed: March 27, 2018 Date of Qualifying Judgment/Order: March 27, 2018 Matthew W. Mosshart Case Number: 16-cv-06427 (United States District Court for the Central District of California) Date Filed: August 26, 2016 Date of Qualifying Judgment/Order: December 6, 2017 SEC v. Naris Chamroonrat, Yaniv Avnon, Ran Armon, G Six Trading Y. 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 In the Matter of Henry Lin-Han Jan Administrative Proceeding File No.: 3-18267 Date Filed: October 26, 2017 Date of Qualifying Judgment/Order: October 26, 2017 In the Matter of Artemus Mayor Administrative Proceeding File No.: 3-18268 Date Filed: October 26, 2017 Date of Qualifying Judgment/Order: October 26, 2017 SEC v. Wells Administrative Proceeding File No.: 3-17849 Date Filed: February 16, 2017 Date of Qualifying Judgment/Order: February 16, 2017 SEC v. Case number: 16-cv-10960 (United States District Court for the District of Massachusetts) Case filed: May 26, 2016 Qualifying Judgment/Order: January 27, 2017 SEC v. Robert De Wayne Milligan Case number: 15-cv-07308 (United States District Court for the Central District of California) Case filed: September 17, 2015 Qualifying Judgment/Order: January 17, 2017 In the Matter of Citigroup Global Markets, Inc. Snow Case number: 11-cv-00370 (United States District Court for the Southern District of Indiana) Case filed: March 16, 2011 Qualifying Judgment/Order: January 18, 2017 SEC v. Laurenti, Coram Real Estate Holding, Inc., Goldstar P. and Oppenheimer Alternative Investment Management, LLC Administrative Proceeding File No.: 3-15238 Case filed: March 11, 2013 Qualifying Judgment/Order: March 11, 2013 SEC v. Kenneth Ira Starr, Starr Investment Advisors, LLC, Starr & Company, LLC, and Jonathan Star Bristol Case number: 10-cv-4270 (United States District Court for the Southern District of New York) Case filed: May 27, 2010 Qualifying Judgment/Order: November 15, 2012 SEC v.

Boston Trading and Research, LLC, Ahmet Devrim Akyil, and Craig Karlis Case Number: 10-cv-11841 (United States District Court for the District of Massachusetts) Date Filed: October 28, 2010 Date of Qualifying Judgment/Order: December 12, 2017 SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Curran, and Waldemar Grab Case Number: 17-cv-04866 (United States District Court for the Southern District of New York) Date Filed: June 28, 2017 Date of Qualifying Judgment/Order: November 20, 2017 SEC v. Capital Financial Partners, LLC, Capital Financial Holdings, LLC, Capital Financial Partners Enterprises, LLC, William D. Daub Case Number: 15-cv-11447 (United States District Court for the District of Massachusetts) Date Filed: April 1, 2015 Date of Qualifying Judgment/Order: November 17, 2017 SEC v. Harrison Schumacher; Paul Mysyk; Quaneco, LLC; and Quantum Energy, LLC Case Number: 15-cv-06388 (United States District Court for the Central District of California) Date Filed: August 25, 2015 Date of Qualifying Judgment/Order: February 21, 2017 In the Matter of Angel Oak Capital Partners, LLC, Peraza Capital & Investment, LLC, Sreeniwas Prabhu, and David W. Le, and Team LLC Case number: 15-cv-04366 (United States District Court for the District of Minnesota) Case filed: December 15, 2015 Qualifying Judgment/Order: February 1, 2017 SEC v. Esposito, Anthony Jay Pignatello, James Gondolfe, Renee Galizio, Lionshare Ventures LLC, and Cannabiz Mobile, Inc. Case number: 15-cv-03456 (United States District Court for the District of Minnesota) Case filed: September 1, 2015 Qualifying Judgment/Order: January 13, 2017 SEC v. Nickles Case number: 10-cv-00423 (United States District Court for the Central District of California) Case filed: April 7, 2010 Qualifying Judgment/Order: September 24, 2012 SEC v. Case number: 10-cv-01720 (United States District Court for the Southern District of New York) Case filed: March 4, 2010 Qualifying Judgment/Order: February 13, 2013 In the Matter of Oppenheimer Asset Management Inc. in an Account of Citibank NA A/C HK 4 Case number: 12-cv-5786 (United States District Court for the Southern District of New York) Case filed: July 27, 2012 Qualifying Judgment/Order: November 7, 2012 SEC v.

Once a Notice of Covered Action is posted, individuals have 90 calendar days to apply for an award by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action.

Please send completed forms to the Office of the Whistleblower by mail at 100 F Street NE, Mail Stop 5631, Washington, DC 20549 or by fax at (703) 813-9322.

Medient Studios, Inc., FONU2, Inc., Manu Kumaran, Joel A. Quadrant 4 System Corp., Nandu Thondavadi, and Dhru Desai Case Number: 17-cv-04883 (United States District Court for the Northern District of Illinois) Date Filed: June 29, 2017 Date of Qualifying Judgment/Order: June 25, 2018 In the Matter of Constant Contact, Inc. Administrative Proceeding File No.: 3-18531 Date Filed: June 5, 2018 Date of Qualifying Judgment/Order: June 5, 2018 SEC v. Khalfani Case Number: 15-cv-00980 (United States District Court for the Central District of California) Date Filed: June 19, 2015 Date of Qualifying Judgment/Order: March 22, 2018 SEC v. Lotto Net Operating Corp., David Gray, Joseph Vitale a/k/a Donovan Kelly Case Number: 17-cv-21033 (United States District Court for the Southern District of Florida) Date Filed: March 20, 2017 Date of Qualifying Judgment/Order: February 26, 2018 SEC v. P., Jay Peak GP Services Lodge, Inc., Jay Peak Hotel Suites Stateside L. Gallo III Case Number: 12-cv-61731 (United States District Court for the Southern District of Florida) Date Filed: September 5, 2012 Date of Qualifying Judgment/Order: February 15, 2018 SEC v. X Wok Construction LLC, US Investment LLC d/b/a US Investment FL LLC, Top Sun Energy LLC, Ocean Blvd. X Property Management LLC, US1 Real Estate Developments, LLC, and Investor Asset Protection, LLC Case Number: 15-cv-62323 (United States District Court for the Southern District of Florida) Date Filed: November 3, 2015 Date of Qualifying Judgment/Order: January 22, 2018 SEC v. P.; Select Asset Management, LLC; Select Capital Management, LLC; Select Asset Fund I, LLC; and Select Asset Prime Index Fund, LLC Case Number: 11-cv-02830 (United States District Court for the Southern District of Texas) Date Filed: August 1, 2011 Date of Qualifying Judgment/Order: January 8, 2018 In the Matter of Industrial and Commercial Bank of China Financial Services LLC Administrative Proceeding File No.: 3-18341 Date Filed: January 18, 2018 Date of Qualifying Judgment/Order: January 18, 2018 SEC v. Kaplan, Esq., Synchronized Organizational Solutions, LLC, Synchronized Organizational Solutions International, Ltd., and Manna International Enterprises, Inc. Just Info LLC, David Weddle, and Scott Allensworth Case Number: 17-cv-07426 (United States District Court for the Central District of California) Date Filed: October 11, 2017 Date of Qualifying Judgment/Order: October 25, 2017 In the Matter of Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.), John T. Duszynski, CPA Administrative Proceeding File No.: 3-17740 Date Filed: October 26, 2017 Date of Qualifying Judgment/Order: October 26, 2017 SEC v. Case Number: 11-cv-05316 (United States District Court for the Central District of California) Date Filed: June 24, 2011 Date of Qualifying Judgment/Order: September 13, 2017 SEC v. Case Number: 14-cv-01155 (United States District Court for the Northern District of Ohio) Date Filed: May 29, 2014 Date of Qualifying Judgment/Order: September 26, 2017 SEC v. Case Number: 17-cv-11817 (United States District Court for the District of Massachusetts) Date Filed: September 22, 2017 Date of Qualifying Judgment/Order: September 25, 2017 SEC v.

Ravichandran Administrative Proceeding File No.: 3-18653 Date Filed: August 21, 2018 Date of Qualifying Judgment/Order: August 21, 2018 In the Matter of Waruna Tivanka Ellawala Administrative Proceeding File No.: 3-18654 Date Filed: August 21, 2018 Date of Qualifying Judgment/Order: August 21, 2018 SEC v. and Mark De Stefano Case Number: 18-cv-05980 (United States District Court for the Southern District of New York) Date Filed: July 2, 2018 Date of Qualifying Judgment/Order: July 9, 2018 SEC v. Joseph Meli, Matthew Harriton, 875 Holdings, LLC, 127 Holdings LLC, Advance Entertainment, LLC, and Advance Entertainment II, LLC Case Number: 17-cv-00632 (United States District Court for the Southern District of New York) Date Filed: January 27, 2017 Date of Qualifying Judgment/Order: July 13, 2018 SEC v. Pacific West Capital Group, Inc.; Andrew B Calhoun IV; PWCG Trust; Brenda Christine Barry; Bak West, Inc.; Andrew B Calhoun Jr.; Eric Christopher Cannon; Century Point, LLC; Michael Wayne Dotta; and Caleb Austin Moody (dba Sky Stone) Case Number: 15-cv-02563 (United States District Court for Central District of California) Date Filed: April 7, 2015 Date of Qualifying Judgment/Order: June 18, 2018 SEC v. Gordon Case Number: 18-cv-01587 (United States District Court for the Northern District of Texas) Date Filed: June 19, 2018 Date of Qualifying Judgment/Order: June 28, 2018 SEC v. Case Number: 17-cv-01968 (United States District Court for the Central District of California) Date Filed: September 27, 2017 Date of Qualifying Judgment/Order: June 18, 2018 SEC v. Hogan Case Number: 15-cv-00053 (United States District Court for the District of North Dakota) Date Filed: May 5, 2015 Date of Qualifying Judgment/Order: April 25, 2018 SEC v. Steven Ventre, Dedicated Sound and Audio, Inc., Eric Lovy f/k/a Eric Beltran, and Choice Equity Case Number: 18-cv-00323 (United States District Court for the Central District of California) Date Filed: February 26, 2018 Date of Qualifying Judgment/Order: March 2, 2018 SEC v. P., Jay Peak GP Services Golf, Inc., Jay Peak Lodge and Townhouses L. EB-5 Investments LLC, Oakland Office Holdings LLC, B. International Stock Transfer, Inc., and Cecil Franklin Speight Case Number: 14-cv-04435 (United States District Court for the Eastern District of New York) Date Filed: July 23, 2014 Date of Qualifying Judgment/Order: October 6, 2017 SEC v. Caledonian Bank, LTD., Caledonian Securities LTD., Clear Water Securities, Inc., Legacy Global Markets S.

Blasko Case Number: 17-cv-01156 (United States District Court for the Central District of California) Date Filed: July 6, 2017 Date of Qualifying Judgment/Order: May 8, 2019 SEC v. John Afriyie and Lawrencia Afriyie Case Number: 16-cv-02777 (United States District Court for the Southern District of New York) Date Filed: April 13, 2016 Date of Qualifying Judgment/Order: November 27, 2018 SEC v. Canyon Creek Development, Inc., Canyon Creek Financial, LLC and Jon M. Edward Chen, Jean Chen, Home Paradise Investment Center LLC, GH Investment LP, GH Design Group, LLC, Golden Galaxy LP, and Mega Home, LLC Case Number: 17-cv-06929 (United States District Court for the Central District of California) Date Filed: September 20, 2017 Date of Qualifying Judgment/Order: November 20, 2018 SEC v. Beach Case Number: 18-cv-01479 (United States District Court for the District of Connecticut) Date Filed: September 4, 2018 Date of Qualifying Judgment/Order: October 10, 2018 SEC v. Apostelos, WMA Enterprises, LLC, Midwest Green Resources, LLC, and Ovo Wealth Management, LLC Case Number: 15-cv-00699 (United States District Court for the Southern District of Ohio) Date Filed: October 29, 2015 Date of Qualifying Judgment/Order: October 1, 2018 SEC v. and Citi Order Routing and Execution, LLC Administrative Proceeding File No.: 3-18766 Date Filed: September 14, 2018 Date of Qualifying Judgment/Order: September 14, 2018 SEC v. Hughes, Janice Papapanu, Michael Papapanu, Ekaterini Kolokouris, Demitrios Kolokouris, Anastasios Kolokouris, Ioannis “John” Kolokouris, Sophia Kolokouris, Terry Bechakas, 100 Demetrios, Inc., 200 Anastasios, Inc., 300 Ioannis, Inc., 400 Terry, Inc., 500 Sophia, Inc., Just Sell Gold, Inc., and Express Gold Cash, Inc. Hamels Case Number: 15-cv-07547 (United States District Court for the Southern District of New York) Date Filed: September 24, 2015 Date of Qualifying Judgment/Order: August 9, 2018 SEC v. (“Billy”) Mc Farland, Frye Media, Inc., Magnises, Inc., Grant Margolin, and Daniel Simon Case Number: 18-cv-06634 (United States District Court for the Southern District of New York) Date Filed: July 25, 2018 Date of Qualifying Judgment/Order: August 1, 2018 In the Matter of Ribbon Communications Inc., Mark Greenquist, and Michael Swade Administrative Proceeding File No.: 3-18624 Date Filed: August 7, 2018 Date of Qualifying Judgment/Order: August 7, 2018 SEC v. Wong Administrative Proceeding File No.: 3-17955 Date Filed: May 1, 2017 Date of Qualifying Judgment/Order: May 1, 2017 SEC v. Todd Farha, Paul Behrens, and Thaddeus Bereday Case Number: 12-cv-00047 (United States District Court for the Middle District of Florida) Date Filed: January 09, 2012 Date of Qualifying Judgment/Order: April 17, 2017 In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No: 3-17899 Date Filed: April 4, 2017 Date of Qualifying Judgment/ Order: April 4, 2017; In the Matter of Sanford Michael Katz Administrative Proceeding File No.: 3-17900 Date Filed: April 4, 2017 Date of Qualifying Judgment/Order: April 4, 2017 SEC v. Bart Williams, Moneyline Brokers, Bastille Advisors, Inc., Club Consultants Inc., Jurojin, Inc., Sandias Azucaradas CR, S.

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