1/21/2024 0 Comments Matt sharp alliance defending dom![]() ![]() In the Matter of Citigroup Global Markets IncĪdministrative Proceeding File No.: 3-21583Ĭase Number: 23-cv-06753 (United States District Court for the Southern District of New York) Bittrex, Inc., Bittrex Global Gmbh, and William Hiroaki ShiharaĬase Number: 23-cv-00580 (United States District Court for the Western District of Washington)ĭate of Qualifying Judgment/Order: August 15, 2023 TaylorĪdministrative Proceeding File No.: 3-21538 In the Matter of Moshe aka "Mark" Feuer and Scott A. George Iakovou, Vika Ventures LLC, Penelope ZbravosĬase Number: 22-cv-00194 (United States District Court for the Middle District of Georgia)ĭate of Qualifying Judgment/Order: August 9, 2023Īdministrative Proceeding File No.: 3-21537ĭate of Qualifying Judgment/Order: July 31, 2023 In the Matter of Titan Global Capital Management USA LLCĪdministrative Proceeding File No.: 3-21569ĭate of Qualifying Judgment/Order: August 21, 2023 MapleĪdministrative Proceeding File No.: 3-21586ĭate of Qualifying Judgment/Order: August 28, 2023 In the Matter of Legacy Hospitality II, LLC, Legendary Capital Reit III, LLC, and Corey R. MasucciĪdministrative Proceeding File No.: 3-21542 In the Matter of Exchange Traded Managers Group LLC, ETF Managers Group LLC, and Samuel R. and Corporacion Financiera Colombiana, S.AĪdministrative Proceeding File No.: 3-21559ĭate of Qualifying Judgment/Order: August 10, 2023 In the Matter of Grupo Aval Acciones Y Valores S.A. Stallabrass, FCAĪdministrative Proceeding File No.: 3-21560ĭate of Qualifying Judgment/Order: August 14, 2023 RBF Trust LLC, a Florida company, Paulo Fernando de Bastos, Joao Pedro Fonseca, a/k/a Joao Pedro Fonseca de Bastos RBF Trust LLC, a Michigan company, D3 Gestion Immobiliere LLC, a Florida company, and D3 Gestion Immobiliere LLC, a Michigan companyĬase Number: 22-cv-61831 (United States District Court for the Southern District of Florida)ĭate of Qualifying Judgment/Order: August 1, 2023 Mark Klein, Eduardo Rubinstein, and Pablo RubinsteinĬase Number: 22-cv-06426 (United States District Court for the Southern District of New York)ĭate of Qualifying Judgment/Order: August 2, 2023Īdministrative Proceeding File No.: 3-21544ĭate of Qualifying Judgment/Order: August 4, 2023Ĭase Number: 23-cv-02000 (United States District Court for the District of Colorado) In the Matter of Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network, LLCĪdministrative Proceeding File No.: 3-21580 In the Matter of Archipelago Trading Services, Inc.Īdministrative Proceeding File No.: 3-21587ĭate of Qualifying Judgment/Order: August 29, 2023 Renison, and ARO Equity, LLCĬase Number: 20-cv-10027 (United States District Court for the District of Massachusetts)ĭate of Qualifying Judgment/Order: July 27, 2023Īdministrative Proceeding File No.: 3-21581ĭate of Qualifying Judgment/Order: August 25, 2023 Alton Perkins, Yilaime Corporation of NC, Yilaime Corporation of Nevada, Perkins HSU Export Corporation, American Towne Holdings, Inc., and Mabiala PhuatiĬase Number: 19-cv-00243 (United States District Court for the Eastern District of North Carolina)ĭate of Qualifying Judgment/Order: August 22, 2023 SEC Office of the Whistleblower (c/o ENF-CPU) Whistleblower Award Applications submitted by mail or fax should be sent to: Generally, submissions are acknowledged within 60 days. We strongly encourage Form WB-APPs to be submitted by email to Duplicate submissions of a Form WB-APP by multiple methods (e.g., fax, email, and mail) are discouraged as they may cause delays. 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. Subject to the Whistleblower Amended Rules, individuals who voluntarily provided the SEC with original information after Jthat led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the SEC opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case. The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. We post Notices of Covered Action for each SEC action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million. ![]()
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