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John Sherman Jumper, Alluvion Securities, LLC, American Investments Fund, II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC Case Number: 18-cv-02259 (United States District Court for the Western District of Tennessee) Date Filed: April 17, 2018 Date of Qualifying Judgment/Order: November 1, 2018 SEC v. Altura Ewers, Camelot Acquisitions Secondary Opportunities Management, LLC, The Camelot Group International, LLC, and Ssecurion, LLC Case Number: 14-cv- 00581 (United States District Court for the Southern District of New York) Date Filed: January 30, 2014 Date of Qualifying Judgment/Order: October 1, 2018 SEC v. Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC Case Number: 18-cv-61234 (United States District Court for the Southern District of Florida) Date Filed: June 4, 2018 Date of Qualifying Judgment/Order: October 29, 2018 SEC v. NL Technology, LLC, Jonny Ngo, and Donato Baca, Jr. Loan Services LLC Case Number: 13-cv-00531 (United States District Court for the Southern District of Texas) Date Filed: September 30, 2013 Date of Qualifying Judgment/Order: March 31, 2017 SEC v. Connerton and Safety Technologies, LLC Case Number: 16-cv-00882 (United States District Court for the District of Connecticut) Date Filed: June 8, 2016 Date of Qualifying Judgment/Order: April 4, 2017 SEC v. Harder Case Number: 09-cv- 06056 (United States District Court for the District of Oregon) Date Filed: March 2, 2009 Date of Qualifying Judgment/Order: December 7, 2018 SEC v. Eric Lesak, Global Research, LLC (PA), and Global Research, LLC (NY) Case Number: 18-cv- 01951 (United States District Court for the District of Columbia) Date Filed: August 21, 2018 Date of Qualifying Judgment/Order: October 29, 2018 SEC v. Banks, IV Case Number: 16-cv-03399 (United States District Court for the Northern District of Georgia) Date Filed: September 9, 2016 Date of Qualifying Judgment/Order: November 1, 2018 SEC v. Sea World Entertainment, Inc., and James Atchison Case Number: 18-cv-08480 (United States District Court for the Southern District of New York) Date Filed: September 18, 2018 Date of Qualifying Judgment/Order: October 4, 2018 SEC v. Sharone Perlstein, Aric Yerusalem Swartz a/k/a Eric Yerusalem Swartz and Hadas Miriam Yaron Case Number: 18-cv-01026 (United States District Court for the Eastern District of New York) Date Filed: February 16, 2018 Date of Qualifying Judgment/Order: September 27, 2018 SEC v. Case Number: 17-cv-04598 (United States District Court for the Southern District of New York) Date Filed: June 19, 2017 Date of Qualifying Judgment/Order: September 10, 2018 SEC v. Mercury Interactive, LLC (F/K/A Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer Case Number: 07-cv-02822 (United States District Court for the Northern District of California) Date Filed: May 31, 2007 Date of Qualifying Judgment/Order: February 21, 2013 SEC v. Mc Collum and JNL Oilfield Instruments, LLC Case Number: 16-cv-00282 (United States District Court for the Western District of Texas) Date Filed: July 27, 2016 Date of Qualifying Judgment/Order: April 11, 2017 SEC v. Ramirez; Bebe Ramirez; USA Now, LLC, USA Now Energy Capital Group, LP; and Now Co. 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. Berke Case Number: 17-cv-03536 (United States District Court for the Southern District of New York) Date Filed: May 11, 2017 Date of Qualifying Judgment/Order: February 22, 2019 SEC v. Robert Yang, Claudia Kano, Suncor Fontana, LLC, Suncor Hesperia, LLC, and Suncor Care Lynwood, LLC Case Number: 15-cv-02387 (United States District Court for the Central District of California) Date Filed: November 19, 2015 Date of Qualifying Judgment/Order: January 9, 2019 In the Matter of Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randal “Randy” Hartley Administrative Proceeding File No.: 3-18952 Date Filed: December 21, 2018 Date of Qualifying Judgment/Order: December 21, 2018 SEC v. Goodman Case Number: 18-cv-25303 (United States District Court for the Southern District of Florida) Date Filed: December 18, 2018 Date of Qualifying Judgment/Order: December 21, 2018 SEC v. Murray Case Number: 12-cv-01327 (United States District Court for the Central District of California) Date Filed: August 17, 2012 Date of Qualifying Judgment/Order: December 7, 2018 In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC Administrative Proceeding File No.: 3-18927 Date Filed: December 12, 2018 Date of Qualifying Judgment/Order: December 12, 2018 SEC v. Simanski Case Number: 18-cv-00221 (United States District Court for the Western District of Pennsylvania) Date Filed: November 2, 2018 Date of Qualifying Judgment/Order: November 6, 2018 SEC v. P.; Call Socket, LLC; Call Socket II, LLC; Call Socket III, LLC; Comprehensive Care of California, LLC; Immedia, LLC: and North America 3PL, LLC Case Number: 17-cv- 00223 (United States District Court for the Northern District of California) Date Filed: January 17, 2017 Date of Qualifying Judgment/Order: September 24, 2018 In the Matter of Citigroup Global Markets, Inc. Administrative Proceeding File No.: 3-17953 Date Filed: May 1, 2017 Date of Qualifying Judgment/Order: May 1, 2017 In the Matter of Yoon Seok Lee Administrative Proceeding File No.: 3-17954 Date Filed: May 1, 2017 Date of Qualifying Judgment/Order: May 1, 2017 In the Matter of David F. Homero Joshua Garza, GAW Miners, LLC and Zen Miner (d/b/a Zen Cloud) Case Number: 15-cv-01760 (United States District Court for the District of Connecticut) Date Filed: December 1, 2015 Date of Qualifying Judgment/Order: June 2, 2017 SEC v. Castillo Case Number: 11-cv-00045 (United States District Court for the Eastern District of Virginia) Date Filed: January 19, 2011 Date of Qualifying Judgment/Order: July 10, 2012 SEC v. Team Resources, Inc., Fossil Energy Corporation, Kevin A. Dressner, Michael Eppy, Andrew Stitt, and John Olivia Case Number: 15-cv-01045 (United States District Court for the Northern District of Texas) Date Filed: April 6, 2015 Date of Qualifying Judgment/Order: November 20, 2017 SEC v. Ming Zhao and Liping Zhu Case Number: 12-cv-01316 (United States District Court for the Southern District of New York) Date Filed: February 22, 2012 Date of Qualifying Judgment/Order: July 24, 2015 SEC v. Imperial Petroleum, Inc., Jeffrey Wilson, Craig Ducey, Chad Ducey, Brian Carmichael, Joseph Furando, Evelyn Katirina Pattison (a/k/a Katirina Tracy), Caravan Trading, LLC, CIMA Green, LLC, and CIMA Energy Group Case Number: 13-cv-01489 (United States District Court for the Southern District of Indiana) Date Filed: September 18, 2013 Date of Qualifying Judgment/Order: November 28, 2017 SEC v. Landress Administrative Proceeding File No.: 3-17826 Date Filed: February 7, 2017 Date of Qualifying Judgment/Order: February 7, 2017 SEC v. Hudnall and JBH Consulting Group LLC Case Number: 17-cv-00059 (United States District Court for the Western District of Missouri) Date Filed: January, 27, 2017 Date of Qualifying Judgment/Order: February 9, 2017 SEC v. Yossef Kahlon, a/k/a Jossef Kahlon, and TJ Management Group, LLC Case number: 12-cv-00517 (United States District Court for the Eastern District of Texas) Case filed: August 14, 2012 Qualifying Judgment/Order: September 30, 2016 SEC v. Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC and Richard H. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc. In an Account of Phillip Securities PTE LTD., and Certain Unknown Traders in the Securities of Nexen, Inc. Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLC Case number: 12-cv-00646 (United States District Court for the Middle District of Florida) Case filed: April 30, 2012 Qualifying Judgment/Order: November 5, 2012 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 Administrative Proceeding File No.: 3-15098 Case filed: November 16, 2012 Qualifying Judgment/Order: November 16, 2012 SEC v. Little Case Number: 14-cv-01106 (United States District Court for the Northern District of Texas) Date Filed: March 28, 2014 Date of Qualifying Judgment/Order: November 30, 2017 SEC v. Case Number: 16-cv-09403 (United States District Court for the District of New Jersey) Date Filed: December 21, 2016 (amended May 11, 2017) Date of Qualifying Judgment/Order: November 21, 2017 SEC v. Debrabandere, Bobby Dwayne Montgomery Case Number: 17-cv-03230 (United States District Court for the District of Maryland) Date Filed: November 2, 2017 Date of Qualifying Judgment/Order: November 7, 2017 SEC v. as successor entity to Liquid Realty Advisors III, LLC and Scott M. Noack Case number: 11-cv-00755 (United States District Court for the Eastern District of Wisconsin) Case filed: August 10, 2011 Qualifying Judgment/Order: December 6, 2016 In the Matter of Ernst & Young LLP, Craig R. Adams, CPA Administrative Proceeding File No.: 3-17628 Case filed: October 18, 2016 Qualifying Judgment/Order: October 18, 2016 SEC v. Richard Weed, Thomas Brazil and Coleman Flaherty III Case number: 14-cv-14099 (United States District Court for the District of Massachusetts) Case filed: November 6, 2014 Qualifying Judgment/Order: October 4, 2016 SEC v. Dalmy Case number: 13-cv-05511 (United States District Court for the Northern District of Illinois) Case filed: August 1, 2013 Qualifying Judgment/Order: October 12, 2016 SEC v. Kaley, and Keith Jablon Case number: 09-cv-01963 (United States District Court for the Middle District of Florida) Case filed: November 18, 2009 Qualifying Judgment/Order: March 29, 2013 In the Matter of Focus Point Solutions, Inc., The H Group, Inc., and Christopher Keil Hicks Administrative Proceeding File No.: 3-15011 Case filed: September 6, 2012 Qualifying Judgment/Order: September 6, 2012 SEC v. Lundstrom Case number: 12-cv-00343 (United States District Court for the District of Nebraska) Case filed: September 25, 2012 Qualifying Judgment/Order: September 27, 2012 SEC v. Case number: 10-cv-00263 (United States District Court for the District of New Mexico) Case filed: March 23, 2010 Qualifying Judgment/Order: February 14, 2013 SEC v. Martel, D/B/A Martel Financial Group, and MFG Funding Case number: 12-cv-11095 (United States District Court for the District of Massachusetts) Case filed: June 19, 2012 Qualifying judgment/order: January 7, 2013 SEC v. Igor Poteroba, Aleksey Koval and Alexander Vorobiev Case number: 10-cv-02667 (United States District Court for the Southern District of New York) Case filed: March 24, 2010 Qualifying judgment/order: January 15, 2013 SEC v. Liskov Case number: 11-cv-11576 (United States District Court for the District of Massachusetts) Case filed: September 8, 2011 Qualifying judgment/order: December 12, 2012 SEC v. Well Advantage Limited, Certain Unknown Traders in the Securities of Nexen, Inc. Private Equity Management Group, Inc.; Private Equity Management Group, LLC; and Danny Pang Case number: 09-cv-2901 (United States District Court for the Central District of California) Case filed: April 24, 2009 Qualifying Judgment/Order: October 22, 2012 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.

Subject to the Final Rules, individuals who voluntarily provided the SEC with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award. Block Case Number: 19-cv-06603 (United States District Court for the Southern District of New York) Date Filed: July 16, 2019 Date of Qualifying Judgment/Order: July 17, 2019 SEC v.

Case Number: 19-cv-00857 (United States District Court for the Northern District of Texas) Date Filed: April 8, 2019 Date of Qualifying Judgment/Order: April 25, 2019 SEC v. John Gregory Schmidt Case Number: 18-cv-00320 (United States District Court for the Southern District of Ohio) Date Filed: September 25, 2018 Date of Qualifying Judgment/Order: February 19, 2019 In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Administrative Proceeding File No.: 3-19102 Date Filed: March 11, 2019 Date of Qualifying Judgment/Order: March 11, 2019 SEC v. Case Number: 18-cv-08175 (United States District Court for the Southern District of New York) Date Filed: September 7, 2018 Date of Qualifying Judgment/Order: January 10, 2019 SEC v. (f/k/a Seacoast Advisors, Inc.) Case Number: 17-cv-01456 (United States District Court for the Southern District of California) Date Filed: July 19, 2017 Date of Qualifying Judgment/Order: January 10, 2019 In the Matter of Andrew F. Administrative Proceeding File No.: 3-18941 Date Filed: December 19, 2018 Date of Qualifying Judgment/Order: December 19, 2018 In the Matter of Deloitte Touche Tohmatsu LLC, Futomichi Amano, and Yuji Itagaki Administrative Proceeding File No.: 3-18997 Date Filed: February 13, 2019 Date of Qualifying Judgment/Order: February 13, 2019 In the Matter of Crowe Horwath LLP, Joseph C. Wydra, CPA Administrative Proceeding File No.: 3-18953 Date Filed: December 21, 2018 Date of Qualifying Judgment/Order: December 21, 2018 SEC v. Jay Belson, Smarte Real Estate Investments, Inc., Jack Rockman, LLC, John Blackstone LLC, Residence at St. Case Number: 15-cv-09420 (United States District Court for the Central District of California) Date Filed: December 7, 2015 Date of Qualifying Judgment/Order: August 11, 2017 In the Matter of Vertical Capital Asset Management, LLC, Vertical Fund Group, Inc., Vertical Recovery Management, LLC, Gustavo A. Chase Administrative Proceeding File No.: 3-18125 Date Filed: August 22, 2017 Date of Qualifying Judgment/Order: August 22, 2017 SEC v. Rohner Case Number: 13-cv-00344 (United States District Court for the District of Nevada) Date Filed: February 28, 2013 Date of Qualifying Judgment/Order: July 17, 2017 SEC v. Case Number: 14-cv-02345 (United States District Court for the Southern District of Texas) Date Filed: August 14, 2014 Date of Qualifying Judgment/Order: July 18, 2017 SEC v. Lawler and Freedom Foundation USA LLC dba Freedom Club USA Case Number: 14-cv-02468 (United States District Court for the Northern District of Georgia) Date Filed: July 31, 2014 Date of Qualifying Judgment/Order: June 29, 2017 SEC v. Renato Rodriguez and Gutemberg Dos Santos Case Number: 17-cv-00375 (United States District Court for the Central District of California) Date Filed: March 2, 2017 Date of Qualifying Judgment/Order: June 8, 2017 SEC v. Administative Proceeding File No.: 3-17914 Date of Qualifying Judgment/Order: April 10, 2017 In the Matter of Edward Borrelli and Dunedin, Inc. and Bruce Friedman Case Number: 09-cv-01533 (United States District Court for the Central District of California) Date Filed: March 4, 2009 Date of Qualifying Judgment/Order: July 13, 2015 SEC v.

Nationwide Automated Systems, Inc., Joel Gillis, and Edward Wishner Case Number: 14-cv-07249 (United States District Court for the Central District of California) Date Filed: September 17, 2014 Date of Qualifying Judgment/Order: April 25, 2019 SEC v. Michael Allen Duke, Martin Delaine Lewis, Mark Christopher Parman, Kenneth Edward Shelton, and Billy Ray Statham, Jr. Pedro Fort Berbel, Fort Marketing Group LLC Case Number: 17-cv-23572 (United States District Court for the Southern District of Florida) Date Filed: September 28, 2017 Date of Qualifying Judgment/Order: March 19, 2019 SEC v. Mc Ginnis and Sergey Pugach Case Number: 14-cv-00006 (United States District Court for the District of Vermont) Date Filed: July 24, 2013 Date of Qualifying Judgment/Order: February 22, 2019 SEC v. Jersey Consulting LLC, Marc Andrew Tager, Matthew Earl Mangum, Suzanne Aileen Gagnier, Kenneth Stephen Gross, Jeffrey Rowland Lebarton, Jonathan Edward Shoucair, Edward Dean Goss, Dana Kenton Harrloe, and Nicholi Mandracken Case Number: 18-cv-00155 (United States District Court for the District of Utah) Date Filed: February 20, 2018 Date of Qualifying Judgment/Order: January 2, 2019 SEC v. Ford, 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. Troy Joseph Flowers, Sean Paul Nevett, and Fruition, Inc. Case Number: 16-cv-05143 (United States District Court for the Eastern District of Pennsylvania) Date Filed: September 28, 2016 Date of Qualifying Judgment/Order: November 30, 2017 SEC v. Case Number: 17-cv-00432 (United States District Court for the Southern District of Ohio) Date Filed: May 17, 2017 Date of Qualifying Judgment/Order: February 1, 2018 SEC v. Wensheng Lin and Sheng Li Chen Case Number: 17-cv-03054 (United States District Court for the Southern District of New York) Date Filed: April 26, 2017 Date of Qualifying Judgment/Order: August 25, 2017 SEC v. Sigma Capital Management, LLC Case Number: 13-cv-01740 (United States District Court for the Southern District of New York) Date Filed: March 19, 2013 Date of Qualifying Judgment/Order: March 29, 2013 SEC v. Doffing Case Number: 12-cv-02984 (United States District Court for the Northern District of Georgia) Date Filed: August 30, 2012 Date of Qualifying Judgment/Order: June 22, 2017 In the Matter of Joel Corenman Administrative Proceeding File No.: 3-17910 Date of Qualifying Judgment/Order: April 10, 2017 In the Matter of Galena Biopharma, Inc. Ahn Administative Proceeding File No.: 3-17911 Date of Qualifying Judgment/Order: April 10, 2017 In the Matter of Craig Keolanui Administrative Proceeding File No.: 3-17913 Date of Qualifying Judgment/Order: April 10, 2017 In the Matter of Lion Biotechnologies, Inc. Diversified Lending Group, Inc.; Applied Equities, Inc.

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.

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