1/21/2024 0 Comments Evan schwartz long beach ny![]() In the Matter of Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLCĪdministrative Proceeding File No.: 3-21552 In the Matter of BNP Paribus Securities Corp.Īdministrative Proceeding File No.: 3-21555Īdministrative Proceeding File No.: 3-21585 In the Matter of Houlihan Lokey Capital, IncĪdministrative Proceeding File No.: 3-21553Īdministrative Proceeding File No.: 3-21554 ![]() In the Matter of BMO Capital Markets Corp.Īdministrative Proceeding File No.: 3-21556 In the Matter of SMBC Nikko Securities America, Inc.Īdministrative Proceeding File No.: 3-21551 In the Matter of Mizuho Securities USA LLCĪdministrative Proceeding File No.: 3-21557 In the Matter of SG Americas Securities, LLCĪdministrative Proceeding File No.: 3-21558 Infinity Q Capital Management, LLCĬase Number: 23-cv-05081 (United States District Court for the Southern District of New York)ĭate of Qualifying Judgment/Order: June 30, 2023Īdministrative Proceeding File No.: 3-21550ĭate of Qualifying Judgment/Order: August 8, 2023 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 ![]()
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