SEC Enforcement Actions

Diagnostic Professional Imaging Services, Inc.

J.T. Wallenbrock & Associates, Larry Toshio Osaki, Van Y. Ichinotsubo and Citadel Capital Management Group, Inc.

Martin J. Druffner, et al.

Mohamad Wael Ibrahim Elzein, Individually and D/B/A Focus Mentors Elzein Management; Hussein Hassan El Zein; and Darin Raymond Knee

Jorge Eduardo Ballesteros Franco, et al.

James M. Adelt, Keith A. Cyr, John R. Gentry III, Thomas M. Laker, and Michael W. Morris and AmeriCredit Corp.

David B. Henderson, et al.

Federal Court Approves Global Research Analyst Settlement

Paul R. Johnson and John Cook

David W. Delainey

Paul J. Silvester et al.

Sport-Haley, Inc., Robert G. Tomlinson, Steve S. Auger, Kenneth R. LeCrone

Dunyasha M. Yetts, et al.

Jonathan G. Fink

CDH & Affiliates, Inc. and C. David Hallman

Edward J. Strafaci

Richard A. Svoboda and Michael A. Robles

Justin M. Scott and Omid Kamshad

Guillermo Garcia Simon, V. Arana Simon, & A. Garcia Simon

National Financial Systems, Inc. and Terese Herwick

Burton G. Friedlander, et al.

Health Maintenance Centers, Inc., Znetix, Inc., Cascade Pointe of Arizona, LLC, Cascade Pointe of Nevis, LLC, Kevin L. Lawrence, Donovan C. Claffin, Clifford G.Baird, Bainbridge Human Performance Centers, PLLC, Kimberly Alexander, Bonnie M. Couch, Stacy Gray, and Vicki L. Lawrence

John E. Collins

Rodney R. Proto and Earl E. DeFrates, Bruce E. Snyder, Jr.

Gerald H. Levine and Marie A. Levine

Devin A. Danehy

Ronald J. Hottovy

Benjiman Franklin Cook, et al.

Steven E. Thorn, et al.

The Rose Fund, LLC, The Rose Fund, Inc., TRF Holdings, Inc., Michael Alexander, Paul E. Nelson, William Wright, Rose Collections, Inc., Pacific Video Network, Inc., Resort Management Co., Inc., Web Inventions, Inc., Who Banging, Inc., and YAE, Inc.

Arabian American Development Company and Hatem El-Khalidi

David M. Wolfson et al.

Eric E. Resteiner, et al.

Dale Peterson et al.

John L. Montana, Jr., Melvin R. Lyttle, Paul E. Knight, Worldwide T&P, Inc., First National Equity, LLC, P.K. Trust & Holding, Inc., UTA-BVI, Ltd. and Violet Gail Eldridge and Relief Defendants The United Tribes of the Americas, Inc. and Executive Bureau of Research and Recovery, Inc.

Andrew S. Marks

Samuel D. Waksal and Jack Waksal; Relief Defendant Patti Waksal

Van T. Dinh

Gregory L. English AAER-1893

Wesley H. Colwell AAER-1894

Blake A. Prater and Wellspring Capital Group, Inc.

John J. Cassese

Robert D. Happ

Stephen A. White, William D. White, III, Ernest J. Bieling and Robert W. Hughes

Premier Marketing and Investments and Nicholas Roblee a/k/a Nicholas Richmond

American Financial Group of Aventura, Inc., et al.

Timothy J. Potter, et al.

K. C. Smith

Jeffrey S. Schneider

National Financial Systems, Inc. and Terese Herwick

Peter J. Zaccagnino, et al.

Richard P. Vatcher

KPMG LLP, Joseph T. Boyle, Michael A. Conway, Anthony P. Dolanski and Ronald A. Safran

Brian Lee, Todd DiRoberto, Lonnie Dragon and Trevor Watson

B. Roland Frasier, III and Richard A. May

Paul Joseph Sheehan dba Paul J. Sheehan & Associates

Sidney V. Corder, Randal J. Sage and Brian J. Yates

Dennis A. Bakal, Susan P. Dial and William S. Cole

Greg Waring and Craig Treloar

Gerhard Andlinger, Jeanne Andlinger, Sallie Donner, Suzanna Dailey and Louis B. Lloyd

Frances J. Burkitt and Paul Burkitt

J.P. Morgan Securities Inc.

Paul A. Gianamore and Ryan D. Evans

DeWalt J. Willard, Jr., William F. Willard, Sr. and Larry L. Martin

ACI, Inc. and Clarence E. Long, Defendants, and Jon G. Ervin, Sr., Relief Defendant

John J. Lawbaugh

Jonathan G. Fink

James C. Horne

Sport-Haley, Inc., Robert G. Tomlinson, and Steve S. Auger

Kenneth L. Lay

Loren D. Pfau

Wellness Technologies, Inc. and Jesse Dean Bogdonoff

John R. Felder and Jean M. Ruhl

Thomas A. Sebastian

U.S. Funding Corporation, U.S. Funding Company, Capital Concept Marketing, Inc., Angelica Gwinnett, and Charles Fremer

Daryl G. Desjardins, Robert S. Zaba, Alnoor Jiwan, Ronald D. Brouillette and Brian A. Koehn

Sean Nevett

Warren J. Soloski

Millennium Capital Hedge Fund, L.P., Millennium Capital Group, LLC, and Andreas F. Zybell

Eduardo A. Masferrer, Juan Carlos Bernacé and John M.R. Jacobs

Andrew S. Marks

Arthur K. Bartlett

Jeffrey R. Anderson and Scott H. Miller

Gary C. Halbert, et al.

James Mulhearn, Damian Delgado, and Adrian Balboa

Ronald Stephen Holt, et al.

Richard I. Berger and Bonnie K. Metz

Sophia M. Kabler

Vivendi Universal, S.A

John F. Turant, Jr., et al.

Spiegel, Inc.

Vector Medical Technologies, Inc., Michael H. Salit, James P. Farnell, Michael J. Farnell, David A. Zimmerman and Stanley B. Wasser

Paul Howe Noe, et al.

Dennis Herula et al.

Maven Capital Corporation, Maven Enterprises, Inc., and Rodd Buckle, et al.

Smart-Mart, Inc., Timothy A. McMurray and Bradley D. Woy

Christine B. Hoberg

Stephen D. Price

Brightpoint, Inc., American International Group, Inc., Phillip Bounsall, John Delaney and Timothy Harcharik

Citigroup, Inc.