SEC Enforcement Actions

Ponta Negra Fund I, LLC et al.

Private Equity Management Group LLC, et al.

David Praise, et al.

Founding Partners Capital Management Company, William Gunlicks, Sun Capital, Inc., Sun Capital Healthcare, Inc., Founding Partners Stable-Value Fund, LP, Founding Partners Stable-Value Fund II, LP, Founding Partners Global Fund, Ltd., and Founding Partners Hybrid-Value Fund, LP.

Benny L. Judah, et al.

Joseph J. Queri, Jr., Gary M. Gosson, et al.; Joseph J. Queri, Jr., Joseph J. Queri, Sr., et al.

Donald Anthony Walker Young, et al.

David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC

William M. Gallahair

J. Thomas Talbot

Edward T. Stein et al.

Michael E. Kelly, et al.

Tri Energy, Inc., H & J Energy Company, Inc., Marina Investors Group, Inc., Lowell Decker, Robert Jennings, Henry Jones, Arthur Simburg, Mildred Stultz, DJM, LLC, Financial MD, Inc., Financial MD and Associates, Inc., Daniel J. Merriman, Global Village Records, and La Vie D'Argent, as defendants, and R.P.J. Investment Group, Inc., T.M.A. Investment Enterprises, Thomas Avery, and Wing NGA Lau, a/k/a Adrienne Lau, as relief defendants

Henry Morris, David J. Loglisci, Barrett N. Wissman, Raymond B. Harding, Nosemote LLC, Pantigo Emerging LLC, Purpose LLC, Flandana Holdings Ltd., Tuscany Enterprises LLC, W Investment Strategies, HFV Management LP and HFV Asset Management LP

Isaac I. Ovid, Aaron Riddle, J. Jonathan Coleman, Stephen Cina, Cory A. Martin, Timothy Smith, Robert J. Riddle, Jadis Capital, Inc., Jadis Investments, LLC, and Logos Multi-Strategy Hedge Fund I, LP

Osvaldo Pitters, Terrell J. Kuykendall and Steven M. Ivester

Maximum Return Investments, Inc. and Clelia A. Flores

Kent H. Roberts

Crossroads Financial Planning, Inc., and Julie M. Jarvis

Robert P. Copeland

Ryan M. Reynolds, et al.

Finbar Securities Corp., et al.

Market Street Advisors, Shawn R. Merriman, LLC-1, LLC-2, Marque LLC-3, and LLC-4

Oversea Chinese Fund Limited Partnership, et al.

Gregory L. Reyes, et al.

Whispering Winds Properties, LLC; LM Beagle Properties, LLC; Karlena, Inc.; Axis International, Inc.; and Dan Wise aka Danny Wise

Spear & Jackson, Inc., et al.

Sun Empire LLC, et al.

Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, James E. Pratt, et al.

Take-Two Interactive Software, Inc.

Edward T. Stein, et. al.

Forest Resources Management Corp., et al.

John Hyun Joon Min and Dime Financial Group LLC

WMDS, Inc. One Universe Online, Inc., Seng Tan, James Bunchan and Christian Rochon

CyberKey Solutions, Inc. and James E. Plant

Delphi Corporation, Judith Kudla, et al.

Sonja Anticevic, et al.

Andrew S. Mackey and Inger L. Jensen

Millennium Bank, et al.

John M. Donnelly, et al.

The Nutmeg Group, LLC, et al.

Gerald P. Alexander, CJB Consulting, Inc., and Regis Filia Holdings, Inc.

Innova Energy LLC, et al.

David Scott Cacchione

Anthony A. James and James Asset Advisory, L.L.C.

Anthony Vassallo, Kenneth Kenitzer, and Equity Investment Management and Trading, Inc.

International Realty Holdings, Inc., et al.

Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA

Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer

Henry Morris, David Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC

David G. Friehling, C.P.A and Friehling & Horowitz, CPA's, P.C.

Darrel T. Uselton and Jack E. Uselton

Sky Way Global LLC (dba Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S. Kent, Kenneth Bruce Baker (aka Bruce Baker), and Kenneth R. Kramer

Paul M. Gozzo and PMG Capital, LLC

Tecumseh Holdings Corporation, et al.

K.W. Brown and Company, et al.

Sunwest Management, Inc., et al.

Automated Trading Desk Specialists, LLC; E\*Trade Capital Markets LLC; Melvin Securities, LLC and Melvin & Company, LLC; Sydan, LP; and TradeLink, LLC

Glenn E. Glasshagel

Peter W. Fisher, et al. and Phillip W. Offill, Jr., et al.

Howard P. Richman

Brian Travis, et al.

Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks

Brian J. Smart, et al.

John M. Donnelly, et al.

Stephen P. Gardner, et al.

Anthony Vassallo, Kenneth Kenitzer, and Equity Investment Management and Trading, Inc.

Peter W. Fisher, et al.; Phillip W. Offill, Jr., et al.; David B. Stocker, et al.

PowerCold Corporation, Francis L. Simola, Joseph C. Cahill, and Grayling R. Hofer

Allen Barnett, et al.

iBIZ Technology Corp., Kenneth W. Schilling, H. Mark Perkins, Jeffrey Firestone, Jerrold B. McRoberts, and D. Scott Elliott

C. Jones & Company, Carter Allen Jones, Timothy J. Miles, Gaylen P. Johnson, and Jonathan Curshen

Locke Capital Management, Inc. and Leila C. Jenkins

The Regency Group, LLC; Scott F. Gelbard; Jeffrey S. Koslosky; Aaron S. Lamkin; John J. Coutris; Michael J. Coutris; J. Coutris Partners, LP; Joseph S. Fernando; Wellington Capital Enterprises, Inc.; James J. Coutris; and Dimitrios I. Gountis

CRE Capital Corporation and James G. Ossie

Gary Richetelli

Shelby Dean Martin, D. Martin Enterprises, Inc. and DM Ventures, LLC

John W. Lawton, Paramount Partners LP, and Crossroad Capital Management, LLC

Competitive Technologies, Inc., et. al

Diversified Lending Group, Inc., et al.

Pediatrix Medical Group, Inc.

Zahra Ghods and RUSA Cap., Inc., Defendants, and Unisource Cap., LLC, Relief Defendant

Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc.

Automated Trading Desk Specialists, LLC; E\*Trade Capital Markets LLC; Melvin Securities, LLC and Melvin & Company, LLC; Sydan, LP; and TradeLink, LLC

Scott A. Livengood, John W. Tate, and Randy S. Casstevens

James M. Nicholson, et. al.

Ray M. White and CRW Management, L.P.

Stephen L. Hochberg

Nathan A. Chapman, et al.

Sunwest Management, Inc., Canyon Creek Development, Inc., Canyon Creek Financial, LLC, and Jon M. Harder

Phillip R. Trujillo, Wealth Management Resources, LLC, PTV 22, LLC, PTV 33, LLC, and PTV 44, LLC

Daren L. Palmer and Trigon Group, Inc.

Zomax, Inc., et al.

Matthew E. Kopsky and Ronald W. Davis

Lawrence B. Evans et al.

James M. Nicholson and Westgate Capital Management, LLC, Defendants, and Westgate Absolute Return Fund, LP, et al., Relief Defendants

WG Trading Investors, L.P., et al.

North Hills Management LLC, et al.

Frederick O'Meally, et. al.

Victor P. Machado and Frank Lu