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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.

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.

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.

Craft Case Number: 09-cv-02269 (United States District Court for the Northern District of Texas) Date Filed: November 30, 2009 Date of Qualifying Judgment/Order: December 20, 2018 SEC v. Meli, Advance Entertainment, LLC, Advancem LTD, Misoluki, Inc., Misoluki, LLC, Ticket Jones LLC, and Tier One Tickets, LLC Case Number: 17-cv-06764 (United States District Court for the Southern District of New York) Date Filed: September 6, 2017 Date of Qualifying Judgment/Order: April 11, 2019 SEC v. Batchelor Case Number: 18-cv-00650 (United States District Court for the Northern District of Georgia) Date Filed: February 13, 2018 Date of Qualifying Judgment/Order: February 5, 2019 SEC v. Salinas, Capital Source Funding LLC, and Capital Source Lending LLC Case Number: 15-cv-01339 (United States District Court for the District of Maryland) Date Filed: May 11, 2015 Date of Qualifying Judgment/Order: February 7, 2019 SEC v. Montano, Travis Stephenson, Antonio Giacca and Michael Wright Case Number: 18-cv-01606 (United States District Court for the Middle District of Florida) Date Filed: September 27, 2019 Date of Qualifying Judgment/Order: March 5, 2019 SEC v. Lerman, Pangaea Trading Partners LLC, Arjent LLC, Arjent Limited, and Excalibur Asset Management LLC Case Number: 15-cv-03877 (United States District Court for the Southern District of New York) Date Filed: May 20, 2015 Date of Qualifying Judgment/Order: February 5, 2019 SEC v. O’Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Vanetten, Nova Oculus Partners, LLC, f/k/a The Eye Machine, LLC, and AMC Holdings, LLC Case Number: 18-cv-00701 (United States District Court for the Central District of California) Date Filed: April 5, 2018 Date of Qualifying Judgment/Order: January 11, 2019 SEC v. P., An C Bio Vermont GP Services, LLC Case Number: 16-cv-21301 (United States District Court for the Southern District of Florida) Date Filed: April 12, 2016 Date of Qualifying Judgment/Order: February 6, 2018 SEC v. Marquis Properties, LLC, Chad Deucher, and Richard Clatfelter Case Number: 16-cv-00040 (United States District Court for the District of Utah) Date Filed: January 19, 2016 Date of Qualifying Judgment/Order: January 30, 2018 SEC v. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc. Hadsell Chemical Processing, LLC and Robert Walton, Jr. Edward Bronson and E-Lionheart Associates, LLC d/b/a Fairhills Capital Case Number: 12-cv-06421(United States District Court for the Southern District of New York) Date Filed: August 22, 2012 Date of Qualifying Judgment/Order: August 28, 2017 SEC v. Liu; Xin Wang a/k/a Lisa Want; Pacific Proton Therapy Regional Center, LLC; Pacific Proton EB-5 Fund, LLC; and Beverly Proton Center, LLC f/k/a Los Angeles Country Proton Therapy, LLC Case Number: 16-cv-00974 (United States District Court for the Central District of California) Date Filed: May 26, 2016 Date of Qualifying Judgment/Order: April 20, 2017 SEC v. Case Number: 15-cv-00566 (United States District Court for the Southern District of Texas) Date Filed: March 3, 2015 Date of Qualifying Judgment/Order: September 26, 2017 SEC v. Temme, and Stewardship Funds, LP Case Number: 11-cv-00655 (United States District Court for the Eastern District of Texas) Date Filed: October 14, 2011 Date of Qualifying Judgment/Order: September 12, 2017 SEC v. Tom Abraham), Kenneth Grant, KGTA Petroleum, Ltd., Mark M. Lleras Case Number: 16-cv-00073 (United States District Court for the Western District of North Carolina) Date Filed: February 10, 2016 Date of Qualifying Judgment/Order: September 8, 2017 SEC v. Smith Case Number: 16-cv-07333 (United States District Court for the Central District of California) Date Filed: September 29, 2016 Date of Qualifying Judgment/Order: July 19, 2017 SEC v. Broidy and Broidy Wealth Advisors, LLC Case Number: 16-cv-05960 (United States District Court for the Eastern District of New York) Date Filed: October 27, 2016 Date of Qualifying Judgment/Order: May 30, 2017 SEC v.

Velazquez a/k/a Lana Velazquez a/k/a Lana Puleo, Vanessa Puleo, Robert A. “Jake” Shapiro, and Roger Miguel Case Number: 16-cv-00253 (United States District Court for the Southern District of Georgia) Date Filed: September 23, 2016 Date of Qualifying Judgment/Order: August 3, 2018 SEC v. SW Argyll Investments, LLC (d/b/a Argyll Investments, LLC), James T. Mc Clain, Jr., Amerifund Capital Finance, LLC, and Jeffrey Spanier Case Number: 12-cv-00646 (United States District Court for the Southern District of California) Date Filed: March 15, 2012 Date of Qualifying Judgment/Order: April 26, 2018 SEC v. Polito Case Number: 15-cv-01048 (United States District Court for the Northern District of Texas) Date Filed: April 6, 2015 Date of Qualifying Judgment/Order: May 7, 2018 SEC v. Vaughn, Jr., and Cavalier Union Investments, LLC Case Number: 16-cv-00667 (United States District Court for the Eastern District of Virginia) Date Filed: August 10, 2016 Date of Qualifying Judgment/Order: April 3, 2018 SEC v. P., Jay Peak GP Services Stateside, Inc., Jay Peak Biomedical Research Park, L. Thomas Edward Andrews and Scott Walter Christensen Case Number: 17-cv-00256 (United Stated District Court for the District of Utah) Date Filed: April 5, 2017 Date of Qualifying Judgment/Order: January 29, 2018 SEC v. Case Number: 16-cv-00270 (United States District Court for the District of Nevada) Date Filed: May 19, 2016 Date of Qualifying Judgment/Order: January 9, 2018 SEC v. Curry Case Number: 12-cv-02767 (United States District Court for the District of Colorado) Date Filed: October 18, 2012 Date of Qualifying Judgment/Order: January 31, 2018 SEC v. Haddad, Trafalgar Square Risk Management, LLC, and New England RE, LLC Case Number: 18-cv-00055 (United States District Court for the District of Connecticut) Date Filed: January 11, 2018 Date of Qualifying Judgment/Order: January 18, 2018 SEC v. The Estate of Vincent James Saviano and Palmetto Investments, LLC Case Number: 14-cv-13902 (United States District Court for the Eastern District of Michigan) Date Filed: October 9, 2014 Date of Qualifying Judgment/ Order: October 6, 2017 SEC v. Ahmad Fnaikher Alyasin and Optima Global Financial, Inc. Optimum Income Property, LLC, Optimum Property Investments, LLC and Frank E.

Medient Studios, Inc., FONU2, Inc., Manu Kumaran, Joel A. Quadrant 4 System Corp., Nandu Thondavadi, and Dhru Desai Case Number: 17-cv-04883 (United States District Court for the Northern District of Illinois) Date Filed: June 29, 2017 Date of Qualifying Judgment/Order: June 25, 2018 In the Matter of Constant Contact, Inc. Administrative Proceeding File No.: 3-18531 Date Filed: June 5, 2018 Date of Qualifying Judgment/Order: June 5, 2018 SEC v. Khalfani Case Number: 15-cv-00980 (United States District Court for the Central District of California) Date Filed: June 19, 2015 Date of Qualifying Judgment/Order: March 22, 2018 SEC v. Lotto Net Operating Corp., David Gray, Joseph Vitale a/k/a Donovan Kelly Case Number: 17-cv-21033 (United States District Court for the Southern District of Florida) Date Filed: March 20, 2017 Date of Qualifying Judgment/Order: February 26, 2018 SEC v. P., Jay Peak GP Services Lodge, Inc., Jay Peak Hotel Suites Stateside L. Gallo III Case Number: 12-cv-61731 (United States District Court for the Southern District of Florida) Date Filed: September 5, 2012 Date of Qualifying Judgment/Order: February 15, 2018 SEC v. X Wok Construction LLC, US Investment LLC d/b/a US Investment FL LLC, Top Sun Energy LLC, Ocean Blvd. X Property Management LLC, US1 Real Estate Developments, LLC, and Investor Asset Protection, LLC Case Number: 15-cv-62323 (United States District Court for the Southern District of Florida) Date Filed: November 3, 2015 Date of Qualifying Judgment/Order: January 22, 2018 SEC v. P.; Select Asset Management, LLC; Select Capital Management, LLC; Select Asset Fund I, LLC; and Select Asset Prime Index Fund, LLC Case Number: 11-cv-02830 (United States District Court for the Southern District of Texas) Date Filed: August 1, 2011 Date of Qualifying Judgment/Order: January 8, 2018 In the Matter of Industrial and Commercial Bank of China Financial Services LLC Administrative Proceeding File No.: 3-18341 Date Filed: January 18, 2018 Date of Qualifying Judgment/Order: January 18, 2018 SEC v. Kaplan, Esq., Synchronized Organizational Solutions, LLC, Synchronized Organizational Solutions International, Ltd., and Manna International Enterprises, Inc. Just Info LLC, David Weddle, and Scott Allensworth Case Number: 17-cv-07426 (United States District Court for the Central District of California) Date Filed: October 11, 2017 Date of Qualifying Judgment/Order: October 25, 2017 In the Matter of Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.), John T. Duszynski, CPA Administrative Proceeding File No.: 3-17740 Date Filed: October 26, 2017 Date of Qualifying Judgment/Order: October 26, 2017 SEC v. Case Number: 11-cv-05316 (United States District Court for the Central District of California) Date Filed: June 24, 2011 Date of Qualifying Judgment/Order: September 13, 2017 SEC v. Case Number: 14-cv-01155 (United States District Court for the Northern District of Ohio) Date Filed: May 29, 2014 Date of Qualifying Judgment/Order: September 26, 2017 SEC v. Case Number: 17-cv-11817 (United States District Court for the District of Massachusetts) Date Filed: September 22, 2017 Date of Qualifying Judgment/Order: September 25, 2017 SEC v.

Ravichandran Administrative Proceeding File No.: 3-18653 Date Filed: August 21, 2018 Date of Qualifying Judgment/Order: August 21, 2018 In the Matter of Waruna Tivanka Ellawala Administrative Proceeding File No.: 3-18654 Date Filed: August 21, 2018 Date of Qualifying Judgment/Order: August 21, 2018 SEC v. and Mark De Stefano Case Number: 18-cv-05980 (United States District Court for the Southern District of New York) Date Filed: July 2, 2018 Date of Qualifying Judgment/Order: July 9, 2018 SEC v. Joseph Meli, Matthew Harriton, 875 Holdings, LLC, 127 Holdings LLC, Advance Entertainment, LLC, and Advance Entertainment II, LLC Case Number: 17-cv-00632 (United States District Court for the Southern District of New York) Date Filed: January 27, 2017 Date of Qualifying Judgment/Order: July 13, 2018 SEC v. Pacific West Capital Group, Inc.; Andrew B Calhoun IV; PWCG Trust; Brenda Christine Barry; Bak West, Inc.; Andrew B Calhoun Jr.; Eric Christopher Cannon; Century Point, LLC; Michael Wayne Dotta; and Caleb Austin Moody (dba Sky Stone) Case Number: 15-cv-02563 (United States District Court for Central District of California) Date Filed: April 7, 2015 Date of Qualifying Judgment/Order: June 18, 2018 SEC v. Gordon Case Number: 18-cv-01587 (United States District Court for the Northern District of Texas) Date Filed: June 19, 2018 Date of Qualifying Judgment/Order: June 28, 2018 SEC v. Case Number: 17-cv-01968 (United States District Court for the Central District of California) Date Filed: September 27, 2017 Date of Qualifying Judgment/Order: June 18, 2018 SEC v. Hogan Case Number: 15-cv-00053 (United States District Court for the District of North Dakota) Date Filed: May 5, 2015 Date of Qualifying Judgment/Order: April 25, 2018 SEC v. Steven Ventre, Dedicated Sound and Audio, Inc., Eric Lovy f/k/a Eric Beltran, and Choice Equity Case Number: 18-cv-00323 (United States District Court for the Central District of California) Date Filed: February 26, 2018 Date of Qualifying Judgment/Order: March 2, 2018 SEC v. P., Jay Peak GP Services Golf, Inc., Jay Peak Lodge and Townhouses L. EB-5 Investments LLC, Oakland Office Holdings LLC, B. International Stock Transfer, Inc., and Cecil Franklin Speight Case Number: 14-cv-04435 (United States District Court for the Eastern District of New York) Date Filed: July 23, 2014 Date of Qualifying Judgment/Order: October 6, 2017 SEC v.

Ballard Administrative Proceeding File No.: 3-17716 Date Filed: July 24, 2019 Date of Qualifying Judgment/Order: July 24, 2019 SEC v. Romer, III Case Number: 18-cv-12927 (United States District Court for the Eastern District of Michigan) Date Filed: September 18, 2018 Date of Qualifying Judgment/Order: July 17, 2019 SEC v. Case Number: 19-cv-13024 (United States District Court for the District of New Jersey) Date Filed: May 29, 2019 Date of Qualifying Judgment/Order: June 6, 2019 SEC v. Krimm and Krimm Financial Services, LLC Case Number: 17-cv-00464 (United States District Court for the District of Delaware ) Date Filed: April 25, 2017 Date of Qualifying Judgment/Order: May 28, 2019 SEC v.

Malouf, Extreme Capital Ltd., Fidelity Asset Services Corp., Geisco FNF, LLC, Golden Summit Investors Group Ltd., South Com Management LLC, Stonerock Capital Group LLC Case Number: 13-cv-03363 (United States District Court for the District of Colorado) Date Filed: December 12, 2013 Date of Qualifying Judgment/Order: June 28, 2019 SEC v. Donald Milne III and Instaprin Pharmaceuticals, Inc.

Feldman and Romildo Da Cunha Case Number: 15-cv-12857 (United States District Court for the District of Massachusetts) Date Filed: June 30, 2015 Date of Qualifying Judgment/Order: May 14, 2019 SEC v. James Thomas Bramlette; The Pelorus Group, LLC; Anthony Mark Hartman; Private Placement Capital Notes II, LLC; Stone Mountain Equities, LLC; Travis Kozlowski, Entelecus Fund, LLC; Aaron John Wernli Case Number: 18-cv-00761 (United States District Court for the District of Utah) Date Filed: September 26, 2018 Date of Qualifying Judgment/Order: April 29, 2019 SEC v. Case Number: 17-cv-00336 (United States District Court for the Eastern District of Texas) Date Filed: May 15, 2017 Date of Qualifying Judgment/Order: October 9, 2018 In the Matter of CMB Export, LLC; Patrick F. Commodities Online, LLC and Commodities Online Management, LLC Case Number: 11-cv-60702 (United States District Court for the Southern District of Florida) Date Filed: April 1, 2011 Date of Qualifying Judgment/Order: September 24, 2018 In the Matter of Mark R. Mast Case Number:18-cv-02381 (United States District Court for the District of Colorado) Date Filed: September 18, 2018 Date of Qualifying Judgment/Order: September 19, 2018 In the Matter of Putnam Investment Management, LLC and Zachary Harrison Administrative Proceeding File No.: 3-18844 Date Filed: September 27, 2018 Date of Qualifying Judgment/Order: September 27, 2018 SEC v. Baldwin Case Number: 15-cv-01068 (United States District Court for the Middle District of North Carolina) Date Filed: December 16, 2015 Date of Qualifying Judgment/Order: September 26, 2018 SEC v.

Shumway Case Number: 16-cv-01199 (United States District Court for the District of Utah) Date Filed: November 28, 2016 Date of Qualifying Judgment/Order: March 29, 2019 SEC v. Mueller, Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership, HP Operations, LLC, C. Steve Qi and Law Offices of Steve Qi & Associates, A Professional Corporation Case Number: 17-cv-08856 (United States District Court for the Central District of California) Date Filed: December 8, 2017 Date of Qualifying Judgment/Order: November 5, 2018 SEC v. Schmidt; Futuregen Company d/b/a Futuregen Capital Commercial Equity Partners, LTD.; FGC Distressed Assets Investment #1, LLC; Futuregen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC Case Number: 14-cv-01002 (United States District Court for the District of Columbia) Date Filed: June 12, 2014 Date of Qualifying Judgment/Order: October 3, 2018 SEC v. Emilio Francisco; PDC Capital Group, LLC; Caffe Primo International, Inc.; Sal Assisted Living, LP; Sal Carmichael, LP; Sal Citrus Heights, LP; Sal Kern Canyon, LP; Sal Phoenix, LP; Sal Westgate, LP; Summer place at Sarasota, LP; Summerplace at Clearwater, LP; Summerplace at Correll Palms, LP; TRC Tucson, LP; Clear Currents West, LP; Caffe Primo Management, LP; Caffe Primo Management 102, LP; Caffe Primo Management 103, LP; Caffe Primo Management 104, LP; Caffe Primo Management 105, LP; Caffe Primo Management 106, LP; Caffe Primo Management 107, LP; Caffe Primo Management 108, LP Case Number: 16-cv-02257 (United States District Court for the Central District of California) Date Filed: December 27, 2016 Date of Qualifying Judgment/Order: October 4, 2018 SEC v. Matthew Carl Griffin and William Daniel Griffin Case Number: 16-cv-00902 (United States District Court for the Eastern District of Texas) Date Filed: November 23, 2016 Date of Qualifying Judgment/Order: October 9, 2018 SEC v. Bryant, III, and Bryant United Capital Funding, Inc. Case Number: 18-cv-02253 (United States District Court for the Southern District of California) Date Filed: September 27, 2018 Date of Qualifying Judgment/Order: September 28, 2018 In the Matter of Convergex Execution Solutions, LLC, now known as Cowen Execution Services LLC Administrative Proceeding File No.: 3-18761 Date Filed: September 13, 2018 Date of Qualifying Judgment/Order: September 13, 2018 In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. Carr Administrative Proceeding File No.: 3-18819 Date Filed: September 21, 2018 Date of Qualifying Judgment/Order: September 21, 2018 SEC v. Karroum a/k/a Mustapha Karroum, and FX & Beyond Corporation Case Number: 17-cv-00187 (United States District Court for the Eastern District of Virginia) Date Filed: February 21, 2017 Date of Qualifying Judgment/Order: September 10, 2018 In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Miquelon Administrative Proceeding File No.: 3-18850 Date Filed: September 28, 2018 Date of Qualifying Judgment/Order: September 28, 2018 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.