In the Matter of American Infrastructure Funds, LLCĪdministrative Proceeding File No.: 3-21704Īdministrative Proceeding File No.: 3-21630 In the Matter of Prime Group Holdings, LLCĪdministrative Proceeding File No.: 3-21602Īdministrative Proceeding File No.: 3-21700Īdministrative Proceeding File No.: 3-21724ĭate of Qualifying Judgment/Order: September 26, 2023 In the Matter of DWS Investment Management Americas, IncĪdministrative Proceeding File No.: 3-21709Ĭase Number: 22-cv-06500 (United States District Court for the Central District of California)Īdministrative Proceeding File No.: 3-21672ĭate of Qualifying Judgment/Order: September 18, 2023 In the Matter of DWS Investment Management Americas, Inc.Īdministrative Proceeding File No.: 3-21707ĭate of Qualifying Judgment/Order: September 25, 2023 Thomas Collins, Patrick Thomas, Gary Kouletas, Scott Levine, and Brian KingsfieldĬase Number: 23-cv-00676 (United States District Court for the Northern District of Texas)Īdministrative Proceeding File No.: 3-21588ĭate of Qualifying Judgment/Order: August 30, 2023Īdministrative Proceeding File No.: 3-21610ĭate of Qualifying Judgment/Order: September 6, 2023

Douglas Macwright and Highlander Capital Management, LLCĬase Number: 23-cv-20609 (United States District Court for the District of New Jersey)ĭate of Qualifying Judgment/Order: September 27, 2023 In the Matter of YieldStreet Inc., and YieldStreet Management, LLCĪdministrative Proceeding File No.: 3-21651ĭate of Qualifying Judgment/Order: September 12, 2023 In the Matter of GlennCap LLC and Jonathan Vincent GlennĪdministrative Proceeding File No.: 3-21667ĭate of Qualifying Judgment/Order: September 14, 2023 Hild, Eric Rohr, and Darren StumbergerĬase Number: 19-cv-08086 (United States District Court for the Southern District of New York)ĭate of Qualifying Judgment/Order: September 19, 2023Ĭase Number: 22-cv-04674 (United States District Court for the Southern District of New York)ĭate of Qualifying Judgment/Order: September 8, 2023

Seong Yeol Lee and Ameritrust CorporationĬase Number: 23-cv-00125 (United States District Court for the District of Connecticutĭate of Qualifying Judgment/Order: September 5, 2023Īdministrative Proceeding File No.: 3-21703ĭate of Qualifying Judgment/Order: September 22, 2023 Miller, Dynasty Toys, Inc., The 7M EGroup Corp., Concept Management Company LLC, and Dynasty, IncĬase Number: 23-cv-00765 (United States District Court for the Central District of California)ĭate of Qualifying Judgment/Order: September 20, 2023

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