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Claim an Award

We post Notices of Covered Action for each Commission action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.

The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the Commission opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case.

Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award.

Once a Notice of Covered Action is posted, individuals have 90 calendar days to apply for an award by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action. Please send completed forms to the Office of the Whistleblower by mail at 100 F Street NE, Mail Stop 5553, Washington, DC 20549 or by fax at (703) 813-9322.

Notice No. Action Notice Date Claim Due Date
2014-47 SEC v. Syndicated Food Service International, Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, Fidra Holdings LTD., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis
Case number: 04-cv-01303 (United States District Court for the Eastern District of New York)
Case filed: March 29, 2004
Qualifying Judgment/Order: April 1, 2014
04/22/2014 07/21/2014
2014-46 In the Matter of Worldwide Capital, Inc. and Jeffrey W. Lynn
Administrative Proceeding File No.: 3-15772
Case filed: March 5, 2014
Qualifying Judgment/Order: March 5, 2014
04/22/2014 07/21/2014
2014-45 SEC v. John Kinnucan and Broadband Research Corporation
Case number: 12-cv-1230 (United States District Court for the Southern District of New York)
Case filed: February 17, 2012
Qualifying Judgment/Order: April 1, 2014
04/22/2014 07/21/2014
2014-44 SEC v. Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez
Case number: 11-cv-1778 (United States District Court for the Southern District of New York)
Case filed: March 15, 2011
Qualifying Judgment/Order: March 31, 2014
04/22/2014 07/21/2014
2014-43 SEC v. Certain Unknown Traders in the Securities of H.J. Heinz Company
Case number: 13-cv-1080 (United States District Court for the Southern District of New York)
Case filed: February 25, 2013
Qualifying Judgment/Order: April 2, 2014
04/22/2014 07/21/2014
2014-42 In the Matter of Lions Gate Entertainment Corp.
Administrative Proceeding File No.: 3-15791
Case filed: March 13, 2014
Qualifying Judgment/Order: March 13, 2014
04/22/2014 07/21/2014
2014-41 SEC v. Dawn Wright-Olivares and Daniel Olivares
Case number: 13-cv-00700 (United States District Court for the Western District of North Carolina)
Case filed: December 20, 2013
Qualifying Judgment/Order: February 28, 2014
04/22/2014 07/21/2014
2014-40 In the Matter of Howard Feder and BDL Manager LLC
Administrative Proceeding File No.: 3-15788
Case filed: March 13, 2014
Qualifying Judgment/Order: March 13, 2014
04/22/2014 07/21/2014
2014-39 SEC v. Samuel E. Wyly, Charles J. Wyly, Jr., Michael C. French, and Louis J. Schaufele III
Case number: 10-cv-05760 (United States District Court for the Southern District of New York)
Case filed: July 29, 2010
Qualifying Judgment/Order: March 21, 2014
04/22/2014 07/21/2014
2014-38 SEC v. Joseph Hilton f/k/a Joseph Yurkin, Pacific Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castle Drilling Fund II LP, and New Horizon Publishing Inc.
Case number: 12-cv-81033 (United States District Court for the Southern District of Florida)
Case filed: September 24, 2012
Qualifying Judgment/Order: March 20, 2014
04/22/2014 07/21/2014
2014-37 SEC v. John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr.
Case number: 09-cv-01093 (United States District Court for the Middle District of Florida)
Case filed: June 11, 2009
Qualifying Judgment/Order: July 5, 2012
04/22/2014 07/21/2014
2014-36 In the Matter of Jefferies LLC (formerly known as Jefferies & Company, Inc.)
Administrative Proceeding File No.: 3-15785
Case filed: March 12, 2014
Qualifying Judgment/Order: March 12, 2014
04/22/2014 07/21/2014
2014-35 SEC v. Onyx Capital Advisors, LLC, Roy Dixon, Jr., and Michael A. Farr
Case number: 10-cv-11633 (United States District Court for the Eastern District of Michigan)
Case filed: April 22, 2010
Qualifying Judgment/Order: January 31, 2014
04/22/2014 07/21/2014
2014-34 In the Matter of Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr.
Administrative Proceeding File No.: 3-13871
Case filed: February 27, 2014
Qualifying judgment/order: February 27, 2014
3/24/2014 6/23/2014
2014-33 SEC v. Henry Morris, David J. Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC
Case number: 09-cv-02518 (United States District Court for the Southern District of New York)
Case filed: March 19, 2009
Qualifying judgment/order: March 3, 2014
3/24/2014 6/23/2014
2014-32 SEC v. George Garcy a/k/a Jorge Garcia, and Angelo Cuomo
Case number: 11-cv-02282 (United States District Court for the Eastern District of New York)
Case filed: May 11, 2011
Qualifying judgment/order: February 7, 2014
3/24/2014 6/23/2014
2014-31 SEC v. Dean P. Gross and Gregory W. Laser
Case number: 09-cv-09144 (United States District Court for the Central District of California)
Case filed: December 14, 2009
Qualifying judgment/order: February 12, 2014
3/24/2014 6/23/2014
2014-30 SEC v. Secure Capital Funding Corporation, Bertram Augustus Hill, PP&M Trade Partners, and Kiavanni Pringle
Case number: 11-cv-00916 (United States District Court for the District of New Jersey)
Case filed: February 18, 2011
Qualifying judgment/order: March 10, 2014
3/24/2014 6/23/2014
2014-29 SEC v. China Intelligent Lighting and Electronics, Inc., NIVS Intellimedia Technology Group, Inc., Tianfu Li, and Xuemei Li
Case number: 13-cv-05079 (United States District Court for the Southern District of New York)
Case filed: July 22, 2013
Qualifying judgment/order: March 10, 2014
3/24/2014 6/23/2014
2014-28 In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc., Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA
Administrative Proceeding File No.: 3-15750
Case filed: February 12, 2014
Qualifying judgment/order: February 12, 2014
3/24/2014 6/23/2014
2014-27 SEC v. Delsa U. Thomas; The D. Christopher Capital Management Group, LLC; and The Solomon Fund, LP
Case number: 13-cv-00739 (United States District Court for the Northern District of Texas)
Case filed: February 15, 2013
Qualifying judgment/order: March 4, 2014
3/24/2014 6/23/2014
2014-26 SEC v. Recycle Tech, Inc., Keven Sepe, Ronny J. Halperin, Ryan Gonzalez, OTC Solutions LLC, Anthony Thompson, Pudong LLC, Jay Fung and David Rees
Case number: 12-cv-21656 (United States District Court for the Southern District of Florida)
Case filed: May 2, 2012
Qualifying judgment/order: February 14, 2014
3/24/2014 6/23/2014
2014-25 SEC v. Jeremy S. Fisher, The Good Life Financial Group, Inc., and The Good Life Global Enterprises, LLC
Case number: 13-cv-00683 (United States District Court for the Western District of Wisconsin)
Case filed: September 30, 2013
Qualifying judgment/order: October 16, 2013
3/24/2014 6/23/2014
2014-24 SEC v. John J. Bravata, Richard J. Trabulsy, Antonio M. Bravata, BBC Equities, LLC, and Bravata Financial Group, LLC
Case number: 09-cv-12950 (United States District Court for the Eastern District of Michigan)
Case filed: July 26, 2009
Qualifying judgment/order: March 6, 2014
3/24/2014 6/23/2014
2014-23 SEC v. Jerry S. Williams, Monk's Den, LLC, and First in Awareness, LLC
Case number: 12-cv-01068 (United States District Court for the District of Connecticut)
Case filed: July 20, 2012
Qualifying judgment/order: February 18, 2014
3/24/2014 6/23/2014
2014-22 SEC v. Burton Douglas Morriss, Acartha Group, LLC, MIC VII, LLC, Acartha Technology Partners, LP, and Gryphon Investments III, LLC
Case number: 12-cv-00080 (United States District Court for the Eastern District of Missouri)
Case filed: January 17, 2012
Qualifying Judgment/Order: February 26, 2014
3/7/2014 6/5/2014
2014-21 SEC v. Diamond Foods, Inc.
Case number: 14-cv-00123 (United States District Court for the Northern District of California)
Case filed: January 9, 2014
Qualifying Judgment/Order: January 21, 2014
02/24/2014 05/25/2014
2014-20 SEC v. David Blech and Margaret Chassman
Case number: 12-cv-03703 (United States District Court for the Southern District of New York)
Case filed: May 9, 2012
Qualifying Judgment/Order: August 22, 2013
02/24/2014 05/25/2014
2014-19 SEC v. Kareem Serageldin, David Higgs, Faisal Siddiqui and Salmaan Siddiqui
Case number: 12-cv-00796 (United States District Court for the Southern District of New York)
Case filed: February 1, 2012
Qualifying Judgment/Order: January 21, 2014
02/24/2014 05/25/2014
2014-18 SEC v. Archer-Daniels-Midland Company
Case number: 13-cv-02279 (United States District Court for the Central District of Illinois)
Case filed: December 20, 2013
Qualifying Judgment/Order: January 21, 2014
02/24/2014 05/25/2014
2014-17 SEC v. Mark A. Lefkowitz, Compass Capital Group, Inc., Mark A. Lopez, Unico, Inc., Steven R. Peacock, Shane H. Traveller, and Advanced Cell Technology, Inc.
Case number: 12-cv-01210 (United States District Court for the Middle District of Florida)
Case filed: May 30, 2012
Qualifying Judgment/Order: December 30, 2013
02/24/2014 05/25/2014
2014-16 SEC v. Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC, and E-Info Solutions LLC
Case number: 11-cv-01466 (United States District Court for the Central District of California)
Case filed: September 22, 2011
Qualifying Judgment/Order: January 22, 2014
02/24/2014 05/25/2014
2014-15 SEC v. Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel, and Bernd Regendantz
Case number: 11-cv-09073 (United States District Court for the Southern District of New York)
Case filed: December 13, 2011
Qualifying Judgment/Order: February 4, 2014
02/24/2014 05/25/2014
2014-14 SEC v. Joseph Paul Zada and Zada Enterprises, LLC
Case number: 10-cv-14498 (United States District Court for the Eastern District of Michigan)
Case filed: November 10, 2010
Qualifying Judgment/Order: January 31, 2014
02/24/2014 05/25/2014
2014-13 In the Matter of Scottrade, Inc.
Administrative Proceeding File No.: 3-15702
Case filed: January 29, 2014
Qualifying Judgment/Order: January 29, 2014
02/24/2014 05/25/2014
2014-12 In the Matter of Western Asset Management Company
Administrative Proceeding File No.: 3-15689
Case filed: January 27, 2014
Qualifying Judgment/Order: January 27, 2014
02/24/2014 05/25/2014
2014-11 In the Matter of Alcoa Inc.
Administrative Proceeding File No.: 3-15689
Case filed: January 9, 2014
Qualifying Judgment/Order: January 9, 2014
02/24/2014 05/25/2014
2014-10 In the Matter of KPMG LLP
Administrative Proceeding File No.: 3-15687
Case filed: January 24, 2014
Qualifying Judgment/Order: January 24, 2014
02/24/2014 05/25/2014
2014-9 In the Matter of Credit Suisse Group AG
Administrative Proceeding File No.: 3-15763
Case filed: February 21, 2014
Qualifying Judgment/Order: February 21, 2014
02/24/2014 05/25/2014
2014-8 SEC v. Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry A. Condron
Case number: 12-cv-07488 (United States District Court for the Southern District of New York)
Case filed: October 5, 2012
Qualifying Judgment/Order: January 13, 2014
01/17/2014 04/17/2014
2014-7 In the Matter of Daniel Bogar, Bernerd E. Young, and Jason T. Green
Administrative Proceeding File No.: 3-15003
Case filed: August 31, 2012
Qualifying Judgment/Order: December 18, 2013
01/17/2014 04/17/2014
2014-6 SEC v. William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation
Case number: 11-cv-0404 (United States District Court for the Southern District of New York)
Case filed: January 20, 2011
Qualifying Judgment/Order: December 17, 2013
01/17/2014 04/17/2014
2014-5 SEC v. Lawrence J. Robbins
Case number: 13-cv-06694 (United States District Court for the Southern District of New York)
Case filed: September 23, 2013
Qualifying Judgment/Order: November 27, 2013
01/17/2014 04/17/2014
2014-4 SEC v. Waldyr Da Silva Prado Neto
Case number: 12-cv-7094 (United States District Court for the Southern District of New York)
Case filed: September 21, 2012
Qualifying Judgment/Order: January 7, 2014
01/17/2014 04/17/2014
2014-3 SEC v. Weatherford International Ltd.
Case number: 13-cv-03500 (United States District Court for the Southern District of Texas)
Case filed: November 26, 2013
Qualifying Judgment/Order: December 19, 2013
01/17/2014 04/17/2014
2014-2 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc.
Administrative Proceeding File No.: 3-15642
Case filed: December 12, 2013
Qualifying Judgment/Order: December 12, 2013
01/17/2014 04/17/2014
2014-1 In the Matter of GLG Partners, Inc. and GLG Partners, L.P.
Administrative Proceeding File No.: 3-15641
Case filed: December 12, 2013
Qualifying Judgment/Order: December 12, 2013
01/17/2014 04/17/2014
2013-121 SEC v. The NIR Group, LLC; Corey Ribotsky; and Daryl Dworkin
Case number: 11-cv-04723 (United States District Court for the Eastern District of New York)
Case filed: September 28, 2011
Qualifying judgment/order: November 13, 2013
12/20/2013 03/20/2014
2013-120 SEC v. Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc., and Kaleidoscope Real Estate, Inc.
Case number: 12-cv-04257 (United States District Court for the Central District of California)
Case filed: May 16, 2012
Qualifying judgment/order: November 1, 2013
12/20/2013 03/20/2014
2013-119 SEC v. Senen Pousa and Investment Intelligence Corporation PTY LLC
Case number: 12-cv-00863 (United States District Court for the Western District of Texas)
Case filed: September 18, 2012
Qualifying judgment/order: December 4, 2013
12/20/2013 03/20/2014
2013-118 SEC v. Imperiali, Inc., Daniel Imperato, Charles Fiscina, and Lawrence A. O'Donnell
Case number: 12-cv-80021 (United States District Court for the Southern District of Florida)
Case filed: January 9, 2012
Qualifying judgment/order: November 8, 2013
12/20/2013 03/20/2014
2013-117 SEC v. Steven Palladino and Viking Financial Group, Inc.
Case number: 13-cv-11024 (United States District Court for the District of Massachusetts)
Case filed: April 30, 2013
Qualifying judgment/order: November 18, 2013
12/20/2013 03/20/2014
2013-116 SEC v. RBS Securities Inc.
Case number: 13-cv-01643 (United States District Court for the District of Connecticut)
Case filed: November 7, 2013
Qualifying judgment/order: November 25, 2013
12/20/2013 03/20/2014
2013-115 SEC v. Robert L. Duncan
Case number: 10-cv-03051 (United States District Court for the Northern District of Georgia)
Case filed: September 23, 2010
Qualifying judgment/order: December 3, 2013
12/20/2013 03/20/2014
2013-114 In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC
Administrative Proceeding File No.: 3-15654
Case filed: December 18, 2013
Qualifying judgment/order: December 18, 2013
In the Matter of Jonathan Samuel Daspin
Administrative Proceeding File No.: 3-15652
Case filed: December 18, 2013
Qualifying judgment/order: December 18, 2013
In the Matter of Thomas Lekargeren
Administrative Proceeding File No.: 3-15653 Case filed: December 18, 2013 Qualifying judgment/order: December 18, 2013
12/20/2013 03/20/2014
2013-113 In the Matter of Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
Administrative Proceeding File No.: 3-15211
Case filed: November 20, 2013
Qualifying judgment/order: November 20, 2013
12/20/2013 03/20/2014
2013-112 In the Matter of Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation
Administrative Proceeding File No.: 3-15621
Case filed: November 25, 2013
Qualifying judgment/order: November 25, 2013
12/20/2013 03/20/2014
2013-111 In the Matter of Fifth Third Bancorp and Daniel Poston
Administrative Proceeding File No.: 3-15635
Case filed: December 4, 2013
Qualifying Judgment/Order: December 4, 2013
12/5/2013 03/5/2014
2013-110 SEC v. Diebold, Inc.
Case number: 13-cv-01609 (United States District Court for the District of Columbia)
Case filed: October 22, 2013
Qualifying judgment/order: November 5, 2013
11/21/2013 02/19/2014
2013-109 SEC v. Berton M. Hochfeld and Hochfeld Capital Management, L.L.C.
Case number: 12-cv-08202 (United States District Court for the Southern District of New York)
Case filed: November 9, 2012
Qualifying judgment/order: October 2, 2013
11/21/2013 02/19/2014
2013-108 SEC v. Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation
Case number: 12-cv-8987 (United States District Court for the Southern District of New York)
Case filed: December 11, 2012
Qualifying judgment/order: October 15, 2013
11/21/2013 02/19/2014
2013-107 SEC v. Edward T. Stein
Case number: 09-cv-3125 (United States District Court for the Southern District of New York)
Case filed: April 1, 2009
Qualifying judgment/order: November 6, 2013
11/21/2013 02/19/2014
2013-106 SEC v. Small Business Capital Corp., Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC.
Case number: 12-cv-3237 (United States District Court for the Northern District of California)
Case filed: June 21, 2012
Qualifying judgment/order: November 6, 2013
11/21/2013 02/19/2014
2013-105 SEC v. China MediaExpress Holdings, Inc., and Zheng Cheng
Case number: 13-cv-00927 (United States District Court for the District of Columbia)
Case filed: June 20, 2013
Qualifying judgment/order: October 3, 2013
11/21/2013 02/19/2014
2013-104 In the Matter of Stryker Corporation
Administrative Proceeding File No.: 3-15587
Case filed: October 24, 2013
Qualifying judgment/order:  October 24, 2013  
11/21/2013 02/19/2014
2013-103 In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern
Administrative Proceeding File No.: 3-14853
Case filed:  April 19, 2012
Qualifying judgment/order:  October 22, 2013
11/21/2013 02/19/2014
2013-102 In the Matter of Manarin Investment Counsel, Ltd., Manarin Securities Corp., and Roland R. Manarin
Administrative Proceeding File No.: 3- 15549
Case filed:October 2, 2013
Qualifying Judgment/Order: October 2, 2013
11/21/2013 02/19/2014
2013-101 SEC v. Edmund E. Wilson and Walter L. Ross
Case number: 13-cv-00188 (United States District Court for the District of Utah)
Case filed: March 14, 2013
Qualifying Judgment/Order: September 6, 2013
10/22/2013 01/20/2014
2013-100 In the Matter of TD Bank, N.A.
Administrative Proceeding File No.: 3-15512
Case filed: September 23, 2013
Qualifying Judgment/Order: September 23, 2013
10/22/2013 01/20/2014
2013-99 In the Matter of Shadron L. Stastney
Administrative Proceeding File No.: 3-15500
Case filed: September 18, 2013
Qualifying Judgment/Order: September 18, 2013
10/22/2013 01/20/2014
2013-98 SEC v. Petro-Suisse LTD. and Mark Gasarch
Case number: 12-cv-6221 (United States District Court for the Southern District of New York)
Case filed: August 14, 2012
Qualifying Judgment/Order: September 25, 2013
10/22/2013 01/20/2014
2013-97 Brian G. Elrod and Nova Dean Pack
Case number: 13-cv-02449 (United States District Court for the District of Colorado)
Case filed: September 9, 2013
Qualifying Judgment/Order: September 24, 2013
10/22/2013 01/20/2014
2013-96 SEC v. The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., Frank L. Pavlico III, a/k/a Frank Lorenzo, Brynee K. Baylor, Baylor & Jackson, P.L.L.C
Case number: 11-cv-02132 (United States District Court for the District of Columbia)
Case filed: November 30, 2011
Qualifying Judgment/Order: August 26, 2013
10/22/2013 01/20/2014
2013-95 In the Matter of Manikay Partners LLC
Administrative Proceeding File No.: 3-15488
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014
2013-94 Marcin Malarz, Jacek Sienkiewicz, and Arthur Lin
Case number: 11-cv-8803 (United States District Court for the Northern District of Illinois)
Case filed: December 12, 2011
Qualifying Judgment/Order: September 24, 2013
10/22/2013 01/20/2014
2013-93 In the Matter of Knight Capital Americas LLC
Administrative Proceeding File No.: 3-15570
Case filed: October 16, 2013
Qualifying Judgment/Order: October 16, 2013
10/22/2013 01/20/2014
2013-92 In the Matter of JPMorganChase & Co.
Administrative Proceeding File No.: 3-15507
Case filed: September 19, 2013
Qualifying Judgment/Order: September 19, 2013
10/22/2013 01/20/2014
2013-91 In the Matter of JGP Global Gestão de Recursos Ltda.
Administrative Proceeding File No.: 3-15479
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014
2013-90 SEC v Yusaf Jawed, Grifphon Asset Management LLC, Grifphon Holdings, LLC, and Robert P. Custis
Case number: 12-cv-01696 (United States District Court for the District of Oregon)
Case filed: September 20, 2012
Qualifying Judgment/Order: September 11, 2013
10/22/2013 01/20/2014
2013-89 SEC v. Harbinger Capital Partners LLC; Philip A. Falcone; and Peter A. Jenson
Case number: 12-cv-5028 (United States District Court for the Southern District of New York)
Case filed: June 27, 2012
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014
2013-88 In the Matter of Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC
Administrative Proceeding File No.: 3-15024
Case filed: May 3, 2013
Qualifying Judgment/Order: September 17, 2013
10/22/2013 01/20/2014
2013-87 GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum
Case number: 12-cv-7927 (United States District Court for the Northern District of Illinois)
Case filed: October 3, 2012
Qualifying Judgment/Order: July 30, 2013
10/22/2013 01/20/2014
2013-86 SEC v. Envision Direct L.L.C. and Gary R. Headding
Case number: 10-cv-00241 (United States District Court for the Central District of California)
Case filed: March 1, 2010
Qualifying Judgment/Order: June 4, 2013
10/22/2013 01/20/2014
2013-85 In the Matter of Deerfield Management Company, L.P.
Administrative Proceeding File No.: 3-15477
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014
2013-84 SEC v. Phillip J. DeZwirek
Case number: 13-cv-06135 (United States District Court for the Southern District of New York)
Case filed: August 30, 2013
Qualifying Judgment/Order: September 10, 2013
09/20/2013 12/19/2013
2013-83 SEC v. John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, Ltd., Praetorian G Power I, LLC, Praetorian G Power II, LLC, Praetorian G Power IV, LLC, Praetorian G Power V, LLC, Praetorian G Power VI, LLC, David E. Howard II, John R. Arnold, First American Service Transmittals, Inc., Joseph Almazon, and Spartan Capital Partners
Case number: 11-cv-08323 (United States District Court for the Southern District of New York)
Case filed: November 17, 2011
Qualifying Judgment/Order: July 31, 2013
09/20/2013 12/19/2013
2013-82 SEC v. Joseph Simone; Island Capital Management, Inc., Joseph Lando; Joseph Caracciolo; Alfred Varricchio; Anthony Pianelli; Jill Pianelli; JAP JAP Enterprises, LLC; Brian Fabrizzi; Donald Sorrentino; Anthony Carannante, individually and d/b/a A&C Management; Steven Daronzio, individually and d/b/a/ A&C Management; Rochelle Roman; Shaun Sarnicola; Anthony Tanico; Andrea Lando-Tanico; AJT Ltd; AJGT Ltd.; Michael McCormack; Donna Centola; DMAC Services, Inc.; Andrew Caccioppoli; Thomas Macli; Donna Macli; Lumac Corp.; Gary Manfre; Ricahrd Manfre; and RAM Solutions, Inc.
Case number: 07-cv-03928 (United States District Court for the Eastern District of New York)
Case filed: September 20, 2007
Qualifying Judgment/Order: August 23, 2013
09/20/2013 12/19/2013
2013-81 SEC v. Scott London and Bryan Shaw
Case number: 13-cv-02558 (United States District Court for the Central District of California)
Case filed: April 11, 2013
Qualifying Judgment/Order: August 8, 2013
09/20/2013 12/19/2013
2013-80 SEC v. Firas A. Hamdan, individually and doing business as FAH Capital Partners
Case number: 13-cv-00215 (United States District Court for the Southern District of Texas)
Case filed: January 29, 2013
Qualifying Judgment/Order: August 20, 2013
09/20/2013 12/19/2013
2013-79 SEC v. Badin Rungruangnavarat
Case number: 13-cv-04172 (United States District Court for the Northern District of Illinois)
Case filed: June 5, 2013
Qualifying Judgment/Order: September 6, 2013
09/20/2013 12/19/2013
2013-78 SEC v. David B. Welliver and Dblaine Capital, LLC
Case number: 11-cv-03076 (United States District Court for the District of Minnesota)
Case filed: October 18, 2011
Qualifying Judgment/Order: August 13, 2013
09/20/2013 12/19/2013
2013-77 SEC v. Richard DeMaria
Case number: 12-cv-04145 (United States District Court for the Northern District of Illinois)
Case filed: May 29, 2012
Qualifying Judgment/Order: September 6, 2013
09/20/2013 12/19/2013
2013-76 SEC v. Art Intellect, Inc., a Utah Corporation, d/b/a Mason Hill and Virtual MG, Patrick Merrill Brody, Laura A. Roser, and Gregory D. Wood
Case number: 11-cv-00357 (United States District Court for the District of Utah)
Case filed: April 18, 2011
Qualifying judgment/order: July 6, 2012
8/16/2013 11/14/2013
2013-75 In the Matter of A.R. Schmeidler & Co., Inc.
Administrative Proceeding File No.: 3-15399
Case filed: July 31, 2013
Qualifying judgment/order: July 31, 2013
8/16/2013 11/14/2013
2013-74 SEC v. Igors Nagaicevs
Case number: 12-cv-0413 (United States District Court for the Northern District of California)
Case filed: January 26, 2012
Qualifying judgment/order: July 18, 2013
8/16/2013 11/14/2013
2013-73 SEC v. Robert Stinson, Jr., Life's Good, Inc., Life's Good Stabl Mortgage Fund, LLC, Life's Good High Yield Mortgage Fund, LLC, Life's Good Capital Growth Fund, LLC, IA Capital Fund, LLC, and Keystone State Capital Corporation
Case number: 10-cv-03130 (United States District Court for the Eastern District of Pennsylvania
Case filed: June 29, 2010
Qualifying judgment/order: June 27, 2013
8/16/2013 11/14/2013
2013-72 SEC v. Mack D. Murrell, David Teekell, and Charles W. Adams
Case number: 13-cv-12856 (United States District Court for the Eastern District of Michigan)
Case filed: July 1, 2013
Qualifying judgment/order: July 19, 2013
8/16/2013 11/14/2013
2013-71 SEC v. Bryan Arias, Hugo A. Arias, Anthony C. Ciccone, Salvatore Ciccone, Diane Kaylor, Jason A. Keryc, Anthony Massaro, Christopher E. Curran, Ryan K. Dunaske, Michael P. Dunne, Martin C. Hartmann III, Michael D. Keryc, Ronald R. Roaldsen, Jr., and Laura Ann Tordy
Case number: 12-cv-2937 (United States District Court for the Eastern District of New York)
Case filed: June 12, 2012
Qualifying judgment/order: July 2, 2013
8/16/2013 11/14/2013
2013-70 SEC v. Keyuan Petrochemicals, Inc. and Aichun Li
Case number: 13-cv-00263 (United States District Court for the District of Columbia)
Case filed: February 28, 2013
Qualifying judgment/order: July 2, 2013
8/16/2013 11/14/2013
2013-69 SEC v. Fuqi International, Inc. and Yu Kwai Chong
Case number: 13-cv-0995 (United States District Court for the District of Columbia)
Case filed: July 1, 2013
Qualifying judgment/order: August 7, 2013
8/16/2013 11/14/2013
2013-68 SEC v. International Business Machines Corporation
Case number: 11-cv-00563 (United States District for the District of Columbia)
Case filed: March 18, 2011
Qualifying judgment/order: July 25, 2013
8/16/2013 11/14/2013
2013-67 In the Matter of ABN AMRO Bank, N.V.
Administrative Proceeding File No.: 3-15401
Case filed: July 31, 2013
Qualifying judgment/order: July 31, 2013
8/16/2013 11/14/2013
2013-66 SEC v. Ryan M. Reynolds, Jason Wynn, Carlton Fleming, Beverage Creations, Inc., Bellatalia, LP, Wynn Industries, LLC, and Thomas Wade Investments, LLC
Case number: 08-cv-0438 (United States District Court for the Northern District of Texas)
Case filed: March 13, 2008
Qualifying judgment/order: July 11, 2013
8/16/2013 11/14/2013
2013-65 SEC v. Geoffrey J. Eiten and National Financial Communications, Corp.
Case number: 11-cv-12185 (United States District Court for the District of Massachusetts)
Case filed: December 12, 2011
Qualifying judgment/order: July 24, 2013
8/16/2013 11/14/2013
2013-64 In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-15407
Case filed: August 6, 2013
Qualifying judgment/order: August 6, 2013
8/6/2013 11/4/2013
2013-63 William Graulich, IV and iVest International Holdings, Inc.
Case number: 09-cv-4355 (United States District Court for the District of New Jersey)
Case filed: August 26, 2009
Qualifying judgment/order: June 19, 2013
7/22/2013 10/21/2013
2013-62 SEC v. Victor Dosti and Whittier Trust Company
Case number: 13-cv-3897 (United States District Court for the Southern District of New York)
Case filed: June 7, 2013
Qualifying judgment/order: June 12, 2013
7/22/2013 10/21/2013
2013-61 In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
Administrative Proceeding File No.: 3-15353
Case filed: June 11, 2013
Qualifying judgment/order: June 11, 2013
7/22/2013 10/21/2013
2013-60 SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley
Case number: 12-cv-00060 (United States District Court for the Northern District of Indiana)
Case filed: January 30, 2012
Qualifying judgment/order: June 27, 2013
7/22/2013 10/21/2013
2013-59 SEC v. Tyco International LTD
Case number: 12-cv-01583 (United States District Court for the District of Columbia)
Case filed: September 24, 2012
Qualifying judgment/order: June 17, 2013
7/22/2013 10/21/2013
2013-58 SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc.
Case number: 12-cv-01681 (United States District Court for the District of Puerto Rico)
Case filed: August 21, 2012
Qualifying judgment/order: April 12, 2013
7/22/2013 10/21/2013
2013-57 SEC v. MayfieldGentry Realty Advisors, LLC, Chauncey C. Mayfield, Blair D. Ackman, Marsha Bass, W. Emery Matthews, and Alicia M. Diaz
Case number: 13-cv-12520 (United States District Court for the Eastern District of Michigan)
Case filed: June 10, 2013
Qualifying judgment/order: June 26, 2013
7/22/2013 10/21/2013
2013-56 In the Matter of Total, S.A.
Administrative Proceeding File No.: 3-15338
Case filed: May 29, 2013
Qualifying Judgment/Order: May 29, 2013
6/19/2013 9/17/2013
2013-55 SEC v. RINO International Corporation, Dejun “David” Zou, and Jianping “Amy” Qiu
Case number: 13-cv-00711 (United States District Court for the District of Columbia)
Case filed: May 15, 2013
Qualifying Judgment/Order: May 31, 2013
6/19/2013 9/17/2013
2013-54 SEC v. Joel I. Wilson, Diversified Group Partnership Management, LLC, and American Realty Funds Corporation
Case number: 12-cv-15062 (United States District Court for the Eastern District of Michigan)
Case filed: November 15, 2012
Qualifying Judgment/Order: June 10, 2013
6/19/2013 9/17/2013
2013-53 In the Matter of UBS O’Connor, LLC
Administrative Proceeding File No.: 3-15347
Case filed: June 13, 2013
Qualifying Judgment/Order: June 13, 2013
6/19/2013 9/17/2013
2013-52 SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens
Case number: 07-cv-04483 (United States District Court for the Northern District of Illinois)
Case filed:August 9, 2007
Qualifying Judgment/Order: May 29, 2013
6/19/2013 9/17/2013
2013-51 In the Matter of Koninklijke Philips Electronics N.V.
Administrative Proceeding File No.: 3-15265
Case filed: April 5, 2013
Qualifying Judgment/Order: April 5, 2013
5/17/2013 8/15/2013
2013-50 SEC v. Jorge Gomez and Roberto Aleph Espinosa
Case number: 12-cv-21962 (United States District Court for the Southern District of Florida)
Case filed: May 25, 2012
Qualifying Judgment/Order: June 12, 2012
5/17/2013 8/15/2013
2013-49 SEC v. Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd.
Case number: 09-cv-1177 (United States District Court for the Northern District of California)
Case filed: March 18, 2009
Qualifying Judgment/Order: April 26, 2013
5/17/2013 8/15/2013
2013-48 SEC v. Matthew John Ryan and Prime Rate And Return, LLC, individually and doing business as American Integrity Financial Co.
Case number: 10-cv-0513 (United States District Court for the Northern District of New York)
Case filed: May 3, 2010
Qualifying Judgment/Order: April 2, 2013
5/17/2013 8/15/2013
2013-47 SEC v. Grant Ivan Grieve; Finvest Asset Management, LLC; and Finvest Fund Management, LLC
Case number: 09-cv-1198 (United States District Court for the Southern District of New York)
Case filed: February 10, 2009
Qualifying Judgment/Order: April 29, 2013
5/17/2013 8/15/2013
2013-46 In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. Lagassa
Administrative Proceeding File No.: 3-15299
Case filed: April 24, 2013
Qualifying Judgment/Order: April 24, 2013
5/17/2013 8/15/2013
2013-45 SEC v. Richard Verdiramo, Vincent L. Verdiramo, Esq., Edward Meyer, Jr., and Victoria Chen
Case number: 10-cv-1888 (United States District Court for the Southern District of New York)
Case filed: March 10, 2010
Qualifying Judgment/Order: April 29, 2013
5/17/2013 8/15/2013
2013-44 Parker Drilling Company
Case number: 13-cv-00461 (United States District Court for the Eastern District of Virginia)
Case filed: April 16, 2013
Qualifying Judgment/Order: April 23, 2013
5/17/2013 8/15/2013
2013-43 SEC v. Stanford International Bank, Ltd., Stanford Group Company, Stanford Capital Management, LLC, R. Allen Stanford, James M. Davis, and Laura Pendergest-Holt
Case number: 09-cv-00298 (United States District Court for the Northern District of Texas)
Case filed: February 17, 2009
Qualifying Judgment/Order: April 25, 2013
5/17/2013 8/15/2013
2013-42 SEC v. Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC and Brewer Investment Advisors, LLC
Case number: 10-cv-6932 (United States District Court for the Northern District of Illinois)
Case filed: October 28, 2010
Qualifying Judgment/Order: March 29, 2013
5/17/2013 8/15/2013
2013-41 SEC v. True North Finance Corporation, f/k/a CS Financing Corporation, Capital Solutions Monthly Income Fund, LP, f/k/a Hennessey Financial Monthly Income Fund, LP, Capital Solutions Distributors, LLC, Capital Solutions Management, LP, Transactional Finance Fund Management, LLC, Todd A. Duckson, Michael W. Bozora, Timothy R. Redpath, and Owen Mark Williams
Case number: 10-cv-03995 (United States District Court for the District of Minnesota)
Case filed: September 21, 2010
Qualifying Judgment/Order: April 15, 2013
5/17/2013 8/15/2013
2013-40 SEC v. Frank Bluestein
Case number: 09-cv-13809 (United States District Court for the Eastern District of Michigan)
Case filed: September 28, 2009
Qualifying Judgment/Order: April 24, 2013
5/17/2013 8/15/2013

Whistleblower Action Updates

A bank"Finally, in deciding upon the appropriate amount of an award, the rule indicates that the Commission will focus on the timeliness and quality of a whistleblower's assistance."

Chairman Mary L. Schapiro
May 25, 2011