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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
2014-79 SEC v. CR Intrinsic Investors, LLC, Mathew Martoma, and Dr. Sidney Gilman
Case number: 12-cv-8466 (United States District Court for the Southern District of New York)
Case filed: November 20, 2012
Qualifying Judgment/Order: June 18, 2014
07/24/2014 10/22/2014
2014-78 SEC v. John Lazorchak, Mark S. Cupo, Mark D. Foldy, Michael L. Castelli, Lawrence D. Grum, Michael T. Pendolino, and James N. Deprado
Case number: 12-cv-07164 (United States District Court for the District of New Jersey)
Case filed: November 19, 2012
Qualifying Judgment/Order: June 12, 2014
07/24/2014 10/22/2014
2014-77 SEC v. Thomas Fletcher & Co. Inc., Thomas Fletcher & Company, Inc., Sergei Voronchenko, Roman Thaker, Alex Berg, John Donadio and Padraig McGlynn
Case number: 02-cv-9355 (United States District Court for the Southern District of New York)
Case filed: November 22, 2002
Qualifying Judgment/Order: June 19, 2014
07/24/2014 10/22/2014
2014-76 SEC v. Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras); Sylvester M. Gray II; Alicia Bryan; Maxum Gold Bnk Holdings Limited; Maxum Gold Bnk Holdings LLC; FMP Medical Services Limited; and FMP Medical Services LLC
Case number: 13-cv-07932 (United States District Court for the Central District of California)
Case filed: October 28, 2013
Qualifying Judgment/Order: June 9, 2014
07/24/2014 10/22/2014
2014-75 SEC v. Charles J. Dushek, Charles S. Dushek, and Capital Management Associates, Inc.
Case number: 13-cv-03669 (United States District Court for the Northern District of Illinois)
Case filed: May 16, 2013
Qualifying Judgment/Order: June 4, 2014
07/24/2014 10/22/2014
2014-74 SEC v. Marcus A. Luna; Nathan Montgomery; Adam Daskivich; David Murtha; St. Paul Venture Fund, LLC; Minnesota Venture Capital, Inc.; Real Estate of Minnesota, Inc.; and Matrix Venture Capital, Inc.
Case number: 10-cv-2166 (United States District Court for the District of Nevada)
Case filed: December 14, 2010
Qualifying Judgment/Order: June 27, 2014
07/24/2014 10/22/2014
2014-73 SEC v. Robert Hurd, Your Best Memories International, Inc., and Kenneth Gross
Case number: 13-cv-04464 (United States District Court for the Central District of California)
Case filed: June 20, 2013
Qualifying Judgment/Order: June 10, 2014
07/24/2014 10/22/2014
2014-72 SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li
Case number: 12-cv-10643 (United States District Court for the District of Massachusetts)
Case filed: April 11, 2012
Qualifying Judgment/Order: June 25, 2014
07/24/2014 10/22/2014
2014-71 In the Matter of Paradigm Capital Management, Inc. and Candace King Weir
Administrative Proceeding File No: 3-15930
Case filed: June 16, 2014
Qualifying judgment/order: June 16, 2014
6/19/2014 9/17/2014
2014-70 SEC v. Avanti Capital Partners, LLC, a Utah Limited Liability Company, Highland Residential, LLC, a Utah Limited Liability Company, and Ivan Wade Brown, an Individual
Case number: 12-cv-00788 (United States District Court for the District of Utah)
Case filed: August 13, 2012
Qualifying judgment/order: April 24, 2014
6/19/2014 9/17/2014
2014-69 SEC v. Anthony Vassallo, Kenneth Kenitzer and Equity Investment Management and Trading, Inc.
Case number: 09-cv-00665 (United States District Court for the Eastern District of California)
Case filed: March 11, 2009
Qualifying judgment/order: May 23, 2014
6/19/2014 9/17/2014
2014-68 SEC v. Charles Vista, LLC
Case number: 14-cv-02643 (United States District Court for the Eastern District of New York)
Case filed: April 28, 2014
Qualifying judgment/order: May 29, 2014
6/19/2014 9/17/2014
2014-67 Alberto William Vilar, and Gary Alan Tanaka
Case number: 05-cv-05231
Case filed: June 2, 2005
Qualifying judgment/order: May 16, 2014
6/19/2014 9/17/2014
2014-66 SEC v. Behrooz Sarafraz
Case number: 14-cv-02252 (United States District Court for the Northern District of California)
Case filed: May 15, 2014
Qualifying judgment/order: May 27, 2014
6/19/2014 9/17/2014
2014-65 SEC v. Herbert Richard Lawson, William B. Lawson, and John J. Cerullo
Case number: 14-cv-02157 (United States District Court for the Northern District of California)
Case filed: May 12, 2014
Qualifying judgment/order: May 23, 2014
6/19/2014 9/17/2014
2014-64 SEC v. OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw
Case number: 13-cv-23486 (United States District Court for the Southern District of Florida)
Case filed: September 27, 2013
Qualifying judgment/order: May 29, 2014
6/19/2014 9/17/2014
2014-63 SEC v. Richard Olive and Susan Olive
Case number: 13-cv-14047 (United States District Court for the Southern District of Florida)
Case filed: February 4, 2013
Qualifying judgment/order: May 23, 2014
6/19/2014 9/17/2014
2014-62 SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker
Case number: 14-cv-02827 (United States District Court for the District of New Jersey)
Case filed: May 6, 2014
Qualifying judgment/order: May 12, 2014
6/19/2014 9/17/2014
2014-61 SEC v. Yuhe International, Inc. and Gao Zhentao
Case number: 13-cv-01598 (United States District Court for the District of Columbia)
Case filed: October 18, 2013
Qualifying judgment/order: May 22, 2014
6/19/2014 9/17/2014
2014-60 In the Matter of Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle
Administrative Proceeding File No.: 3-15881
Case filed: May 1, 2014
Qualifying judgment/order: May 1, 2014
6/19/2014 9/17/2014
2014-59 In the Matter of Diego F. Hernandez, The Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc.
Administrative Proceeding File No.: 3-15518
Case filed: May 1, 2014
Qualifying judgment/order: May 1, 2014
6/19/2014 9/17/2014
2014-58 In the Matter of George B. Franz III and Ruby Corporation
Administrative Proceeding File No.: 3-15526
Case filed: April 30 2014
Qualifying judgment/order: April 30, 2014
6/19/2014 9/17/2014
2014-57 In the Matter of Liquidnet, Inc.
Administrative Proceeding File No.: 3-15912
Case filed: June 6, 2014
Qualifying judgment/order: June 6, 2014
06/06/2014 09/04/2014
2014-56 In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C.
Administrative Proceeding File No.: 3-15860
Case filed: May 1, 2014
Qualifying Judgment/Order: May 1, 2014
05/22/2014 08/20/2014
2014-55 In the Matter of Hewlett-Packard Company
Administrative Proceeding File No.: 3-15832
Case filed: April 9, 2014
Qualifying Judgment/Order: April 9, 2014
05/22/2014 08/20/2014
2014-54 SEC v. Steven B. Heinz and S.B. Heinz & Associates, Inc.
Case number: 13-cv-00753 (United States District Court for the District of Utah)
Case filed: August 8, 2013
Qualifying Judgment/Order: April 28, 2014
05/22/2014 08/20/2014
2014-53 SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker
Case number: 14-cv-02827 (United States District Court for the District of New Jersey)
Case filed: May 5, 2014
Qualifying Judgment/Order: May 12, 2014
05/22/2014 08/20/2014
2014-52 SEC v. Armand R. Franquelin and Martin A. Pool
Case number: 13-cv-00096 (United States District for the District of Utah)
Case filed: July 2, 2013
Qualifying Judgment/Order: April 18, 2014
05/22/2014 08/20/2014
2014-51 SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP, and TN-KY Development Fund III LP
Case number: 13-cv-00868 (United States District Court for the Middle District of Florida)
Case filed: April 5, 2013
Qualifying Judgment/Order: April 18, 2014
05/22/2014 08/20/2014
2014-50 In the Matter of Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin
Administrative Proceeding File No.: 3-15823
Case filed: April 4, 2014
Qualifying Judgment/Order: April 4, 2014
05/22/2014 08/20/2014
2014-49 SEC v. Seven Palm Investments, LLC, Peter P. Veugeler, Cardiovascular Sciences, Inc., and Lawrence H. Hooper, Jr.
Case number: 10-cv-02755 (United States District Court for the Northern District of Illinois)
Case filed: May 4, 2010
Qualifying Judgment/Order: April 21, 2014
05/22/2014 08/20/2014
2014-48 SEC v. CVS Caremark Corp.
Case number: 14-cv-0177 (United States District Court for the District of Rhode Island)
Case filed: April 8, 2014
Qualifying Judgment/Order: April 8, 2014
05/22/2014 08/20/2014
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

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