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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
2015-12 In the Matter of Standard & Poor's Rating Services
Administrative Proceeding File No.: 3-16348
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015
1/27/2015 4/27/2015
2015-11 In the Matter of Standard & Poor's Rating Services
Administrative Proceeding File No.: 3-16346
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015
1/27/2015 4/27/2015
2015-10 In the Matter of EDGA Exchange, Inc., and EDGX Exchange, Inc.
Administrative Proceeding File No.: 3-16332
Case Filed: January 12, 2015
Qualifying Judgment/Order: January 12, 2015
1/27/2015 4/27/2015
2015-9 SEC v. Michael B. Ferguson and Transactions Unlimited
Case Number: 14-cv-04188 (United States District Court for the Northern District of California)
Case Filed: September 29, 2014
Qualifying Judgment/Order: November 13, 2014
1/27/2015 4/27/2015
2015-8 SEC v. John N. Irwin, CPA and Jacklin Associates, Inc.
Case Number: 11-cv-04429 (United States District Court for the Eastern District of Pennsylvania)
Case Filed: July 11, 2011
Qualifying Judgment/Order: December 19, 2014
1/27/2015 4/27/2015
2015-7 SEC v. Alternative Green Technologies, Inc., Mitchell Segal, Belmont Partners, LLC, Joseph Meuse, Howard Borg, David Ryan, Vikram Khanna, and Panascope Capital Inc.
Case Number: 11-cv-09056 (United States District Court for the Southern District of New York)
Case Filed: December 12, 2011
Qualifying Judgment/Order: December 15, 2014
1/27/2015 4/27/2015
2015-6 SEC v. Larry R. Polhill
Case Number: 13-cv-01729 (United States District Court for the Central District of California)
Case Filed: September 24, 2013
Qualifying Judgment/Order: December 6, 2014
1/27/2015 4/27/2015
2015-5 SEC v. Bill C. (Billy) Crafton, Jr.
Case Number: 14-cv-02916 (United States District Court for the Southern District of California)
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 17, 2014
1/27/2015 4/27/2015
2015-4 SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch
Case Number: 11-cv-01962 (United States District Court for the Central District of California)
Case Filed: December 21, 2011
Qualifying Judgment/Order: December 10, 2014
1/27/2015 4/27/2015
2015-3 SEC vs. Brian N. Hollnagel and BCI Aircraft Leasing, Inc.
Case Number: 07-cv-04538 (United States District Court for the Northern District of Illinois)
Case filed: August 13, 2007
Qualifying judgment/order: December 18, 2014
1/27/2015 4/27/2015
2015-2 In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-16310
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 10, 2014
1/27/2015 4/27/2015
2015-1 In the Matter of Bruker Corporation
Administrative Proceeding File No.: 3-16314
Case Filed: December 15, 2014
Qualifying Judgment/Order: December 15, 2014
1/27/2015 4/27/2015
2014-146 In the Matter of F-Squared Investments, Inc.
Administrative Proceeding File No.: 3-16325
Case filed: December 22, 2014
Qualifying Judgment/Order: December 22, 2014
12/29/2014 3/29/2015
2014-145 SEC vs. Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. Burks
Case number: 12-cv-00519 (United States District Court for the Western District of North Carolina)
Case filed: August 17, 2012
Qualifying judgment/order: August 17, 2012
 
In the Matter of Adam Troy Dooly
Administrative Proceeding File No.: 3-15540
Case filed: September 30, 2013
Qualifying judgment/order: September 30, 2013
12/22/2014 3/22/2015
2014-144 SEC vs. Garfield Taylor, Incorporated, Gibraltar Asset Management Group, LLC, Garfield M. Taylor, Benjamin C. Dalley, Jeffrey A. King, Randolph M. Taylor, Maurice G. Taylor, and William B. Mitchell
Case number: 11-cv-02054 (United States District Court for the District of Columbia)
Case filed: November 18, 2011
Qualifying judgment/order: March 28, 2013
12/22/2014 3/22/2015
2014-143 In the Matter of Wedbush Securities Inc., Jeffrey Bell, and Christina Fillhart
Administrative Proceeding File No.: 3-15913
Case filed: November 20, 2014
Qualifying judgment/order: November 20, 2014
12/22/2014 3/22/2015
2014-142 In the Matter of Alan Gavornik, Nicholas Mariniello and Lee Argush
Administrative Proceeding File No.: 3-16286
Case filed: November 24, 2014
Qualifying judgment/order: November 24, 2014
12/22/2014 3/22/2015
2014-141 In the Matter of HSBC Private Bank (Suisse), SA
Administrative Proceeding File No.: 3-16288
Case filed: November 25, 2014
Qualifying judgment/order: November 25, 2014
12/22/2014 3/22/2015
2014-140 SEC vs. Larry J. Dearman, Sr. and Marya Gray
Case number: 13-cv-00553 (United States District Court for the Northern District of Oklahoma)
Case filed: August 27, 2013
Qualifying judgment/order: November 14, 2014
12/22/2014 3/22/2015
2014-139 SEC vs. Matthew O. Madison, Dwight McGhee, and Infinity Exploration, LLC
Case number: 13-cv-02499 (United States District Court for the Northern District of Texas)
Case filed: June 28, 2013
Qualifying judgment/order: November 18, 2014
12/22/2014 3/22/2015
2014-138 SEC vs. John K. Marcum and Guaranty Reserves Trust, LLC
Case number: 13-cv-01361 (United States District Court for the Southern District of Indiana)
Case filed: August 26, 2013
Qualifying judgment/order: November 18, 2014
12/22/2014 3/22/2015
2014-137 SEC vs. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group, PLC, and Aetius Group, LLC
Case number: 12-cv-11489 (United States District Court for the District of Massachusetts)
Case filed: August 10, 2012
Qualifying judgment/order: November 24, 2014
12/22/2014 3/22/2015
2014-136 SEC vs. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC
Case number: 13-cv-00447 (United States District Court for the Western District of North Carolina)
Case filed: August 6, 2013
Qualifying judgment/order: November 25, 2014
12/22/2014 3/22/2015
2014-135 In the Matter of China Ruitai International Holdings Co., LTD., Dian Min Ma, Gang Ma, and Jin Tian
Administrative Proceeding File No.: 3-15544
Case filed: September 30, 2013
Qualifying Judgment/Order: October 2, 2014
11/26/2014 02/24/2015
2014-134 SEC v. Dennis F. Wright
Case number: 14-cv-01896 (United States District Court for the Middle District of Pennsylvania)
Case filed: September 30, 2014
Qualifying Judgment/Order: October 9, 2014
11/26/2014 02/24/2015
2014-133 SEC v. Lee Cole, Linden Boyne, Kevin B. Donovan, and Timothy Quintanilla
Case number: 12-cv-08167 (United States District Court for the Southern District Court of New York)
Case filed: November 8, 2012
Qualifying Judgment/Order: October 8, 2014
11/26/2014 02/24/2015
2014-132 SEC v. Christopher Wheeler and OTCStockExchange.com
Case number: 11-cv-06169 (United States District Court for the Southern District of New York)
Case filed: January 14, 2011
Qualifying Judgment/Order: September 29, 2014
11/26/2014 02/24/2015
2014-131 In the Matter of Clean Energy Capital, LLC and Scott A. Brittenham
Administrative Proceeding File No.: 3-15766
Case filed: October 17, 2014
Qualifying Judgment/Order: October 17, 2014
11/26/2014 02/24/2015
2014-130 In the Matter of Bio-Rad Laboratories, Inc.
Administrative Proceeding File No.: 3-16231
Case filed: November 3, 2014
Qualifying Judgment/Order: November 3, 2014
11/26/2014 02/24/2015
2014-129 SEC v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, James C. Warras, Joseph N. Micelli, M.Y. Consultants, Inc., Anthony B. Brandel, M. Dwyer, LLC, and Sean P. Finn
Case number: 13-cv-02280 (United States District Court for the District of Nevada)
Case filed: December 16, 2013
Qualifying Judgment/Order: September 15, 2014
11/26/2014 02/24/2015
2014-128 SEC v. Timothy J. Coughlin, OICU LTD., and OICU Investments Corp. (both d/b/a "Oxford International Credit Union" and/or "Oxford International Cooperative Union")
Case number: 14-cv-00562 (United States District Court for the Southern District of Indiana)
Case filed: April 11, 2014
Qualifying Judgment/Order: October 29, 2014
11/26/2014 02/24/2015
2014-127 In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC
Administrative Proceeding File No.: 3-16192
Case filed: October 9, 2014
Qualifying Judgment/Order: October 9, 2014
11/26/2014 02/24/2015
2014-126 In the Matter of Layne Christensen Company
Administrative Proceeding File No.: 3-16216
Case filed: October 27, 2014
Qualifying Judgment/Order: October 27, 2014
11/26/2014 02/24/2015
2014-125 SEC v. Abatement Corp. Holding Company Limited
Case number: 14-cv-23336 (United States District Court for the Southern District of Florida)
Case filed: September 10, 2014
Qualifying Judgment/Order: October 29, 2014
11/26/2014 02/24/2015
2014-124 Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle), and Jilapuhn, Inc. (d/b/a Her Majesty's Credit Union)
Case number: 12-cv-02939 (United States District Court for the District of Colorado)
Case filed: November 8, 2012
Qualifying Judgment/Order: October 9, 2014
11/26/2014 02/24/2015
2014-123 SEC v. Agfeed Industries, Inc., Junhong Xiong, Selina Jin, Songyan Li, Shaobo Ouyang, Edward J. Pazdro, K. Ivan Gothner
Case number: 14-cv-00663 (United States District Court for the Middle District of Tennessee)
Case filed: March 11, 2014
Qualifying judgment/order: October 6, 2014
In the Matter of John A. Stadler
Administrative Proceeding File No.: 3-15782
Case filed: March 11, 2014
Qualifying judgment/order: March 11, 2014
In the Matter of Clayton T. Marshall
Administrative Proceeding File No.: 3-15783
Case filed: March 11, 2014
Qualifying judgment/order: March 11, 2014
11/26/2014 02/24/2015
2014-122 SEC v. Nikolai S. Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage
Case number: 12-cv-07125 (United States District Court for the Northern District of Illinois)
Case filed: September 6, 2012
Qualifying Judgment/Order: September 30, 2014
11/26/2014 02/24/2015
2014-121 SEC vs. Resources Planning Group, Inc., and Joseph J. Hennessy
Case number: 12-cv-09509 (United States District Court for the Northern District of Illinois)
Case filed: November 29, 2012
Qualifying Judgment/Order: September 29, 2014
11/26/2014 02/24/2015
2014-120 SEC vs. Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC
Case number: 11-cv-00723 (United States District Court for the District of Minnesota)
Case filed: March 24, 2011
Qualifying Judgment/Order: September 22, 2014
11/26/2014 02/24/2015
2014-119 In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-16153
Case filed: September 22, 2014
Qualifying Judgment/Order: September 22, 2014
10/23/2014 01/21/2015
2014-118 In the Matter of Babak ("Bobby") Yazdani
Administrative Proceeding File No.: 3-16160
Case filed: September 24, 2014
Qualifying Judgment/Order: September 24, 2014
10/23/2014 01/21/2015
2014-117 In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon
Administrative Proceeding File No.: 3-16159
Case filed: September 24, 2014
Qualifying Judgment/Order: September 24, 2014
10/23/2014 01/21/2015
2014-116 In the Matter of Bank of America Corporation
Administrative Proceeding File No.: 3-16177
Case filed: September 29, 2014
Qualifying Judgment/Order: September 29, 2014
10/23/2014 01/21/2015
2014-115 In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-16154
Case filed: September 23, 2014
Qualifying Judgment/Order: September 23, 2014
10/23/2014 01/21/2015
2014-114 In the Matter of Latour Trading LLC and Nicolas Niquet
Administrative Proceeding File No.: 3-16128
Case filed: September 17, 2014
Qualifying Judgment/Order: September 17, 2014
10/23/2014 01/21/2015
2014-113 In the Matter of Wilmington Trust Corporation
Administrative Proceeding File No.: 3-16098
Case filed: September 11, 2014
Qualifying Judgment/Order: September 11, 2014
10/23/2014 01/21/2015
2014-112 In the Matter of Whitebox Advisors LLC
Administrative Proceeding File No.: 3-16117
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015
2014-111 In the Matter of BlackRock Institutional Trust Company, N.A.
Administrative Proceeding File No.: 3-16120
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015
2014-110 In the Matter of Lincolnshire Management, Inc.
Administrative Proceeding File No.: 3-16139
Case filed: September 22, 2014
Qualifying Judgment/Order: September 22, 2014
10/23/2014 01/21/2015
2014-109 SEC v. Tyrone L. Gilliams, Jr. and TL Gilliams, LLC
Case number: 11-cv-08201 (United States District Court for the Southern District of New York)
Case filed: November 14, 2011
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015
2014-108 SEC v. AIC, Inc., Community Bankers Securities, LLC, Nicholas D. Skaltsounis, John B. Guyette, and John R. Graves
Case number: 11-cv-00176 (United States District Court for the Eastern District of Tennessee)
Case filed: April 15, 2011
Qualifying Judgment/Order: August 1, 2014
10/23/2014 01/21/2015
2014-107 SEC v. Trendon T. Shavers and Bitcoin Savings and Trust
Case number: 13-cv-00416 (United States District Court for the Eastern District of Texas)
Case filed: July 23, 2013
Qualifying Judgment/Order: September 18, 2014
10/23/2014 01/21/2015
2014-106 SEC v. Gordon A. Driver and Axcess Automation, LLC
Case number: 09-cv-03410 (United States District Court for the Central District of California)
Case filed: May 14, 2009
Qualifying Judgment/Order: September 23, 2014
10/23/2014 01/21/2015
2014-105 SEC v. Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, and Susana Gomez
Case number: 13-cv-01865 (United States District Court for the Central District of California)
(originally filed as 12-cv-00505 (United States District Court for the Eastern District of Texas)
Case filed: August 13, 2012
Qualifying Judgment/Order: August 14, 2014
10/23/2014 01/21/2015
2014-104 In the Matter of RA Capital Management, LLC
Administrative Proceeding File No.: 3-16109
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015
2014-103 SEC v. Paul Marshall, Bridge Securities, LLC a/k/a/ Bridge Financial, Bridge Equity, Inc., and FOGfuels, Inc.
Case number: 13-cv-3032 (United States District Court for the Northern District of Georgia)
Case filed: September 11, 2013
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015

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