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 5971, Washington, DC 20549 or by fax at (703) 813-9322.
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| 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 |
| 2013-39 | SEC v. A Chicago Convention Center, LLC, Anshoo R. Sethi, and Intercontinental Regional Center Trust of Chicago, LLC Case number: 13-cv-00982 (United States District Court for the Northern District of Illinois) Case filed: February 6, 2013 Qualifying Judgment/Order: April 19, 2013 |
4/23/2013 | 7/22/2013 |
| 2013-38 | SEC v. Big Apple Consulting USA, Inc., MJMM Investments, LLC, Marc Jablon, Matthew Maguire, Mark C. Kaley, and Keith Jablon Case number: 09-cv-1963 (United States District Court for the Middle District of Florida) Case filed: November 18, 2009 Qualifying Judgment/Order: March 29, 2013 |
4/15/2013 | 7/15/2013 |
| 2013-37 | SEC v. 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis Case number: 12-cv-01289 (United States District Court for the District of Oregon) Case filed: July 17, 2012 Qualifying Judgment/Order: March 19, 2013 |
4/15/2013 | 7/15/2013 |
| 2013-36 | In the Matter of Banco Comercial Português, S.A. Administrative Proceeding File No.: 3-15248 Case filed: March 18, 2013 Qualifying Judgment/Order: March 18, 2013 |
4/15/2013 | 7/15/2013 |
| 2013-35 | SEC v. Verde Retirement LLC, a California limited liability company, Verde FX Nevada, LLC, a California limited liability company, Covenant Capital Partners, a California corporation, and Steven L. Hamilton Case number: 12-cv-0445 (United States District Court for the Southern District of California) Case filed: February 21, 2012 Qualifying Judgment/Order: March 28, 2013 |
4/15/2013 | 7/15/2013 |
| 2013-34 | SEC v. City Capital Corporation, Ephren W. Taylor, II, and Wendy Jean Connor Case number: 12-cv-1249 (United States District Court for the Northern District of Georgia) Case filed: April 12, 2012 Qualifying Judgment/Order: March 7, 2013 |
4/15/2013 | 7/15/2013 |
| 2013-33 | SEC v. Derek A. Nelson, Capital Mountain Holding Corp., Systems XXI, Act I, LLC, and Systems XXI, Act II, LLC Case number: 09-cv-2222 (United States District Court of the Northern District of Texas) Case filed: November 20, 2009 Qualifying Judgment/Order: March 6, 2013 |
4/15/2013 | 7/15/2013 |
| 2013-32 | SEC v. Bridge Premium Finance, LLC (f/k/a Berjac of Colorado, LLC), Michael J. Turnock, and William P. Sullivan, II Case number: 12-cv-2131 (United States District Court for the District of Colorado) Case filed: August 14, 2012 Qualifying Judgment/Order: March 11, 2013 |
4/15/2013 | 7/15/2013 |
| 2013-31 | SEC v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert C. Rice, and Robert S. Anderson Case number: 11-cv-11649 (United States District Court for the District of Massachusetts) Case filed: September 19, 2011 Qualifying Judgment/Order: March 13, 2013 |
4/15/2013 | 7/15/2013 |
| 2013-30 | SEC v. M. Mark McAdams and R. Dane Freeman Case number: 10-cv-00701 (United States District Court for the District of South Carolina) Case filed: March 18, 2010 Qualifying Judgment/Order: March 1, 2013 |
4/15/2013 | 7/15/2013 |
| 2013-29 | SEC v. Oversea Chinese Fund Limited Partnership, Weizhen Tang & Associates, Inc., Weizhen Tang Corp., Winwin Capital Management, LLC, Winwin Capital Limited Partnership, J.O.R. & Associates, LLC, and Weizhen Tang Case number: 09-cv-0614 (United States District Court for the Northern District of Texas) Case filed: April 3, 2009 Qualifying Judgment/Order: October 1, 2012 |
4/15/2013 | 7/15/2013 |
| 2013-28 | SEC v. EFS, LLC, Freedom Fidelity, LLC, James N. Pratt, SP&V, LLC, and Timothy V. Coffin Case number: 06-cv-0793 (United States District Court for the Northern District of Texas) Case filed: May 3, 2006 Qualifying Judgment/Order: October 17, 2012 |
4/15/2013 | 7/15/2013 |
| 2013-27 | SEC v. Merendon Mining (Nevada) Inc, Larry Lee Adair, Milowe Allen Brost a/k/a/ Milow Brost, M.B. Gonne or Phillip K. Collins, Ward K. Capstick,
Bradley Dean Regier, Gary Allen Sorenson a/k/a Don Grey Fox, Martin M. Werner, Syndicated Gold Depository Inc, now known as Bahamas Resources Alliance Ltd., Merendon Mining Corp. Ltd., Institute For Financial Learning Group of Companies, Inc.
Case number: 10-cv-00955 (United States District Court for the Western District of Washington) Case filed: June 10, 2010 Qualifying Judgment/Order: October 30, 2012 |
4/15/2013 | 7/15/2013 |
| 2013-26 | SEC v. Chetan Kapur and Lilaboc, LLC, d/b/a ThinkStrategy Capital Management, LLC. Case number: 11-cv-8094 (United States District Court for the Southern District of New York) Case filed: November 10, 2011 Qualifying Judgment/Order: November 29, 2012 |
4/15/2013 | 7/15/2013 |
| 2013-25 | SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC. Case number: 10-cv-00263 (United States District Court for the District of New Mexico) Case filed: March 23, 2010 Qualifying Judgment/Order: February 14, 2013 |
03/11/2013 | 06/10/2013 |
| 2013-24 | SEC v. Sky Way Global LLC (A/K/A Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S. Kent, Kenneth Bruce Baker (A/K/A Bruce Baker), and Kenneth R. Kramer Case number: 09-cv-00455 (United States District Court for the Middle District of Florida) Case filed: March 13, 2009 Qualifying Judgment/Order: February 22, 2013 |
03/11/2013 | 06/10/2013 |
| 2013-23 | SEC v. Peter Siris, Guerrilla Capital Management, LLC, and Hua Mei 21st Century, LLC Case number: 12-cv-05810 (United States District Court for the Southern District of New York) Case filed: July 30, 2012 Qualifying Judgment/Order: September 18, 2012 |
03/11/2013 | 06/10/2013 |
| 2013-22 | SEC v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed Executrix Case number: 08-cv-01112 (United States District Court for the Middle District of Tennessee) Case filed: November 18, 2008 Qualifying Judgment/Order: February 26, 2013 |
03/11/2013 | 06/10/2013 |
| 2013-21 | In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Administrative Proceeding File No.: 3-15238 Case filed: March 11, 2013 Qualifying Judgment/Order: March 11, 2013 |
03/11/2013 | 06/10/2013 |
| 2013-20 | SEC v. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc. Case number: 10-cv-1720 (United States District Court for the Southern District of New York) Case filed: March 4, 2010 Qualifying Judgment/Order: February 13, 2013 |
03/11/2013 | 06/10/2013 |
| 2013-19 | SEC v. Gilbert G. Lundstrom, James A. Laphen, and Trevor A. Lundstrom Case number: 12-cv-00343 (United States District Court for the District of Nebraska) Case filed: Month DD, YYYY Qualifying Judgment/Order: September 25, 2012 |
03/11/2013 | 06/10/2013 |
| 2013-18 | SEC v. Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC and Richard H. Nickles Case number: 10-cv-00423 (United States District Court for the Central District of California) Case filed: April 7, 2010 Qualifying Judgment/Order: September 24, 2012 |
03/11/2013 | 06/10/2013 |
| 2013-17 | In the Matter of Focus Point Solutions, Inc., The H Group, Inc., and Christopher Keil Hicks Administrative Proceeding File No.: 3-15011 Case filed: September 6, 2012 Qualifying Judgment/Order: September 6, 2012 |
03/11/2013 | 06/10/2013 |
| 2013-16 | SEC v. Howard Brett Berger Case number: 12-cv-4728 (United States District Court for the Eastern District of New York) Case filed: September 21, 2012 Qualifying Judgment/Order: January 22, 2013 |
03/11/2013 | 06/10/2013 |
"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."