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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
2015-36 SEC v. Life Partners Holdings, Inc., Brian Pardo, R. Scott Peden, and David M. Martin
Case Number: 12-cv-00033 (United States District Court for the Western District of Texas)
Case Filed: January 3, 2012
Qualifying Judgment/Order: January 16, 2015
4/1/15 6/30/15
2015-35 SEC v. Lawrence "Lee" Loomis, Loomis Wealth Solutions, LLC, John Hagener, and Lismar Financial Services, LLC
Case Number: 10-cv-00458 (United States District Court for the Eastern District of California)
Case Filed: February 23, 2010
Qualifying Judgment/Order: January 21, 2015
3/31/15 6/29/15
2015-34 SEC v. Steven Scoppetuolo, Robert Tocci, Sarang Ahuja, Richard White and Eric Gordon
Case Number: 10-cv-20475 (United States District Court for the Southern District of Florida)
Case Filed: February 16, 2010
Qualifying Judgment/Order: March 27, 2013
3/31/15 6/29/15
2015-33 SEC v. Robert A Walker, Dennis L. DeSender, and DLD Financial, LTD
Case Number: 11-cv-03655 (United States District Court for the District of Minnesota)
Case Filed: December 21, 2011
Qualifying Judgment/Order: January 30, 2015
3/31/15 6/29/15
2015-32 SEC vs. Mark F. Spangler and The Spangler Group, Inc.
Case Number: 12-cv-00856 (United States District Court for the Western District of Washington)
Case Filed: May 17, 2012
Qualifying Judgment/Order: November 13, 2014
3/31/15 6/29/15
2015-31 SEC v. John Gray, Christian Keller, Kyle Martin, and Aaron Shepard
Case Number: 15-cv-00551 (United States District Court for the Northern District of California)
Case Filed: February 5, 2015
Qualifying Judgment/Order: March 2, 2015
3/31/15 6/29/15
2015-30 SEC v. World Capital Market Inc.; WCM777 Inc.; WCM777 Ltd. d/b/a WCM777 Enterprises, Inc.; and Ming Xu a/k/a Phil Ming Xu
Case Number: 14-cv-02334 (United States District Court for the Central District of California)
Case Filed: March 27, 2014
Qualifying Judgment/Order: February 20, 2015
3/31/15 6/29/15
2015-29 SEC v. China Sky One Medical, Inc., and Yan-Qing Liu
Case Number: 12-cv-07543 (United States District Court for the Central District of California)
Case Filed: September 4, 2012
Qualifying Judgment/Order: March 4, 2015
3/31/15 6/29/15
2015-28 In the Matter of Sandra Dyche
Administrative Proceeding File No.: 3-16398
Case Filed: February 20, 2015
Qualifying Judgment/Order: February 20, 2015
3/31/15 6/29/15
2015-27 SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc.
Case Number: 13-cv-01658 (United States District Court for the District of Nevada)
Case Filed: September 11, 2013
Qualifying Judgment/Order: January 27, 2015
3/31/15 6/29/15
2015-26 In the Matter of The Goodyear Tire & Rubber Company
Administrative Proceeding File No.: 3-16400
Case Filed: February 24, 2015
Qualifying Judgment/Order: February 24, 2015
3/31/15 6/29/15
2015-25 In the Matter of BDO China Dahua CPA Co., Ltd.; Deloitte Touche Tohmatsu Certified Public Accountants Ltd.; Ernst & Young Hua Ming LLP; KPMG Huazhen (Special General Partnership); PricewaterhouseCoopers Zhong Tian CPAs Limited
Administrative Proceeding File Nos.: 3-14872, 3-15116
Case Filed: February 6, 2015
Qualifying Judgment/Order: February 6, 2015
3/31/15 6/29/15
2015-24 SEC v. Lee Chi Ling
Case Number: 13-cv-05364 (United States District Court for the Eastern District of New York)
Case Filed: September 26, 2013
Qualifying Judgment/Order: February 11, 2015
3/31/15 6/29/15
2015-23 SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner
Case Number: 15-cv-01142 (United States District Court for the Northern District of Illinois)
Case Filed: February 5, 2015
Qualifying Judgment/Order: February 18, 2015
3/31/15 6/29/15
2015-22 In the Matter of VCAP Securities, LLC, and Brett Thomas Graham
Administrative Proceeding File No.: 3-16389
Case filed: February 19, 2015
Qualifying Judgment/Order: February 19, 2015
2/27/2015 5/28/2015
2015-21 SEC v. GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, and John A. Geringer
Case number: 12-cv-02663 (United States District Court for the Northern District of California)
Case filed: May 24, 2012
Qualifying Judgment/Order: February 3, 2015
2/27/2015 5/28/2015
2015-20 SEC v. Chan Tze Ngon and Jiang Xiangyuan
Case number: 13-cv-06828 (United States District Court for the Southern District of New York)
Case filed: September 26, 2013
Qualifying Judgment/Order: January 16, 2015
2/27/2015 5/28/2015
2015-19 In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-16338
Case filed: January 15, 2015
Qualifying Judgment/Order: January 15, 2015
2/27/2015 5/28/2015
2015-18 SEC v. Wwebnet, Inc. and Robert L. Kelly
Case number: 12-cv-06581 (United States District Court for the Southern District of New York)
Case filed: August 28, 2012
Qualifying Judgment/Order: January 16, 2015
2/27/2015 5/28/2015
2015-17 SEC v. Magdalena Tavella, Andres Horacio Ficicchia, Gonzalo Garcia Blaya, Lucia Mariana Hernando, Cecilia de Lorenzo, Adriana Rosa Bagattin, Daniella Patricia Goldman, Mariano Pablo Ferrari, Mariano Graciarena, and Fernando Loureyro
Case number: 13-cv-04609 (United States District Court for the Southern District of New York)
Case filed: July 3, 2013
Qualifying Judgment/Order: January 9, 2015
2/27/2015 5/28/2015
2015-16 In the Matter of Oppenheimer & Co. Inc.
Administrative Proceeding File No.: 3-16361
Case filed: January 27, 2015
Qualifying Judgment/Order: January 27, 2015
2/27/2015 5/28/2015
2015-15 SEC v. Avon Products, Inc.
Case number: 14-cv-09956 (United States District Court for the Southern District of New York)
Case filed: December 17, 2014
Qualifying Judgment/Order: January 8, 2015
2/27/2015 5/28/2015
2015-14 SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter D. Kirschner, and Stuart M. Rubens
Case number: 13-cv-62100 (United States District Court for the Southern District of Florida)
Case filed: September 26, 2013
Qualifying Judgment/Order: December 9, 2014
2/27/2015 5/28/2015
2015-13 In the Matter of International Capital Group, LLC, Brian R. Nord, Larry Russell, Jr., and Todd J. Bergeron
Administrative Proceeding File No.: 3-16366
Case filed: January 29, 2015
Qualifying Judgment/Order: January 29, 2015
2/27/2015 5/28/2015
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

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