Notices of Covered Action: 2012 Archive
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| 2012-103 | SEC v. Oracle Corporation Case number: 12-cv-4310 (United States District Court for the Northern District of California) Case filed: August 16, 2012 Qualifying Judgment/Order: August 27, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-102 | SEC v. Irwin Boock, Stanton B. J. DeFreitas, Nicolette D. Loisel, Roger L. Shoss, and Jason C. Wong Case number: 09-cv-8261 (United States District Court for the Southern District of New York) Case filed: September 29, 2009 Qualifying Judgment/Order: August 2, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-101 | SEC. v. Wyeth LLC Case number: 12-cv-1304 (United States District Court for the District of Columbia) Case filed: August 7, 2012 Qualifying Judgment/Order: August 29, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-100 | SEC v. Pfizer Inc. Case number: 12-cv-1303 (United States District Court for the District of Columbia) Case filed: August 7, 2012 Qualifying Judgment/Order: August 28, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-99 | SEC. v Nancy Shao Wen Chu, Elizabeth Tsang, aka Yuen Yee Tsang, and Eric Jon Strasser Case number: 11-cv-09859 (United States District Court for the Central District of California) Case filed: November 29, 2011 Qualifying Judgment/Order: August 8, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-98 | In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Well Fargo Securities, LLC and Shawn Patrick McMurtry Administrative Proceeding File No.: 3-14982 Case filed: August 14, 2012 Qualifying Judgment/Order: August 14, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-97 | SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC Case number: 11-cv-0056 (United States District Court for the Northern District of Georgia) Case filed: January 6, 2011 Qualifying Judgment/Order: August 28, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-96 | In the Matter of Jeffrey A. Wolfson, Robert A. Wolfson, and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC) Administrative Proceeding File No.: 3-14726 Case filed: July 17, 2012 Qualifying Judgment/Order: July 17, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-95 | SEC v. Titan Wealth Management, LLC, Point West Partners, LLC, and Thomas Lester Irby II Case number: 09-cv-00418 (United States District Court for the Eastern District of Texas) Case filed: August 25, 2009 Qualifying Judgment/Order: July 6, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-94 | SEC v. Omar Ali Rizvi, Bellwether Venture Capital Fund I, Inc., and Strategy Partners, LLC Case number: 10-cv-1632 (United States for the Eastern District of Texas) Case filed: July 31, 2009 Qualifying Judgment/Order: July 24, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-93 | SEC v. Mizuho Securities USA Inc. Case number: 12-cv-5550 (United States District Court for the Southern District of New York) Case filed: July 18, 2012 Qualifying Judgment/Order: July 26, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-92 | SEC v. Jeffrey Alan Lowrance and First Capital Savings & Loan, Ltd. Case number: 11-cv-3451 (United States District Court for the Northern District of California) Case filed: July 14, 2011 Qualifying Judgment/Order: July 19, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-91 | In the Matter of Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA Administrative Proceeding File No.: 3-14958 Case filed: July 19, 2012 Qualifying Judgment/Order: July 19, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-90 | SEC v. William K. Harrison and Eddie W. Sawyers Case number: 10-cv-634 (United States District Court for the Western District of North Carolina) Case filed: December 15, 2010 Qualifying Judgment/Order: July 24, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-89 | SEC v. Harbert Management Corporation, HMC-New York Inc., and HMC Investors, LLC Case number: 12-cv-5029 (United States District Court for the Southern District of New York) Case filed: June 27, 2012 Qualifying Judgment/Order: July 3, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-88 | SEC v. Falconstor Software, Inc. Case number: 12-cv-3200 (United States District Court for the Eastern District of New York) Case filed: June 27, 2012 Qualifying Judgment/Order: July 9, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-87 | SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates Inc. Case number: 09-cv-7594 (United States District Court for the Southern District of New York) Case filed: September 1, 2009 Qualifying Judgment/Order: July 26, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-86 | In the Matter of Delaware Asset Advisers and Wei (Alex) Wei Administrative Proceeding File No.: 3-14952 Case filed: July 18, 2012 Qualifying Judgment/Order: July 18, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-85 | SEC v. Manuel M. Bello, Ayuda Equity Funding LLC, and Amerifund Capital Holdings, LLC Case number: 12-cv-3794 (United States District Court for the District of New Jersey) Case filed: June 25, 2012 Qualifying Judgment/Order: July 5, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-84 | SEC v. Armor Holdings, Inc. Case number: 11-cv-1271 (United States District Court for the District of Columbia) Case filed: July 13, 2011 Qualifying Judgment/Order: July 23, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-83 | SEC v. AMMB Consultant Sendirian Berhad Case number: 12-cv-1052 (United States District Court for the District of Columbia) Case filed: June 26, 2012 Qualifying Judgment/Order: July 13, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-82 | SEC v. Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori Case number: 12-cv-3960 (United States District Court for the Central District of California) Case filed: May 8, 2012 Qualifying Judgment/Order: June 1, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-81 | In the Matter of Harbinger Capital Partners, LLC Administrative Proceeding File No.: 3-14928 Case filed: June 27, 2012 Qualifying Judgment/Order: June 27, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-80 | In the Matter of Howard L. Blum Administrative Proceeding File No.: 3-14924 Case filed: June 21, 2012 Qualifying Judgment/Order: June 21, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-79 | SEC v. Ralph R. Cioffi and Matthew M. Tannin Case number: 08-cv-2457 (United States District Court for the Eastern District of New York) Case filed: June 19, 2008 Qualifying Judgment/Order: June 18, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-78 | SEC v. Kevan D. Acord, Philip C. Growney, Alberto J. Perez, Jose G. Perez, Sebastian De La Maza, and Thomas L. Borell Case number: 09-cv-21977 (United States District Court for the Southern District of Florida) Case filed: July 15, 2009 Qualifying Judgment/Order: June 19, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-77 | SEC v. Spyglass Equity Systems, Inc., Richard L. Carter, Preston L. Sjoblom, Tyson D. Elliott, Flatiron Capital Partners, LLC, Flatiron Systems, LLC, and David E. Howard II Case number: 11-cv-02371 (United States District Court for the Central District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: April 5, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-76 | In the Matter of OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc. Administrative Proceeding File No.: 3-14909 Case filed: June 6, 2012 Qualifying Judgment/Order: June 6, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-75 | SEC v. Phillip R. Trujillo, Wealth Management Resources, LLC, PTV 22, LLC, PTV 33, LLC, and PTV 44, LLC. Case number: 09-cv-00403 (United States District Court for the District of Colorado) Case filed: February 26, 2009 Qualifying Judgment/Order: June 21, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-74 | SEC v. Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas Case number: 11-cv-2251 (United States District Court for the District of Kansas) Case filed: May 4, 2011 Qualifying Judgment/Order: May 22, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-73 | SEC v. Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett Case number: 09-cv-00786 (United States District Court for the District of Utah) Case filed: September 2, 2009 Qualifying Judgment/Order: June 15, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-72 | SEC v. Phillip W. Offill, Jr., David B. Stocker, Curtis-Case, Inc., Shane A. Mullholand, Ryan M. Reynolds, Timothy T. Page, Steven P. Fischer, RSMR Capital Group, Inc., Dissemination Services, L.L.C., Page Properties, L.P., and ATN Enterprises, L.L.C. Case number: 07-cv-1643 (United States District Court for the Northern District of Texas) Case filed: September 26, 2007 Qualifying Judgment/Order: April 10, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-71 | SEC v. Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group Case number: 11-cv-4741 (United States District Court for the Northern District of California) Case filed: September 26, 2011 Qualifying Judgment/Order: May 16, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-70 | SEC v. Robert Glenn Bard and Vision Specialist Group, LLC Case number: 09-cv-1473 (United States District Court for the Middle District of Pennsylvania) Case filed: July 30, 2009 Qualifying Judgment/Order: May 23, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-69 | SEC v. H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC Case number: 11-cv-5448 (United States District Court for the Southern District of New York) Case filed: August 8, 2011 (amended complaint filed October 25, 2011) Qualifying Judgment/Order: June 1, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-68 | SEC v. Strategic Management & Opportunity Corporation; Robert J. Pratt, and Jeffrey A. Brommer Case number: 08-cv-00197 (United States District Court for the Western District of Washington) Case filed: February 6, 2008 Qualifying Judgment/Order: May 25, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-67 | In the Matter of Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino Administrative Proceeding File No.: 3-14893 Case filed: May 29, 2012 Qualifying Judgment/Order: May 29, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-66 | SEC v. James Roland Dial, Evan Nicolas Jarvis, and Alexander W. Ellerman Case number: 12-cv-01654 (United States District Court for the Southern District of Texas) Case filed: June 1, 2012 Qualifying Judgment/Order: June 5, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-65 | SEC v. James Clements and Zeina Smidi Case number: 11-cv-60673 (United States District Court for the Southern District of Florida) Case filed: March 30, 2011 Qualifying Judgment/Order: May 21, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-64 | SEC v. Wealth Management LLC; James Putman; and Simone Fevola Case number: 09-cv-506 (United States District Court for the Eastern District of Wisconsin) Case filed: May 20, 2009 Qualifying Judgment/Order: May 21, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-63 | SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc. Case number: 04-cv-7377 (United States District Court for the Northern District of Illinois) Case filed: November 16, 2004 Qualifying Judgment/Order: April 24, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-62 | SEC v. New Futures Trading International Corporation and Henry Roche Case number: 11-cv-00532 (United States District Court for the District of New Hampshire) Case filed: November 16, 2011 Qualifying Judgment/Order: May 25, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-61 | SEC v. U.S. Sustainable Energy Corp., John H. Rivera Case number: 08-cv-245 (United States District Court for the Southern District of Mississippi) Case filed: July 17, 2008 Qualifying Judgment/Order: May 21, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-60 | SEC v. Paul R. Beckwith Case number: 10-cv-00162 (United States District Court for the District of Utah) Case filed: September 27, 2010 Qualifying Judgment/Order: May 9, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-59 | SEC v. Matthew H. Kluger and Garrett D. Bauer Case number: 11-cv-01936 (United States District Court for the District of New Jersey) Case filed: April 6, 2011 Qualifying Judgment/Order: May 2, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-58 | In the Matter of Gualario & Co., LLC and Ronald Gualario Administrative Proceeding File No.: 3-14340 Case filed: April 8, 2011 Qualifying Judgment/Order: February 14, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-57 | SEC v. Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla Case number: 00-cv-07898 (United States District Court for the Southern District of New York) Case filed: October 17, 2000 Qualifying Judgment/Order: April 5, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-56 | SEC v. Francois E. Durmaz (aka Mahmut E. Durmaz), Robert C. Pribilski, USA Retirement Management Services (aka USA Financial Management Services, Inc.) Case number: 10-cv-01689 (United States District Court for the Central District of California) Case filed: March 9, 2010 Qualifying Judgment/Order: April 12, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-55 | SEC v. Marco Glisson Case number: 09-cv-00104 (United States District Court for the District of Nevada) Case filed: January 15, 2009 Qualifying Judgment/Order: April 11, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-54 | In the Matter of Martin Currie Inc., and Martin Currie Investment Management Ltd. Administrative Proceeding File No.: 3-14873 Case filed: May 10, 2012 Qualifying Judgment/Order: May 10, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-53 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-14845 Case filed: April 12, 2012 Qualifying Judgment/Order: April 12, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-52 | SEC. v. Garth Ronald Peterson Case number: 12-cv-02033 (United States District Court for the Eastern District of New York) Case filed: April 25, 2012 Qualifying Judgment/Order: May 3, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-51 | SEC v. Usee, Inc., Terry E. Wiese, and Scott A. Wiese Case number: 12-cv-01325 (United States District Court for the Northern District of Texas) Case filed: April 30, 2012 Qualifying Judgment/Order: May 7, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-50 | SEC v. Halek Energy, LLC, CBO Energy, Inc., Jason A. Halek, and Christopher Chad Wilbourn Case number: 10-cv-01719 (United States District Court for the Northern District of Texas) Case filed: August 31, 2010 Qualifying Judgment/Order: March 29, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-49 | SEC v. Option One Mortgage Corporation n/k/a Sand Canyon Corporation Case number: 12-cv-00633 (United States District Court for the Central District of California) Case filed: April 24, 2012 Qualifying Judgment/Order: May 2, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-48 | SEC v. Kenneth A. Dachman, Scott A. Wolf, and Stone Lion Management, Inc. Case number: 12-cv-00821 (United States District Court for the Northern District of Illinois) Case filed: February 6, 2012 Qualifying Judgment/Order: April 4, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-47 | In the Matter of GMB Capital Management LLC n/k/a Clearstream Investments LLC, GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran Administrative Proceeding File No.: 3-14854 Case filed: April 20, 2012 Qualifying Judgment/Order: April 20, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-46 | In the Matter of UBS Financial Services Inc. of Puerto Rico Administrative Proceeding File No.: 3-14863 Case filed: May 1, 2012 Qualifying Judgment/Order: May 1, 2012 |
06/04/2012 | 09/04/2012 |
| 2012-45 | SEC v. United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony "Tony" J. Oliva Case number: 10-cv-00568 (United States District Court for the District of New Mexico) Case filed: June 14, 2010 Qualifying Judgment/Order: March 2, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-44 | SEC v. Petroleum Unlimited LLC, Petroleum Unlimited II LLC, Roger A. Kimmel, Jr., Harry Nyce, Michel-Jean Geraud, Robert Rossi, Joseph Valko, and Morgan Kimmel, n/k/a Morgan Petitti Case number: 11-cv-80038 (United States District Court for the Southern District of Florida) Case filed: January 12, 2011 Qualifying Judgment/Order: March 19, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-43 | SEC v. Pentagon Capital Management PLC and Lewis Chester Case number: 08-cv-03324 (United States District Court of the Southern District of New York) Case filed: April 3, 2008 Qualifying Judgment/Order: March 28, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-42 | SEC v. Raymond P. Morris; E & R Holdings, LLC; Wise Financial Holdings, LLC; Momentum Leasing, LLC; James L. Haley; Cornerstone Capital Fund, LLC; Vantage Point Capital, LLC; Jay J. Linford; Freedom Group, LLC; and Luc D. Nguyen Case number: 11-cv-00021 (United States District Court for the District of Utah) Case filed: January 6, 2011 Qualifying Judgment/Order: March 21, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-41 | SEC v. Timothy J. McGee, Michael W. Zirinsky, Robert L. Zirinsky, Paulo Lam, a/k/a Paul Lam, and Marianna Sze Wan Ho Case number: 12-cv-01296 (United States District Court for the Eastern District of Pennsylvania) Case filed: March 13, 2012 Qualifying Judgment/Order: March 16, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-40 | SEC v. Neal R. Greenberg Case number: 11-cv-00313 (United States District Court for the District of Colorado) Case filed: February 7, 2011 Qualifying Judgment/Order: March 13, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-39 | SEC v. Matthew J. Gagnon Case number: 10-cv-11891 (United States District Court for the Eastern District of Michigan) Case filed: May 11, 2010 Qualifying Judgment/Order: March 22, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-38 | SEC v. Brenda A. Eschbach Case number: 12-cv-00244 (United States District Court for the Central District of California) Case filed: February 14, 2012 Qualifying Judgment/Order: March 16, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-37 | SEC v. Laurence M. Brown a/k/a Lawrence M. Brown and Ronald J. Mangini Case number: 10-cv-05564 (United States District Court for the Southern District of New York) Case filed: July 22, 2010 Qualifying Judgment/Order: March 22, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-36 | SEC v. Biomet, Inc. Case number: 12-cv-00454 (United States District Court for the District of Columbia) Case filed: March 26, 2012 Qualifying Judgment/Order: March 27, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-35 | SEC v. Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P. Case number: 12-cv-00409 (United States District Court for the Southern District of New York) Case filed: January 18, 2012 Qualifying Judgment/Order: April 6, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-34 | SEC v. mUrgent Corporation, Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski Case number: 11-cv-00626 (United States District Court for the Central District of California) Case filed: April 21, 2011 Qualifying Judgment/Order: March 1, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-33 | In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh And Mark W. Wells Administrative Proceeding File No.: 3-13532 Case filed: June 30, 2009 Qualifying Judgment/Order: February 27, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-32 | SEC v. Nicos Achilleas Stephanou, Ramesh Chakrapania, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis, and Joseph Contorinis Case number: 09-cv-1043 (United States District Court for the Southern District of New York) Case filed: February 5, 2009 Qualifying Judgment/Order: February 29, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-31 | SEC v. Robert C. Butler Case number: 11-cv-03792 (United States District Court for the Central District of California) Case filed: May 3, 2011 Qualifying Judgment/Order: March 6, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-30 | SEC v. Smith & Nephew plc Case number: 12-cv-00187 (United States District Court for the District of Columbia) Case filed: February 6, 2012 Qualifying Judgment/Order: March 6, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-29 | SEC v. Magnum d'Or Resources, Inc., Joseph J. Glusic, Shannon Allen, Dwight Flatt, and David Della Sciucca, Jr. Case number: 11-cv-60920 (United States District Court for the Southern District of Florida) Case filed: April 29, 2011 Qualifying Judgment/Order: February 13, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-28 | SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Kozlowski, and Frank T. Noyes Case number: 05-cv-00480 (United States District Court for the District of Colorado) Case filed: March 15, 2005 Qualifying Judgment/Order: February 3, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-27 | SEC v. Andrey C. Hicks and Locust Offshore Management, LLC Case number: 11-cv-11888 (United States District Court for the District of Massachusetts) Case filed: October 26, 2011 Qualifying Judgment/Order: March 20, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-26 | SEC v. Christopher T. Vulliez and Amphor Advisors, LLC Case number: 11-cv-03458 (United States District Court for the Southern District of New York) Case filed: May 20, 2011 Qualifying Judgment/Order: January 30, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-25 | SEC v. Symbol Technologies, Inc., Tomo Razmilovic, Kenneth Jaeggi, Leonard Goldner, Brian Burke, Michael Degennaro, Frank Borghese, Christopher Desantis, James Heuschneider, Gregory Mortenson, James Dean, and Robert Donlon Case number: 04-cv-02276 (United States District Court for the Eastern District of New York) Case filed: June 3, 2004 Qualifying Judgment/Order: January 24, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-24 | SEC v. Daniel E. Ruettiger, Rocco Brandonisio, Stephen Decesare, Pawel P. Dynkowski, Kevin S. Kaplan, Gregg R. Mulholland, Mehmet Mustafoglu, Joseph A. Padilla, Angelo R. Panetta, Kevin J. Quinn, Andrea M. Ritchie, Chad P. Smanjak, and Gary J. Yocom Case number: 11-cv-02011 (United States District Court for the District of Nevada) Case filed: December 16, 2011 Qualifying Judgment/Order: January 19, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-23 | SEC. v. Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC Case number: 11-cv-01143 (United States District Court for the Central District of California) Case filed: February 7, 2011 Qualifying Judgment/Order: January 25, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-22 | SEC v. Magyar Telekom, PLC and Deutsche Telekom, AG Case number: 11-cv-09646 (United States District Court for the Southern District of New York) Case filed: December 29, 2011 Qualifying Judgment/Order: January 3, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-21 | SEC v. James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt Case number: 11-cv-01712 (United States District Court for the District of Arizona) Case filed: August 30, 2011 Qualifying Judgment/Order: January 12, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-20 | SEC v. GE Funding Capital Market Services, Inc. Case number: 11-cv-07465 (United States District Court for the District of New Jersey) Case filed: December 23, 2011 Qualifying Judgment/Order: January 23, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-19 | SEC v. Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation Case number: 11-cv-02976 (United States District Court for the Central District of California) Case filed: April 8, 2011 Qualifying Judgment/Order: January 25, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-18 | SEC v. CytoCore, Inc., Daniel J. Burns, and Robert F. McCullough, Jr. Case number: 11-cv-00246 (United States District Court for the Northern District of Illinois) Case filed: January 13, 2011 Qualifying Judgment/Order: January 31, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-17 | SEC v. Carlo G. Chiaese and C.G.C. Advisors, LLC Case number: 10-cv-05110 (United States District Court for the District of New Jersey) Case filed: October 5, 2010 Qualifying Judgment/Order: January 19, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-16 | SEC v. Christopher Love Blackwell, AV Bar Reg, Inc., and Millers A Game, LLC Case number: 11-cv-00234 (United States District Court for the Northern District of Texas) Case filed: February 7, 2011 Qualifying Judgment/Order: January 4, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-15 | SEC v. Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser Case number: 11-cv-01564 (United States District Court for the Central District of California) Case filed: October 11, 2011 Qualifying Judgment/Order: February 3, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-14 | SEC v. Eric J. Aronson; Vincent J. Buonauro, Jr.; Robert S. Kondratick; Fredric H. Aaron; PermaPave Industries, LLC; PermaPave USA Corp.; PermaPave Distributions, Inc.; Permeable Solutions, Inc.; Verigreen, LLC; and Interlink-US-Network, Ltd. Case number: 11-cv-07033 (United States District Court for the Southern District of New York) Case filed: October 6, 2011 Qualifying Judgment/Order: January 19, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-13 | SEC v. Wachovia Bank, N.A. (n/k/a Wells Fargo Bank, N.A.) Case number: 11-cv-07135 (United States District Court for the District of New Jersey) Case filed: December 8, 2011 Qualifying Judgment/Order: December 9, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-12 | In the Matter of Gary S. Bell Administrative Proceeding File No.: 3-14660 Case filed: December 13, 2011 Qualifying Judgment/Order: December 13, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-11 | SEC v. Mark Anthony Longoria, Daniel L. Devore, James Fleishman Bob Nguyen, Winifred Jiau, Walter Shimoon, Samir Barai, Jason Pflaum, Bakai Capital Management, Noah Freeman, and Donald Longueuil Case number: 11-cv-00753 (United States District Court for the Southern District of New York) Case filed: February 3, 2011 Qualifying Judgment/Order: December 23, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-10 | SEC v. Alfred S. Teo, Sr., Teren Seto Handelman, MAAA Trust FBO Mark, Andrew, Alan, and Alfred Teo, Jr., John D. Reier, Charles D. Fortune, Jerrold J. Johnston, Mark J. Lauzon, Philip Sacks, Mitchell L. Sacks, Richard A. Herron, Lawrence L. Rosen, and David M. Ross Case number: 04-cv-01815 (United States District Court for the District of New Jersey) Case filed: April 22, 2004 Qualifying Judgment/Order: December 20, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-9 | In the Matter of Investment Placement Group and Adolfo Gonzalez-Rubio Administrative Proceeding File No.: 3-14677 Case filed: December 23, 2011 Qualifying Judgment/Order: December 23, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-8 | In the Matter of Touradji Capital Management, L.P., Respondent Administrative Proceeding File No.: 3-14658 Case filed: December 9, 2011 Qualifying Judgment/Order: December 9, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-7 | SEC v. Myron Weiner Case number: 11-cv-05731 (United States District Court for the Eastern District of New York Case filed: November 22, 2011 Qualifying Judgment/Order: December 19, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-6 | SEC v. Advanced Optics Electronics, Inc.; Leslie S. Robins; JDC Swan, Inc., and Jason Claffey Case number: 11-cv-01321 (United States District Court for the Southern District of New York) Case filed: February 25, 2011 Qualifying Judgment/Order: December 19, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-5 | SEC v. David Ronald Allen; William F. Burbank IV; Alex Dowlatshahi; Ilya Drapkin; Christopher Mills; Gerald Patera; Robert Wilson; Associates Capital Leasing Joint Venture; Associates Funding Group, Inc.; Capital Bankers Group, Ltd.; China Voice Holding Corp.; D-Cap Associates Joint Venture; Development Capital Associates Joint Venture; Integrity Driven Network Corp.; Lucrative Enterprises, Corp.; MG TK Corp.; Silver Summit Holdings, LLC; Sleeping Bear, LLC; Strategic Capital; Synergetic Solutions, LLC; Third Securities Corp., and Townhome Communities Corp. Case number: 11-cv-00882 (United States District Court for the Northern District of Texas) Case filed: April 28, 2011 Qualifying Judgment/Order: December 2, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-4 | SEC v. Aon Corporation Case number: 11-cv-02256 (United States District Court for the District of Columbia) Case filed: December 20, 2011 Qualifying Judgment/Order: December 22, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-3 | SEC v. Richard Dalton and Universal Consulting Resources LLC Case number: 10-cv-02794 (United States District Court for the District of Colorado) Case filed: November 16, 2010 Qualifying Judgment/Order: December 7, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-2 | SEC v. Market Street Advisors; Shawn R. Merriman; LLC-1; LLC-2; Marque LLC-3, and LLC-4 Case number: 09-cv-00786 (United States District Court for the District of Colorado) Case filed: April 7, 2009 Qualifying Judgment/Order: December 23, 2011 |
02/01/2012 | 05/01/2012 |
| 2012-1 | SEC v. LandOak Securities, LLC; Patrick L. Martin; and Michael A. Atkins Case number: 08-cv-00209 (United States District Court for the Eastern District of Tennessee) Case filed: May 22, 2008 Qualifying Judgment/Order: December 1, 2011 |
02/01/2012 | 05/01/2012 |
"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."