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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

Notices of Covered Action

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