Notices of Covered Action: 2013 Archive
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| 2012-123 | In the Matter of Massachusetts Mutual Life Insurance Company Administrative Proceeding File No.: 3-15095 Case filed: November 15, 2012 Qualifying Judgment/Order: November 15, 2012 |
11/16/2012 | 2/14/2013 |
| 2012-122 | SEC v. Private Equity Management Group, Inc.; Private Equity Management Group, LLC; and Danny Pang Case number: 09-cv-2901 (United States District Court for the Central District of California) Case filed: April 24, 2009 Qualifying Judgment/Order: October 22, 2012 |
11/16/2012 | 2/14/2013 |
| 2012-121 | 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 15, 2004 Qualifying Judgment/Order: October 9, 2012 |
11/16/2012 | 2/14/2013 |
| 2012-120 | SEC v. Jonathan R. Curshen, Michael S. Krome, David C. Ricci, Ronny Morales Salazar, Robert L. Weidenbaum, Ariav "Eric" Weinbaum, and Yitzchak Zigdon a/k/a Izhack Zigdon Case number: 11-cv-20561 (United States District Court for the Southern District of Florida) Case filed: February 18, 2011 Qualifying Judgment/Order: October 9, 2012 |
11/16/2012 | 2/14/2013 |
| 2012-119 | SEC v. East Delta Resources Corp., Victor Sun, David Amsel, and Mayer Amsel Case number: 10-cv-00310 (United States District Court for the Eastern District of New York) Case filed: January 26, 2010 Qualifying Judgment/Order: October 18, 2012 |
11/16/2012 | 2/14/2013 |
| 2012-118 | SEC v. James S. Quay, a/k/a Jim Quay, a/k/a Stephen Quay, a/k/a Stephen Jameson, and Jeffrey A. Quay Case number: 12-cv-3429 (United States District Court for the Northern District of Georgia) Case filed: October 2, 2012 Qualifying Judgment/Order: October 19, 2012 |
11/16/2012 | 2/14/2013 |
| 2012-117 | SEC v.Fabrizio Neves and Jose Luna Case number: 12-cv-23131 (United States District Court for the Southern District of Florida) Case filed: August 29, 2012 Qualifying Judgment/Order: August 31, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-116 | SEC v. Robert L. Buckhannon, Terry D. Rawstern, Dale E. St. Jean, Gregory D. Tindall, Richard D. Mittasch, Christopher T. Paganes, Glenn M. Barikmo, and Imperium Investment Advisors, LLC Case number: 10-cv-02859 (United States District Court for the Middle District of Florida) Case filed: December 21, 2010 Qualifying judgment/order: September 25, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-115 | SEC v. John Scott Clark, Impact Cash, LLC, a Utah Limited Liability Company and Impact Payment Systems, LLC a Nevada Limited Liability Company Case number: 11-cv-0046 (United States District Court for the District of Utah) Case filed: March 25, 2011 Qualifying Judgment/Order: September 6, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-114 | In the Matter of Hold Brothers On-Line Investment Services, LLC, Demostrate, LLC, Trade Alpha Corporate, Ltd, Steven Hold, Robert Vallone, and William Tobias Administrative Proceeding File No.: 3-15046 Case filed: September 25, 2012 Qualifying Judgment/Order: September 24, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-113 | SEC v. ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore Case number: 10-cv-4791 (United States District Court for the Southern District of New York) Case filed: June 21, 2010 Qualifying Judgment/Order: September 6, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-112 | SEC v. Orthofix International N.V Case number: 12-cv-419 (United States District Court for the Eastern District of Texas) Case filed: July 10, 2012 Qualifying Judgment/Order: September 4, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-111 | In the Matter of New York Stock Exchange LLC, and NYSE Euronext Administrative Proceeding File No.: 3-15023 Case filed: September 14, 2012 Qualifying Judgment/Order: September 4, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-110 | SEC v. Blackout Media Corporation, formerly known as First Canadian American Holding Corporation, and Sandy Winick Case number: 09-cv-5454 (United States District Court for the Southern District of New York) Case filed: June 12, 2009 Qualifying Judgment/Order: September 14, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-109 | SEC v. Homeland Safety International, Inc. F/K/A Sniffex, Inc.; Mark B. Lindberg; Petar D. Mihaylov; Yuri P. Markov; Paul B. Johnson; Nicholas V. Klausgaard; and Ilona V. Klausgaard Case number: 08-cv-01197 (United States District Court for the Northern District of Texas) Case filed: July 15, 2010 Qualifying Judgment/Order: September 19, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-108 | SEC v. Neil V. Moody and Christopher D. Moody Case number: 10-cv-0053 (United States District Court for the Middle District of Florida) Case filed: January 11, 2010 Qualifying Judgment/Order: September 7, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-107 | SEC v. Larry Michael Parrish Case number: 11-cv-00558 (United States District Court for the District of Colorado) Case filed: March 7, 2011 Qualifying Judgment/Order: September 25, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-106 | SEC. v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy Case number: 09-cv-2676 (United States District Court for the District of Colorado) Case filed: November 16, 2009 Qualifying Judgment/Order: September 13, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-105 | In the Matter of Advanced Equities, Inc., Dwight O. Badger, and Keith G. Daubenspeck Administrative Proceeding File No.: 3-15048 Case filed: September 18, 2012 Qualifying Judgment/Order: September 18, 2012 |
11/8/2012 | 2/6/2013 |
| 2012-104 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-15048 Case filed: September 27, 2012 Qualifying Judgment/Order: September 27, 2012 |
11/8/2012 | 2/6/2013 |
"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."