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Notices of Covered Action: 2013 Archive

Notice No. Action Notice Date Claim Due Date
2013-121 SEC v. The NIR Group, LLC; Corey Ribotsky; and Daryl Dworkin
Case number: 11-cv-04723 (United States District Court for the Eastern District of New York)
Case filed: September 28, 2011
Qualifying judgment/order: November 13, 2013
12/20/2013 03/20/2014
2013-120 SEC v. Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc., and Kaleidoscope Real Estate, Inc.
Case number: 12-cv-04257 (United States District Court for the Central District of California)
Case filed: May 16, 2012
Qualifying judgment/order: November 1, 2013
12/20/2013 03/20/2014
2013-119 SEC v. Senen Pousa and Investment Intelligence Corporation PTY LLC
Case number: 12-cv-00863 (United States District Court for the Western District of Texas)
Case filed: September 18, 2012
Qualifying judgment/order: December 4, 2013
12/20/2013 03/20/2014
2013-118 SEC v. Imperiali, Inc., Daniel Imperato, Charles Fiscina, and Lawrence A. O'Donnell
Case number: 12-cv-80021 (United States District Court for the Southern District of Florida)
Case filed: January 9, 2012
Qualifying judgment/order: November 8, 2013
12/20/2013 03/20/2014
2013-117 SEC v. Steven Palladino and Viking Financial Group, Inc.
Case number: 13-cv-11024 (United States District Court for the District of Massachusetts)
Case filed: April 30, 2013
Qualifying judgment/order: November 18, 2013
12/20/2013 03/20/2014
2013-116 SEC v. RBS Securities Inc.
Case number: 13-cv-01643 (United States District Court for the District of Connecticut)
Case filed: November 7, 2013
Qualifying judgment/order: November 25, 2013
12/20/2013 03/20/2014
2013-115 SEC v. Robert L. Duncan
Case number: 10-cv-03051 (United States District Court for the Northern District of Georgia)
Case filed: September 23, 2010
Qualifying judgment/order: December 3, 2013
12/20/2013 03/20/2014
2013-114 In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC
Administrative Proceeding File No.: 3-15654
Case filed: December 18, 2013
Qualifying judgment/order: December 18, 2013
In the Matter of Jonathan Samuel Daspin
Administrative Proceeding File No.: 3-15652
Case filed: December 18, 2013
Qualifying judgment/order: December 18, 2013
In the Matter of Thomas Lekargeren
Administrative Proceeding File No.: 3-15653
Case filed: December 18, 2013
Qualifying judgment/order: December 18, 2013
12/20/2013 03/20/2014
2013-113 In the Matter of Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
Administrative Proceeding File No.: 3-15211
Case filed: November 20, 2013
Qualifying judgment/order: November 20, 2013
12/20/2013 03/20/2014
2013-112 In the Matter of Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation
Administrative Proceeding File No.: 3-15621
Case filed: November 25, 2013
Qualifying judgment/order: November 25, 2013
12/20/2013 03/20/2014
2013-111 In the Matter of Fifth Third Bancorp and Daniel Poston
Administrative Proceeding File No.: 3-15635
Case filed: December 4, 2013
Qualifying Judgment/Order: December 4, 2013
12/5/2013 03/5/2014
2013-110 SEC v. Diebold, Inc.
Case number: 13-cv-01609 (United States District Court for the District of Columbia)
Case filed: October 22, 2013
Qualifying judgment/order: November 5, 2013
11/21/2013 02/19/2014
2013-109 SEC v. Berton M. Hochfeld and Hochfeld Capital Management, L.L.C.
Case number: 12-cv-08202 (United States District Court for the Southern District of New York)
Case filed: November 9, 2012
Qualifying judgment/order: October 2, 2013
11/21/2013 02/19/2014
2013-108 SEC v. Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation
Case number: 12-cv-8987 (United States District Court for the Southern District of New York)
Case filed: December 11, 2012
Qualifying judgment/order: October 15, 2013
11/21/2013 02/19/2014
2013-107 SEC v. Edward T. Stein
Case number: 09-cv-3125 (United States District Court for the Southern District of New York)
Case filed: April 1, 2009
Qualifying judgment/order: November 6, 2013
11/21/2013 02/19/2014
2013-106 SEC v. Small Business Capital Corp., Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC.
Case number: 12-cv-3237 (United States District Court for the Northern District of California)
Case filed: June 21, 2012
Qualifying judgment/order: November 6, 2013
11/21/2013 02/19/2014
2013-105 SEC v. China MediaExpress Holdings, Inc., and Zheng Cheng
Case number: 13-cv-00927 (United States District Court for the District of Columbia)
Case filed: June 20, 2013
Qualifying judgment/order: October 3, 2013
11/21/2013 02/19/2014
2013-104 In the Matter of Stryker Corporation
Administrative Proceeding File No.: 3-15587
Case filed: October 24, 2013
Qualifying judgment/order:  October 24, 2013  
11/21/2013 02/19/2014
2013-103 In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern
Administrative Proceeding File No.: 3-14853
Case filed:  April 19, 2012
Qualifying judgment/order:  October 22, 2013
11/21/2013 02/19/2014
2013-102 In the Matter of Manarin Investment Counsel, Ltd., Manarin Securities Corp., and Roland R. Manarin
Administrative Proceeding File No.: 3- 15549
Case filed:October 2, 2013
Qualifying Judgment/Order: October 2, 2013
11/21/2013 02/19/2014
2013-101 SEC v. Edmund E. Wilson and Walter L. Ross
Case number: 13-cv-00188 (United States District Court for the District of Utah)
Case filed: March 14, 2013
Qualifying Judgment/Order: September 6, 2013
10/22/2013 01/20/2014
2013-100 In the Matter of TD Bank, N.A.
Administrative Proceeding File No.: 3-15512
Case filed: September 23, 2013
Qualifying Judgment/Order: September 23, 2013
10/22/2013 01/20/2014
2013-99 In the Matter of Shadron L. Stastney
Administrative Proceeding File No.: 3-15500
Case filed: September 18, 2013
Qualifying Judgment/Order: September 18, 2013
10/22/2013 01/20/2014
2013-98 SEC v. Petro-Suisse LTD. and Mark Gasarch
Case number: 12-cv-6221 (United States District Court for the Southern District of New York)
Case filed: August 14, 2012
Qualifying Judgment/Order: September 25, 2013
10/22/2013 01/20/2014
2013-97 Brian G. Elrod and Nova Dean Pack
Case number: 13-cv-02449 (United States District Court for the District of Colorado)
Case filed: September 9, 2013
Qualifying Judgment/Order: September 24, 2013
10/22/2013 01/20/2014
2013-96 SEC v. The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., Frank L. Pavlico III, a/k/a Frank Lorenzo, Brynee K. Baylor, Baylor & Jackson, P.L.L.C
Case number: 11-cv-02132 (United States District Court for the District of Columbia)
Case filed: November 30, 2011
Qualifying Judgment/Order: August 26, 2013
10/22/2013 01/20/2014
2013-95 In the Matter of Manikay Partners LLC
Administrative Proceeding File No.: 3-15488
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014
2013-94 Marcin Malarz, Jacek Sienkiewicz, and Arthur Lin
Case number: 11-cv-8803 (United States District Court for the Northern District of Illinois)
Case filed: December 12, 2011
Qualifying Judgment/Order: September 24, 2013
10/22/2013 01/20/2014
2013-93 In the Matter of Knight Capital Americas LLC
Administrative Proceeding File No.: 3-15570
Case filed: October 16, 2013
Qualifying Judgment/Order: October 16, 2013
10/22/2013 01/20/2014
2013-92 In the Matter of JPMorganChase & Co.
Administrative Proceeding File No.: 3-15507
Case filed: September 19, 2013
Qualifying Judgment/Order: September 19, 2013
10/22/2013 01/20/2014
2013-91 In the Matter of JGP Global Gestão de Recursos Ltda.
Administrative Proceeding File No.: 3-15479
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014
2013-90 SEC v Yusaf Jawed, Grifphon Asset Management LLC, Grifphon Holdings, LLC, and Robert P. Custis
Case number: 12-cv-01696 (United States District Court for the District of Oregon)
Case filed: September 20, 2012
Qualifying Judgment/Order: September 11, 2013
10/22/2013 01/20/2014
2013-89 SEC v. Harbinger Capital Partners LLC; Philip A. Falcone; and Peter A. Jenson
Case number: 12-cv-5028 (United States District Court for the Southern District of New York)
Case filed: June 27, 2012
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014
2013-88 In the Matter of Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC
Administrative Proceeding File No.: 3-15024
Case filed: May 3, 2013
Qualifying Judgment/Order: September 17, 2013
10/22/2013 01/20/2014
2013-87 GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum
Case number: 12-cv-7927 (United States District Court for the Northern District of Illinois)
Case filed: October 3, 2012
Qualifying Judgment/Order: July 30, 2013
10/22/2013 01/20/2014
2013-86 SEC v. Envision Direct L.L.C. and Gary R. Headding
Case number: 10-cv-00241 (United States District Court for the Central District of California)
Case filed: March 1, 2010
Qualifying Judgment/Order: June 4, 2013
10/22/2013 01/20/2014
2013-85 In the Matter of Deerfield Management Company, L.P.
Administrative Proceeding File No.: 3-15477
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014
2013-84 SEC v. Phillip J. DeZwirek
Case number: 13-cv-06135 (United States District Court for the Southern District of New York)
Case filed: August 30, 2013
Qualifying Judgment/Order: September 10, 2013
09/20/2013 12/19/2013
2013-83 SEC v. John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, Ltd., Praetorian G Power I, LLC, Praetorian G Power II, LLC, Praetorian G Power IV, LLC, Praetorian G Power V, LLC, Praetorian G Power VI, LLC, David E. Howard II, John R. Arnold, First American Service Transmittals, Inc., Joseph Almazon, and Spartan Capital Partners
Case number: 11-cv-08323 (United States District Court for the Southern District of New York)
Case filed: November 17, 2011
Qualifying Judgment/Order: July 31, 2013
09/20/2013 12/19/2013
2013-82 SEC v. Joseph Simone; Island Capital Management, Inc., Joseph Lando; Joseph Caracciolo; Alfred Varricchio; Anthony Pianelli; Jill Pianelli; JAP JAP Enterprises, LLC; Brian Fabrizzi; Donald Sorrentino; Anthony Carannante, individually and d/b/a A&C Management; Steven Daronzio, individually and d/b/a/ A&C Management; Rochelle Roman; Shaun Sarnicola; Anthony Tanico; Andrea Lando-Tanico; AJT Ltd; AJGT Ltd.; Michael McCormack; Donna Centola; DMAC Services, Inc.; Andrew Caccioppoli; Thomas Macli; Donna Macli; Lumac Corp.; Gary Manfre; Ricahrd Manfre; and RAM Solutions, Inc.
Case number: 07-cv-03928 (United States District Court for the Eastern District of New York)
Case filed: September 20, 2007
Qualifying Judgment/Order: August 23, 2013
09/20/2013 12/19/2013
2013-81 SEC v. Scott London and Bryan Shaw
Case number: 13-cv-02558 (United States District Court for the Central District of California)
Case filed: April 11, 2013
Qualifying Judgment/Order: August 8, 2013
09/20/2013 12/19/2013
2013-80 SEC v. Firas A. Hamdan, individually and doing business as FAH Capital Partners
Case number: 13-cv-00215 (United States District Court for the Southern District of Texas)
Case filed: January 29, 2013
Qualifying Judgment/Order: August 20, 2013
09/20/2013 12/19/2013
2013-79 SEC v. Badin Rungruangnavarat
Case number: 13-cv-04172 (United States District Court for the Northern District of Illinois)
Case filed: June 5, 2013
Qualifying Judgment/Order: September 6, 2013
09/20/2013 12/19/2013
2013-78 SEC v. David B. Welliver and Dblaine Capital, LLC
Case number: 11-cv-03076 (United States District Court for the District of Minnesota)
Case filed: October 18, 2011
Qualifying Judgment/Order: August 13, 2013
09/20/2013 12/19/2013
2013-77 SEC v. Richard DeMaria
Case number: 12-cv-04145 (United States District Court for the Northern District of Illinois)
Case filed: May 29, 2012
Qualifying Judgment/Order: September 6, 2013
09/20/2013 12/19/2013
2013-76 SEC v. Art Intellect, Inc., a Utah Corporation, d/b/a Mason Hill and Virtual MG, Patrick Merrill Brody, Laura A. Roser, and Gregory D. Wood
Case number: 11-cv-00357 (United States District Court for the District of Utah)
Case filed: April 18, 2011
Qualifying judgment/order: July 6, 2012
8/16/2013 11/14/2013
2013-75 In the Matter of A.R. Schmeidler & Co., Inc.
Administrative Proceeding File No.: 3-15399
Case filed: July 31, 2013
Qualifying judgment/order: July 31, 2013
8/16/2013 11/14/2013
2013-74 SEC v. Igors Nagaicevs
Case number: 12-cv-0413 (United States District Court for the Northern District of California)
Case filed: January 26, 2012
Qualifying judgment/order: July 18, 2013
8/16/2013 11/14/2013
2013-73 SEC v. Robert Stinson, Jr., Life's Good, Inc., Life's Good Stabl Mortgage Fund, LLC, Life's Good High Yield Mortgage Fund, LLC, Life's Good Capital Growth Fund, LLC, IA Capital Fund, LLC, and Keystone State Capital Corporation
Case number: 10-cv-03130 (United States District Court for the Eastern District of Pennsylvania
Case filed: June 29, 2010
Qualifying judgment/order: June 27, 2013
8/16/2013 11/14/2013
2013-72 SEC v. Mack D. Murrell, David Teekell, and Charles W. Adams
Case number: 13-cv-12856 (United States District Court for the Eastern District of Michigan)
Case filed: July 1, 2013
Qualifying judgment/order: July 19, 2013
8/16/2013 11/14/2013
2013-71 SEC v. Bryan Arias, Hugo A. Arias, Anthony C. Ciccone, Salvatore Ciccone, Diane Kaylor, Jason A. Keryc, Anthony Massaro, Christopher E. Curran, Ryan K. Dunaske, Michael P. Dunne, Martin C. Hartmann III, Michael D. Keryc, Ronald R. Roaldsen, Jr., and Laura Ann Tordy
Case number: 12-cv-2937 (United States District Court for the Eastern District of New York)
Case filed: June 12, 2012
Qualifying judgment/order: July 2, 2013
8/16/2013 11/14/2013
2013-70 SEC v. Keyuan Petrochemicals, Inc. and Aichun Li
Case number: 13-cv-00263 (United States District Court for the District of Columbia)
Case filed: February 28, 2013
Qualifying judgment/order: July 2, 2013
8/16/2013 11/14/2013
2013-69 SEC v. Fuqi International, Inc. and Yu Kwai Chong
Case number: 13-cv-0995 (United States District Court for the District of Columbia)
Case filed: July 1, 2013
Qualifying judgment/order: August 7, 2013
8/16/2013 11/14/2013
2013-68 SEC v. International Business Machines Corporation
Case number: 11-cv-00563 (United States District for the District of Columbia)
Case filed: March 18, 2011
Qualifying judgment/order: July 25, 2013
8/16/2013 11/14/2013
2013-67 In the Matter of ABN AMRO Bank, N.V.
Administrative Proceeding File No.: 3-15401
Case filed: July 31, 2013
Qualifying judgment/order: July 31, 2013
8/16/2013 11/14/2013
2013-66 SEC v. Ryan M. Reynolds, Jason Wynn, Carlton Fleming, Beverage Creations, Inc., Bellatalia, LP, Wynn Industries, LLC, and Thomas Wade Investments, LLC
Case number: 08-cv-0438 (United States District Court for the Northern District of Texas)
Case filed: March 13, 2008
Qualifying judgment/order: July 11, 2013
8/16/2013 11/14/2013
2013-65 SEC v. Geoffrey J. Eiten and National Financial Communications, Corp.
Case number: 11-cv-12185 (United States District Court for the District of Massachusetts)
Case filed: December 12, 2011
Qualifying judgment/order: July 24, 2013
8/16/2013 11/14/2013
2013-64 In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-15407
Case filed: August 6, 2013
Qualifying judgment/order: August 6, 2013
8/6/2013 11/4/2013
2013-63 William Graulich, IV and iVest International Holdings, Inc.
Case number: 09-cv-4355 (United States District Court for the District of New Jersey)
Case filed: August 26, 2009
Qualifying judgment/order: June 19, 2013
7/22/2013 10/21/2013
2013-62 SEC v. Victor Dosti and Whittier Trust Company
Case number: 13-cv-3897 (United States District Court for the Southern District of New York)
Case filed: June 7, 2013
Qualifying judgment/order: June 12, 2013
7/22/2013 10/21/2013
2013-61 In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
Administrative Proceeding File No.: 3-15353
Case filed: June 11, 2013
Qualifying judgment/order: June 11, 2013
7/22/2013 10/21/2013
2013-60 SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley
Case number: 12-cv-00060 (United States District Court for the Northern District of Indiana)
Case filed: January 30, 2012
Qualifying judgment/order: June 27, 2013
7/22/2013 10/21/2013
2013-59 SEC v. Tyco International LTD
Case number: 12-cv-01583 (United States District Court for the District of Columbia)
Case filed: September 24, 2012
Qualifying judgment/order: June 17, 2013
7/22/2013 10/21/2013
2013-58 SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc.
Case number: 12-cv-01681 (United States District Court for the District of Puerto Rico)
Case filed: August 21, 2012
Qualifying judgment/order: April 12, 2013
7/22/2013 10/21/2013
2013-57 SEC v. MayfieldGentry Realty Advisors, LLC, Chauncey C. Mayfield, Blair D. Ackman, Marsha Bass, W. Emery Matthews, and Alicia M. Diaz
Case number: 13-cv-12520 (United States District Court for the Eastern District of Michigan)
Case filed: June 10, 2013
Qualifying judgment/order: June 26, 2013
7/22/2013 10/21/2013
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
2013-15 SEC v. David E. Ruskjer
Case number: 09-cv-237 (United States District Court for the District of Hawaii)
Case filed: May 27, 2009
Qualifying judgment/order: January 2, 2013
02/08/2013 05/09/2013
2013-14 SEC v. Eli Lilly and Company
Case number: 12-cv-2045 (United States District Court for the District of Columbia)
Case filed: December 20, 2012
Qualifying judgment/order: January 2, 2013
02/08/2013 05/09/2013
2013-13 SEC v. Igor Poteroba, Aleksey Koval and Alexander Vorobiev
Case number: 10-cv-2667 (United States District Court for the Southern District of New York)
Case filed: March 24, 2010
Qualifying judgment/order: January 15, 2013
02/08/2013 05/09/2013
2013-12 SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I
Case number: 12-cv-1862 (United States District Court for the District of Columbia)
Case filed: November 16, 2012
Qualifying judgment/order: January 8, 2013
02/08/2013 05/09/2013
2013-11 SEC v. Gary J. Martel, D/B/A Martel Financial Group, and MFG Funding
Case number: 12-cv-11095 (United States District Court for the District of Massachusetts)
Case filed: June 19, 2012
Qualifying judgment/order: January 7, 2013
02/08/2013 05/09/2013
2013-10 SEC v. Management Solutions, Inc., a Texas Corporation; Wendell A. Jacobson; and Allen R. Jacobson
Case number: 11-cv-1165 (United States District Court for the District of Utah)
Case filed: December 15, 2011
Qualifying judgment/order: December 18, 2012
1/4/2013 4/4/2013
2013-9 SEC v. BP p.l.c.
Case number: 12-cv-2774 (United States District Court for the Eastern District of Louisiana)
Case filed: November 15, 2012
Qualifying judgment/order: December 10, 2012
1/4/2013 4/4/2013
2013-8 SEC v. Tiger Asia Management, LLC, Tiger Asia Partners, LLC, Sung Kook (a/k/a Bill) Hwang, and Raymond Y.H. Park
Case number: 12-cv-7601 (United States District Court for the District of New Jersey)
Case filed: December 14, 2012
Qualifying judgment/order: December 17, 2012
1/4/2013 4/4/2013
2013-7 SEC v. Igor Cornelsen and Bainbridge Group Inc.
Case number: 12-cv-8712 (United States District Court for the Southern District of New York)
Case filed: November 30, 2012
Qualifying judgment/order: December 11, 2012
1/4/2013 4/4/2013
2013-6 In the Matter of Allianz SE
Administrative Proceeding File No.: 3-15132
Case filed: December 17, 2012
Qualifying judgment/order: December 17, 2012
1/4/2013 4/4/2013
2013-5 SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDYLC Holdings Trust
Case number: 11-cv-00315 (United States District Court for the Central District of California)
Case filed: February 24, 2011
Qualifying judgment/order: December 18, 2012
1/4/2013 4/4/2013
2013-4 In the Matter of Fiduciary Asset Management, LLC
Administrative Proceeding File No.: 3-15140
Case filed: December 19, 2012
Qualifying judgment/order: December 19, 2012
1/4/2013 4/4/2013
2013-3 SEC v. EagleEye Asset Management, LLC and Jeffrey A. Liskov
Case number: 11-cv-11576 (United States District Court for the District of Massachusetts)
Case filed: September 8, 2011
Qualifying judgment/order: December 12, 2012
1/4/2013 4/4/2013
2013-2 In the Matter of Aladdin Capital Management LLC and Aladdin Capital LLC
Administrative Proceeding File No.: 3-15134
Case filed: December 17, 2012
Qualifying judgment/order: December 17, 2012
1/4/2013 4/4/2013
2013-1 SEC v. I. Joseph Massoud
Case number: 12-cv-01691 (United States District Court for the District of Connecticut)
Case filed: November 30, 2012
Qualifying judgment/order: December 10, 2012
1/4/2013 4/4/2013

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