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Claim an Award

We post Notices of Covered Action for each Commission action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.

The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the Commission opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case.

Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award.

Once a Notice of Covered Action is posted, individuals have 90 calendar days to apply for an award by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action. Please send completed forms to the Office of the Whistleblower by mail at 100 F Street NE, Mail Stop 5631, Washington, DC 20549 or by fax at (703) 813-9322.

Notice No. Action Notice Date Claim Due Date
2016-172 In the Matter of EZTD Inc.
Administrative Proceeding File No.: 3-17673
Case filed: November 10, 2016
Qualifying Judgment/Order: November 10, 2016
12/31/2016 03/31/2017
2016-171 SEC v. Southlake Resources Group, LLC, Cody M. Winters, and Nicholas R. Hamilton
Case number: 16-cv-00992 (United States District Court for the Northern District of Texas)
Case filed: October 24, 2016
Qualifying Judgment/Order: October 27, 2016
12/31/2016 03/31/2017
2016-170 SEC v. Embraer, S.A.
Case number: 16-cv-62501 (United States District Court for the Southern District of Florida)
Case filed: October 24, 2016
Qualifying Judgment/Order: October 31, 2016
12/31/2016 03/31/2017
2016-169 In the Matter of Ronald D. Morley and The New Wealth, LLC
Administrative Proceeding File No.: 3-17658
Case filed: November 1, 2016
Qualifying Judgment/Order: November 1, 2016
12/31/2016 03/31/2017
2016-168 In the Matter of Michael L. Reger
Administrative Proceeding File No.: 3-17653
Case filed: October 31, 2016
Qualifying Judgment/Order: October 31, 2016
12/31/2016 03/31/2017
2016-167 In the Matter of JP Morgan Chase & Co.,
Administrative Proceeding File No.: 3-17684
Case filed: November 17, 2016
Qualifying Judgment/Order: November 17, 2016
12/31/2016 03/31/2017
2016-166 In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Administrative Proceeding File No.: 3-17628
Case filed: October 18, 2016
Qualifying Judgment/Order: October 18, 2016
12/31/2016 03/31/2017
2016-165 SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack
Case number: 11-cv-00755 (United States District Court for the Eastern District of Wisconsin)
Case filed: August 10, 2011
Qualifying Judgment/Order: December 6, 2016
12/31/2016 03/31/2017
2016-164 In the Matter of Credit Suisse AG, Inc.
Administrative Proceeding File No.: 3-17617
Case filed: October 5, 2016
Qualifying Judgment/Order: October 5, 2016
12/31/2016 03/31/2017
2016-163 In the Matter of Calvert Investment Management, Inc.
Administrative Proceeding File No.: 3-17630
Case filed: October 18, 2016
Qualifying Judgment/Order: October 18, 2016
11/30/2016 02/28/2017
2016-162 In the Matter of Artis Capital Management, L.P. and Michael W. Harden
Administrative Proceeding File No.: 3-17624
Case filed: October 13, 2016
Qualifying Judgment/Order: October 13, 2016
11/30/2016 02/28/2017
2016-161 SEC v. Charles P. Copeland, Copeland Wealth Management, a Financial Advisory Corporation, and Copeland Wealth Management, a Real Estate Corporation
Case number: 11-cv-08607 (United States District Court for the Central District of California)
Case filed: October 20, 2011
Qualifying Judgment/Order: October 5, 2016
11/30/2016 02/28/2017
2016-160 In the Matter of Bank Leumi le-Israel B.M., Leumi Private Bank, and Bank Leumi (Luxembourg) S.A.
Administrative Proceeding File No.: 3-17631
Case filed: October 18, 2016
Qualifying Judgment/Order: October 18, 2016
11/30/2016 02/28/2017
2016-159 In the Matter of GlaxoSmithKline plc
Administrative Proceeding File No.: 3-17606
Case filed: September 30, 2016
Qualifying Judgment/Order: September 30, 2016
11/30/2016 02/28/2017
2016-158 In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA
Administrative Proceeding File No.: 3-17639
Case filed: October 20, 2016
Qualifying Judgment/Order: October 20, 2016
11/30/2016 02/28/2017
2016-157 In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-17622
Case filed: October 12, 2016
Qualifying Judgment/Order: October 12, 2016

In the Matter of Charles P. Grom
Administrative Proceeding File No.: 3-17119
Case filed: February 17, 2016
Qualifying Judgment/Order: February 17, 2016
11/30/2016 02/28/2017
2016-156 SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina
Case number: 16-cv-08088 (United States District Court for the Southern District of New York)
Case filed: October 17, 2016
Qualifying Judgment/Order: October 18, 2016
11/30/2016 02/28/2017
2016-155 SEC v. Anthony C. Zufelt, Joseph A. Nelson, David M. Decker, Jr., Cache D. Decker, Zufelt Business Services, Inc. (d/b/a Zufelt, Inc.), Silver Leaf Investments, Inc. JCN, Inc., JCN Capital, LLC, and JCN International, LLC
Case number: 10-cv-00574 (United States District Court for the District of Utah)
Case filed: June 23, 2010
Qualifying Judgment/Order: October 7, 2016
11/30/2016 02/28/2017
2016-154 SEC v. Paul R. Downey, Jeffry P. Downey, and John M. Leonard
Case number: 14-cv-00185 (United States District Court for the Northern District of Texas)
Case filed: November 20, 2014
Qualifying Judgment/Order: September 29, 2016
11/30/2016 02/28/2017
2016-153 SEC v. Aegis Oil, LLC, and Patrick Reagan Beason
Case number: 16-cv-62335 (United States District Court for the Southern District of Florida)
Case filed: September 29, 2016
Qualifying Judgment/Order: October 11, 2016
11/30/2016 02/28/2017
2016-152 SEC v. JCS Enterprises, Inc. d/b/a JCS Enterprises Services, Inc., T.B.T.I. Inc., Joseph Signore, and Paul L. Schumack, II
Case number: 14-cv-80468 (United States District Court for the Southern District of Florida)
Case filed: April 7, 2014
Qualifying Judgment/Order: October 18, 2016
11/30/2016 02/28/2017
2016-151 SEC v. Zenergy International, Inc., Bosko R. Gasich, Robert J. Luiten, Scott H. Wilding, Skyline Capital, Inc., Ronald Martino, and Diane D. Dalmy
Case number: 13-cv-05511 (United States District Court for the Northern District of Illinois)
Case filed: August 1, 2013
Qualifying Judgment/Order: October 12, 2016
11/30/2016 02/28/2017
2016-150 SEC v. Yossef Kahlon, a/k/a Jossef Kahlon, and TJ Management Group, LLC
Case number: 12-cv-00517 (United States District Court for the Eastern District of Texas)
Case filed: August 14, 2012
Qualifying Judgment/Order: September 30, 2016
11/30/2016 02/28/2017
2016-149 SEC v. Richard Weed, Thomas Brazil and Coleman Flaherty III
Case number: 14-cv-14099 (United States District Court for the District of Massachusetts)
Case filed: November 6, 2014
Qualifying Judgment/Order: October 4, 2016
11/30/2016 02/28/2017
2016-148 SEC v. Saleem Khan, Ammar Akbari, Roshanlal Chaganlal and Ranjan Mendonsa
Case Number: 14-cv-02743 (United States District Court for the Northern District of California)
Date Filed: June 13, 2014
Date of Qualifying Judgment/Order: September 21, 2016
10/31/2016 01/29/2017
2016-147 In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA
Administrative Proceeding File No.: 3-17583
Date Filed: September 27, 2016
Date of Qualifying Judgment/Order: September 27, 2016
10/31/2016 01/29/2017
2016-146 In the Matter of BOKF, NA
Administrative Proceeding File No.: 3-17533
Date Filed: September 9, 2016
Date of Qualifying Judgment/Order: September 9, 2016
10/31/2016 01/29/2017
2016-145 In the Matter of Ernst & Young LLP and Gregory S. Bednar, CPA
Administrative Proceeding File No.: 3-17552
Date Filed: September 19, 2016
Date of Qualifying Judgment/Order: September 19, 2016
10/31/2016 01/29/2017
2016-144 SEC v. Norstra Energy Inc., Glen Landry and Eric Dany
Case Number: 15-cv-04751 (United States District Court for the Southern District of New York)
Date Filed: June 18, 2015
Date of Qualifying Judgment/Order: September 20, 2016
10/31/2016 01/29/2017
2016-143 SEC v. Christopher Plummer, Lex M. Cowsert, and Cytogenix, Inc.
Case Number: 14-cv-05441 (United States District Court for the Southern District of New York)
Date Filed: July 18, 2014
Date of Qualifying Judgment/Order: September 7, 2016
10/31/2016 01/29/2017
2016-142 SEC v. North Hills Management, LLC, and Mark Evan Bloom
Case Number: 09-cv-01746 (United States District Court for the Southern District of New York)
Date Filed: February 25, 2009
Date of Qualifying Judgment/Order: September 6, 2016
10/31/2016 01/29/2017
2016-141 SEC v. PLCMGMT LLC, dba Prometheus Law, James A. Catipay, and David A. Aldrich
Case Number: 16-cv-02594 (United States District Court for the Central District of California)
Date Filed: April 16, 2016
Date of Qualifying Judgment/Order: September 15, 2016
10/31/2016 01/29/2017
2016-140 In the Matter of Portugal Telecom, SGPS, S.A., now known as Pharol SGPS, S.A.
Administrative Proceeding File No.: 3-17534
Date Filed: September 13, 2016
Date of Qualifying Judgment/Order: September 13, 2016
10/31/2016 01/29/2017
2016-139 SEC v. Manuel E. Jesus aka Manny Backus, et al.
Case Number: 16-cv-06850 (United States District Court for the Central District of California)
Date Filed: September 13, 2016
Date of Qualifying Judgment/Order: September 27, 2016
10/31/2016 01/29/2017
2016-138 In the Matter of Anheuser-Busch InBev SA/NV
Administrative Proceeding File No.: 3-17586
Date Filed: September 28, 2016
Date of Qualifying Judgment/Order: September 28, 2016
10/31/2016 01/29/2017
2016-137 In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-17587
Date Filed: September 28, 2016
Date of Qualifying Judgment/Order: September 28, 2016
10/31/2016 01/29/2017
2016-136 In the Matter of Ernst & Young LLP, Robert J. Brehl, CPA, Pamela J. Hartford, CPA, and Michael T. Kamienski, CPA
Administrative Proceeding File No.: 3-17553
Date Filed: September 19, 2016
Date of Qualifying Judgment/Order: September 19, 2016
10/31/2016 01/29/2017
2016-135 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-17573
Date Filed: September 26, 2016
Date of Qualifying Judgment/Order: September 26, 2016
10/31/2016 01/29/2017
2016-134 In the Matter of Weatherford International PLC, f/k/a Weatherford International Ltd, James Hudgins, CPA, and Darryl Kitay, CPA
Administrative Proceeding File No.: 3-17582
Date Filed: September 27, 2016
Date of Qualifying Judgment/Order: September 27, 2016
10/31/2016 01/29/2017
2016-133 In the Matter of Russell C. Schalk, Jr.
Administrative Proceeding File No.: 3-16498
Date Filed: April 7, 2015
Date of Qualifying Judgment/Order: September 21, 2016
10/31/2016 01/29/2017
2016-132 SEC v. China Northeast Petroleum Holdings Limited; Wang Hongjun (a/k/a Hongjun Wang); Ju Guizhi (a/k/a Guizhi Ju); and Jiang Chao (a/k/a Chao Jiang)
Case Number: 12-cv-08696 (United States District Court for the Southern District of New York)
Date Filed: November 29, 2012
Date of Qualifying Judgment/Order: September 20, 2016
10/31/2016 01/29/2017
2016-131 In the Matter of Michael A. Horowitz and Moshe Marc Cohen
Administrative Proceeding File No.: 3-15790
Date Filed: March 13, 2014
Date of Qualifying Judgment/Order: September 9, 2016
10/31/2016 01/29/2017
2016-130 SEC v. Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela M. Hass
Case Number: 13-cv-00849 (United States District Court for the District of New Mexico)
Date Filed: September 9, 2013
Date of Qualifying Judgment/Order: September 22, 2016
10/31/2016 01/29/2017
2016-129 SEC v. Veros Partners, Inc., Matthew D. Haab, Jeffrey B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, FarmGrowCap LLC, PinCap LLC
Case Number: 15-cv-00659 (United States District Court for the Southern District of Indiana)
Date Filed: April 22, 2015
Date of Qualifying Judgment/Order: September 15, 2016
10/31/2016 01/29/2017
2016-128 In the Matter of First Reserve Management, L.P.
Administrative Proceeding File No.: 3-17538
Date Filed: September 14, 2016
Date of Qualifying Judgment/Order: September 14, 2016
10/31/2016 01/29/2017
2016-127 SEC v. Daniel Thibeault, GL Capital Partners, LLC, GL Investment Services, LLC, Graduate Leverage, LLC (d/b/a GL Advisor and GL Holdings Corp.), and Taft Financial Services, LLC
Case Number: 15-cv-10050 (United States District Court for the District of Massachusetts)
Date Filed: January 9, 2015
Date of Qualifying Judgment/Order: September 26, 2016
10/31/2016 01/29/2017
2016-126 In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank
Administrative Proceeding File No.: 3-17595
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: September 29, 2016
10/31/2016 01/29/2017
2016-125 SEC v. James M. Donnan, III and Gregory L. Crabtree
Case Number: 12-cv-02831 (United States District Court for the Northern District of Georgia)
Date Filed: August 16, 2012
Date of Qualifying Judgment/Order: September 26, 2016
10/31/2016 01/29/2017
2016-124 In the Matter of WL Ross & Co. LLC
Administrative Proceeding File No.: 3-17491
Case filed: August 24, 2016
Qualifying Judgment/Order: August 24, 2016
9/30/2016 12/29/2016
2016-123 In the Matter of Barry B. Clare
Administrative Proceeding File No.: 3-17172
Case filed: August 15, 2016
Qualifying Judgment/Order: August 15, 2016
9/30/2016 12/29/2016
2016-122 In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P.
Administrative Proceeding File No.: 3-17409
Case filed: August 23, 2016
Qualifying Judgment/Order: August 23, 2016
9/30/2016 12/29/2016
2016-121 In the Matter of RBC Capital Markets, LLC
Administrative Proceeding File No.: 3-17520
Case filed: August 31, 2016
Qualifying Judgment/Order: August 31, 2016
9/30/2016 12/29/2016
2016-120 In the Matter of AstraZeneca PLC
Administrative Proceeding File No.: 3-17517
Case filed: August 30, 2016
Qualifying Judgment/Order: August 30, 2016
9/30/2016 12/29/2016
2016-119 In the Matter of optionsXpress, Inc., and Jonathan I. Feldman
Administrative Proceeding File No.: 3-14848
Case filed: August 18, 2016
Qualifying Judgment/Order: September 13, 2016
9/30/2016 12/29/2016
2016-118 In the Matter of Key Energy Services, Inc.
Administrative Proceeding File No.: 3-17379
Case filed: August 11, 2016
Qualifying Judgment/Order: August 11, 2016
9/30/2016 12/29/2016
2016-117 SEC v. Robert L. Sonfield, Donald C. Bradley, Jeffrey W. Bradley, Jason Landess, Marc Lane, Roger Brewer
Case number: 08-cv-02351 (United States District Court for the Southern District of Texas)
Case filed: July 29, 2008
Qualifying Judgment/Order: July 28, 2016
9/30/2016 12/29/2016
2016-116 SEC v. Secured Income Reserve, Inc., Ilona A. Mandelbaum, David A. Zimmerman, Tamda Marketing, Inc., and Matthew H. Sage
Case number: 16-cv-81490 (United States District Court for the Southern District of Florida)
Case filed: August 24, 2016
Qualifying Judgment/Order: August 31, 2016
9/30/2016 12/29/2016
2016-115 SEC v. Gary C. Snisky
Case number: 13-cv-03149 (United States District Court for the District of Colorado)
Case filed: November 21, 2013
Qualifying Judgment/Order: August 12, 2016
9/30/2016 12/29/2016
2016-114 SEC v. Southern Cross Resources Group, Inc., Michael A. Nasatir, and Andrew L. Madenberg
Case number: 15-cv-11506 (United States District Court for the Northern District of Illinois)
Case filed: December 21, 2015
Qualifying Judgment/Order: August 4, 2016

In the Matter of Allen M. Perres, and Willard R. St. Germain
Administrative Proceeding File No.: 3-17013
Case filed: December 21, 2015
Qualifying Judgment/Order: December 21, 2015
9/30/2016 12/29/2016
2016-113 SEC v. Cedric Cañas Maillard
Case number: 15-cv-06389 (United States District Court for the Southern District of New York)
Case filed: August 13, 2015
Qualifying Judgment/Order: August 19, 2016
9/30/2016 12/29/2016
2016-112 SEC v. Tyson D. Williams and Stanley D. Parrish
Case number: 14-cv-00510 (United States District Court for the District of Utah)
Case filed: July 10, 2014
Qualifying Judgment/Order: July 18, 2016
8/31/2016 11/29/2016
2016-111 SEC v. Luca International Group, LLC; Luca Resources Group, LLC; Luca Energy Fund, LLC; Entholpy EMC, Inc.; Bingqing Yang; Lei (Lily) Lei; Anthony V. Pollace; and Yong (Michael) Chen
Case number: 15-cv-03101 (United States District Court for the Northern District of California)
Case filed: July 6, 2015
Qualifying Judgment/Order: July 26, 2016
8/31/2016 11/29/2016
2016-110 SEC v. Malcolm Segal
Case number: 15-cv-03668 (United States District Court for the Eastern District of Pennsylvania)
Case filed: July 1, 2015
Qualifying Judgment/Order: June 21, 2016
8/31/2016 11/29/2016
2016-109 SEC v. Thomas C. Conradt, David J. Weishaus, and Trent Martin
Case number: 12-cv-08676 (United States District Court for the Southern District of New York)
Case filed: December 3, 2012
Qualifying Judgment/Order: June 17, 2016
8/31/2016 11/29/2016
2016-108 SEC v. Michael J. Oppenheim
Case number: 15-cv-02957 (United States District Court for the Southern District of New York)
Case filed: April 16, 2015
Qualifying Judgment/Order: July 29, 2016
8/31/2016 11/29/2016
2016-107 Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo
Case number: 13-cv-01735 (United States District Court for the Southern District of New York)
Case filed: March 15, 2013
Qualifying Judgment/Order: July 20, 2016
8/31/2016 11/29/2016
2016-106 In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17338
Case filed: July 12, 2016
Qualifying Judgment/Order: July 12, 2016
8/31/2016 11/29/2016
2016-105 SEC v. Lee D. Weiss, Family Endowment Partners, LP
Case number: 15-cv-13460 (United States District Court for the District of Massachusetts)
Case filed: September 29, 2015
Qualifying Judgment/Order: June 20, 2016
8/31/2016 11/29/2016
2016-104 In the Matter of Johnson Controls, Inc.
Administrative Proceeding File No.: 3-17337
Case filed: July 11, 2016
Qualifying Judgment/Order: July 11, 2016
8/31/2016 11/29/2016
2016-103 SEC v. CKB168 Holdings LTD., WIN168 Biz Solutions LTD., CKB168 LTD., CKB168 Biz Solution, Inc., Cyber Kids Best Education LTD., Rayla Melcher Santos, Hung Wai ("Howard") Shern, Rui ling ("Florence") Leung, Daliang ("David") Guo, Yao Lin, Chih Hsuan "Kiki" Lin, Wen Chen Hwang (aka "Wendy Lee"), Toni Tong Chen, Cheongwha "Heywood" Chang, Joan Congyi Ma (aka "JC Ma"), and Heidi Mao Liu (aka "Heidi Mao")
Case number: 13-cv-05584 (United States District Court for the Eastern District of New York)
Case filed: October 9, 2013
Qualifying Judgment/Order: June 29, 2016
8/31/2016 11/29/2016
2016-102 In the Matter of LAN Airlines S. A.
Administrative Proceeding File No.: 3-17357
Case filed: July 25, 2016
Qualifying Judgment/Order: July 25, 2016
8/31/2016 11/29/2016
2016-101 SEC v. First Mortgage Corporation, Inc., Clement Ziroli, Sr., Clement Ziroli, Jr., Pac W. Dong, Ronald T. Vargus, Scott Lehrer, and Edward Joseph Sanders
Case number: 16-cv-03772 (United States District Court for the Central District of California)
Case filed: May 31, 2016
Qualifying Judgment/Order: July 20, 2016
8/31/2016 11/29/2016
2016-100 SEC v. James Y. Lee
Case number: 14-cv-00347 (United States District Court for the Southern District of California)
Case filed: February 13, 2014
Qualifying Judgment/Order: July 15, 2016
8/31/2016 11/29/2016
2016-99 SEC v. Jammin' Java Corp., dba Marley Coffee, Shane G. Whittle, Wayne S. P. Weaver, Michael K. Sun, Rene Berlinger, Stephen B. Wheatley, Kevin P. Miller, Mohammed A. Al-Barwani, Alexander J. Hunter, and Thomas E. Hunter
Case number: 15-cv-08921 (United States District Court for the Central District of California)
Case filed: November 17, 2015
Qualifying Judgment/Order: July 7, 2016
8/31/2016 11/29/2016
2016-98 SEC v. Keith Greenberg
Case Number: 00-cv-09109 (United States District Court for the Southern District of Florida)
Date Filed: November 26, 2013
Qualifying Judgment/Order: March 16, 2016
7/29/2016 10/27/2016
2016-97 SEC v. Andrew K. Proctor and Atlas JG, LLC
Case Number: 16-cv-00437 (United States District Court for the District of Delaware)
Date Filed: June 14, 2016
Qualifying Judgment/Order: June 16, 2016
7/29/2016 10/27/2016
2016-96 SEC v. Wilfred T. Azar, III, Joseph A. Giordano, and Empire Corporation
Case Number: 14-cv-03598 (United States District Court for the District of Maryland)
Date Filed: November 14, 2014
Qualifying Judgment/Order: June 7, 2016
7/29/2016 10/27/2016
2016-95 SEC v. Daryl M. Payton, and Benjamin Durant, III
Case Number: 14-cv-04644 (United States District Court for the Sourthern District of New York)
Date Filed: June 25, 2014
Qualifying Judgment/Order: May 16, 2016
7/29/2016 10/27/2016
2016-94 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp.
Administrative Proceeding File No.: 3-17312
Date Filed: June 23, 2016
Qualifying Judgment/Order: June 23, 2016
7/29/2016 10/27/2016
2016-93 SEC v. Paul Mata, David Kayatta, Mario Pincheira, Secured Capital Investments, LLC., Logos Real Estate Holdings, LLC., Logos Wealth Advisors, Inc., Lifetime Enterprises, LLC (dba Logos Lifetime University)
Case Number: 15-cv-01792 (United States District Court for the Central District of California)
Date Filed: September 3, 2015
Qualifying Judgment: Order: June 17, 2016
7/29/2016 10/27/2016
2016-92 In the Matter of J.S. Oliver Capital Management, L.P., and Ian O. Mausner
Administrative Proceeding File No.: 3-15446
Initial Decision: August 5, 2014
Qualifying Judgment/Order: June 17, 2016
7/29/2016 10/27/2016
2016-91 In the Matter of Behruz Afshar, Shahryar Afshar, Richard F. Kenny, IV, Fineline Trading Group LLC, and Makin Capital LLC
Administrative Proceeding File No.: 3-16978
Date Filed: December 3, 2015
Qualifying Judgment/Order: June 13, 2016
7/29/2016 10/27/2016
2016-90 In the Matter of 2 West, Inc., Mijust, Inc., KAKids, Inc., Alton Partners, Inc., Old Farm, Inc., Bloomfield, Inc., Katz Imports, Inc., and Todd B. Katz
Administrative Proceeding File No.: 3-17290
Date Filed: June 14, 2016
Qualifying Judgment/Order: June 14, 2016
7/29/2016 10/27/2016
2016-89 In the Matter of Ethiopian Electric Power
Administrative Proceeding File No.: 3-17281
Date Filed: June 8, 2016
Qualifying Judgment/Order: June 8, 2016
7/29/2016 10/27/2016
2016-88 In the Matter of American Life, Inc. and Henry Liebman
Administrative Proceeding File No.: 3-17285
Date Filed: June 13, 2016
Qualifying Judgment/Order: June 13, 2016
7/29/2016 10/27/2016
2016-87 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-17314
Date Filed: June 23, 2016
Qualifying Judgment/Order: June 23, 2016
7/29/2016 10/27/2016
2016-86 In the Matter of Bank of New York Mellon
Administrative Proceeding File No.: 3-17286
Date Filed: June 13, 2016
Qualifying Judgment/Order: June 13, 2016
7/29/2016 10/27/2016
2016-85 In the Matter of Analogic Corporation and Lars Frost
Administrative Proceeding File No.: 3-17305
Date Filed: June 21, 2016
Qualifying Judgment/Order: June 21, 2016
7/29/2016 10/27/2016
2016-84 SEC v. John Scott Clark
Case number: 16-cv-00040 (United States District Court for the District of Utah)
Case filed: March 31, 2016
Qualifying Judgment/Order: May 26, 2016
6/30/2016 9/28/2016
2016-83 In the Matter of Federated Global Investment Management Corp.
Administrative Proceeding File No.: 3-17264
Case filed: May 27, 2016
Qualifying Judgment/Order: May 27, 2016
6/30/2016 9/28/2016
2016-82 In the Matter of Edgar R. Page and PageOne Financial, Inc.
Administrative Proceeding File No.: 3-16037
Initial Decision: June 25, 2015
Qualifying Judgment/Order: May 27, 2016
6/30/2016 9/28/2016
2016-81 In the Matter of Blackstreet Capital Management, LLC and Murry N. Gunty
Administrative Proceeding File No.: 3-17267
Case filed: June 1, 2016
Qualifying Judgment/Order: June 1, 2016
6/30/2016 9/28/2016
2016-80 In the Matter of James Caird Asset Management LLP and Timothy G. Leslie
Administrative Proceeding File No.: 3-17276
Case filed: June 2, 2016
Qualifying Judgment/Order: June 2, 2016
6/30/2016 9/28/2016
2016-79 SEC v. China Infrastructure Investment Corporation, Li Xipeng, and Wang Feng
Case number: 15-cv-00307 (United States District Court for the District of Columbia)
Case filed: March 3, 2015
Qualifying Judgment/Order: May 26, 2016
6/30/2016 9/28/2016
2016-78 SEC v. Charles Couch and Couch Oil & Gas, Inc.
Case number: 14-cv-01747 (United States District Court for the Northern District of Texas)
Case filed: May 12, 2014
Qualifying Judgment/Order: May 9, 2016
6/30/2016 9/28/2016
2016-77 SEC v. Sanctum Publishing and Marketing, Limited, Sanctum Media Group, Inc., and Salvatore Renaldi
Case number: 15-cv-81342 (United States District Court for the Southern District of Florida)
Case filed: September 29, 2015
Qualifying Judgment/Order: May 23, 2016
6/30/2016 9/28/2016
2016-76 In the Matter of Ireeco, LLC, and Ireeco Limited
Administrative Proceeding File No.: 3-16647
Initial Decision: June 23, 2015
Qualifying Judgment/Order: May 12, 2016
6/30/2016 9/28/2016
2016-75 SEC v. Roger S. Bliss, an individual and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, a Utah Limited Liability Company, d/b/a Roger Bliss and Associates Club LLC, d/b/a Bliss Club LLC
Case number: 15-cv-00098 (United States District Court for the District of Utah)
Case filed: February 11, 2015
Qualifying Judgment/Order: April 19, 2016
5/31/2016 8/29/2016
2016-74 SEC v. American Pension Services, Inc., and Curtis L. De Young
Case number: 14-cv-00309 (United States District Court for the District of Utah)
Case filed: April 24, 2014
Qualifying Judgment/Order: April 21, 2016
5/31/2016 8/29/2016
2016-73 SEC v. Tomas Alberto Clarke Bethancourt, Jose Alejandro Hurtado, Haydee Leticia Pabon, Iuri Rodolfo Bethancourt, Ernesto Lujan, Benito Chinea and Joseph Flores Demeneses Jr.
Case number: 13-cv-03074 (United States District Court for the Southern District of New York)
Case filed: May 9, 2013
Qualifying Judgment/Order: April 7, 2016
5/31/2016 8/29/2016
2016-72 SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek
Case number: 13-cv-03837 (United States District Court for the Southern District of New York)
Case filed: June 5, 2013
Qualifying Judgment/Order: April 12, 2016
5/31/2016 8/29/2016
2016-71 In the Matter of Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA
Administrative Proceeding File No.: 3-17212
Case filed: April 19, 2016
Qualifying Judgment/Order: April 19, 2016
5/31/2016 8/29/2016
2016-70 In the Matter of L & L Energy, Inc.
Administrative Proceeding File No.: 3-15815
Case filed: March 27, 2014
Initial Decision: February 17, 2016
Qualifying Judgment/Order: April 13, 2016
5/31/2016 8/29/2016
2016-69 SEC v. Frederic Elm f/k/a Frederic Elmaleh, Elm Tree Investment Advisors LLC, Elm Tree Investment Fund LP, Elm Tree 'e'Conomy Fund LP, and Elm Tree Motion Opportunity LP
Case number: 15-cv-60082 (United States District Court for the Southern District of Florida)
Case filed: January 15, 2015
Qualifying Judgment/Order: April 12, 2016
5/31/2016 8/29/2016
2016-68 In the Matter of Cabela's Incorporated and Ralph W. Castner, CPA
Administrative Proceeding File No.: 3-17227
Case filed: April 26, 2016
Qualifying Judgment/Order: April 26, 2016
5/31/2016 8/29/2016
2016-67 SEC v. Steven R. Maruksen, Jay C. Cope, Archer Advisors LLC
Case number: 14-cv-03395 (United States District Court for the District of Minnesota)
Case filed: September 8, 2014
Qualifying Judgment/Order: April 27, 2016
5/31/2016 8/29/2016
2016-66 SEC v. Inter Reef Ltd dba Profitable Sunrise
Case number: 13-cv-01104 (United States District Court for the Northern District of Georgia)
Case filed: April 4, 2013
Qualifying Judgment/Order: April 15, 2016
5/31/2016 8/29/2016
2016-65 SEC v. Marrone Bio Innovations, Inc.
Case Number: 16-cv-00321 (United States District Court for the Eastern District of California)
Date Filed: February 17, 2016
Date of Qualifying Order/Judgment: March 8, 2016
4/29/2016 7/28/2016
2016-64 In the Matter of Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert Esq.; and Helena C. Sen, CPA
Administrative Proceeding File No.: 3-17186
Date Filed: March 30, 2016
Date of Qualifying Order/Judgment: March 30, 2016
4/29/2016 7/28/2016
2016-63 In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation
Administrative Proceeding File No.: 3-17169
Date Filed: March 14, 2016
Date of Qualifying Order/Judgment: March 14, 2016
4/29/2016 7/28/2016
2016-62 SEC v. Banc de Binary Ltd, Oren Shabat Laurent (f/k/a Oren Shabat), Et Binary Options Ltd., Bo Systes Ltd., Seychelles and BDB Services Ltd. Seychelles
Case Number: 13-cv-00993 (United States District Court for the District of Nevada)
Date Filed: June 5, 2013
Date of Qualifying Order/Judgment: February 25, 2016
4/29/2016 7/28/2016
2016-61 SEC v. Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello
Case Number: 09-cv-00818 (United States District Court for the Central District of California)
Date Filed: July 16, 2009
Date of Qualifying Order/Judgment: February 23, 2016
4/29/2016 7/28/2016
2016-60 SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane Properties Inc.
Case Number: 16-cv-01636 (United States District Court for the District of New Jersey)
Date Filed: March 24, 2016
Date of Qualifying Order/Judgment: March 28, 2016
4/29/2016 7/28/2016
2016-59 In the Matter of Novartis AG
Administrative Proceeding File No.: 3-17177
Date Filed: March 23, 2016
Date of Qualifying Order/Judgment: March 23, 2016
4/29/2016 7/28/2016
2016-58 In the Matter of Las Vegas Sands Corp.
Administrative Proceeding File No.: 3-17204
Date Filed: April 7, 2016
Date of Qualifying Order/Judgment: April 7, 2016
4/29/2016 7/28/2016
2016-57 SEC v. Gregory G. Jones
Case Number: 15-cv-00438 (United States District Court for the Northern District of Texas)
Date Filed: June 10, 2015
Date of Qualifying Order/Judgment: March 21, 2016
4/29/2016 7/28/2016
2016-56 SEC v. eCareer Holding, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks
Case Number: 15-cv-80446 (United States District Court for the Southern District of Florida)
Date Filed: April 7, 2015
Date of Qualifying Order/Judgment: March 2, 2016
4/29/2016 7/28/2016
2016-55 SEC v. Neal V. Goyal, Caldera Advisors, LLC, and Blue Horizon Asset Management, LLC
Case Number: 14-cv-03900 (United States District Court for the Northern District of Illinois)
Date Filed: May 28, 2014
Date of Qualifying Order/Judgment: March 9, 2016
4/29/2016 7/28/2016
2016-54 In the Matter of Navistar International Corporation
Administrative Proceeding File No.: 3-17190
Date Filed: March 31, 2016
Date of Qualifying Order/Judgment: March 31, 2016
4/29/2016 7/28/2016
2016-53 SEC v. Aveo Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer
Case Number: 16-cv-10607 (United States District Court for the District of Massachusetts)
Date Filed: March 29, 2016
Date of Qualifying Order/Judgment: April 1, 2016
4/29/2016 7/28/2016
2016-52 In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable
Administrative Proceeding File No: 3-17171
Date Filed: March 15, 2016
Date of Qualifying Order/Judgment: March 15, 2016
4/29/2016 7/28/2016
2016-51 SEC v. Bruce D. Strebinger, Brent Howard Chapman, and Muskateer Investments, Inc.
Case Number: 14-cv-03533 (United States District Court for the Northern District of Georgia)
Date Filed: November 3, 2014
Date of Qualifying Order/Judgment: March 15, 2016
4/29/2016 7/28/2016
2016-50 In the Matter of Peter Kuperman and QED Benchmark Management, L.L.C.
Administrative Proceeding File No.: 3-17075
Case filed: January 28, 2016
Qualifying Judgment/Order: January 28, 2016
3/31/2016 6/29/2016
2016-49 SEC v. eAdGear, Inc., eAdGear Holdings Limited, Charles S. Wang, Francis Y. Yuen, and Qian Cathy Zhang
Case number: 14-cv-04294 (United States District Court for the Northern District of California)
Case filed: September 24, 2014
Qualifying Judgment/Order: February 1, 2016
3/31/2016 6/29/2016
2016-48 SEC v. Scott Valente and The Eliv Group, LLC
Case number: 14-cv-03974 (United States District Court for the Southern District of New York)
Case filed: June 3, 2014
Qualifying Judgment/Order: February 17, 2016
3/31/2016 6/29/2016
2016-47 SEC v. Moazzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
Case number: 15-cv-01025 (United States District Court for the Southern District of New York)
Case filed: February 13, 2015
Qualifying Judgment/Order: February 9, 2016
3/31/2016 6/29/2016
2016-46 In the Matter of Qualcomm Incorporated
Administrative Proceeding File No.: 3-17145
Case filed: March 1, 2016
Qualifying Judgment/Order: March 1, 2016
3/31/2016 6/29/2016
2016-45 SEC v. Newpoint Financial Services, Inc.; John Farahi; Gissou Rastegar Farahi; and Elaheh Amouei
Case number: 10-cv-00124 (United States District Court for the Central District of California)
Case filed: January 8, 2010
Qualifying Judgment/Order: February 29, 2016
3/31/2016 6/29/2016
2016-44 SEC v. VimpelCom Ltd
Case number: 16-cv-01266 (United States District Court for the Southern District of New York)
Case filed: February 18, 2016
Qualifying Judgment/Order: February 22, 2016
3/31/2016 6/29/2016
2016-43 In the Matter of George N. Krinos, Krinos Holdings, Inc., and Fordgate Acquisition Corp.
Administrative Proceeding File No.: 3-16202
Case filed: October 16, 2014
Initial Decision: December 21, 2015
Qualifying Judgment/Order: February 3, 2016
3/31/2016 6/29/2016
2016-42 SEC v. Trevor G. Cook, Patrick J. Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLC
Case number: 09-cv-03333 (United States District Court for the District of Minnesota)
Case filed: November 23, 2009
Qualifying Judgment/Order: January 12, 2016
3/31/2016 6/29/2016
2016-41 In the Matter of PTC Inc.
Administrative Proceeding File No.: 3-17118
Case filed: February 16, 2016
Qualifying Judgment/Order: February 16, 2016
3/31/2016 6/29/2016
2016-40 In the Matter of IBC Funds, LLC
Administrative Proceeding File No.: 3-17125
Case filed: February 19, 2016
Qualifying Judgment/Order: February 19, 2016
3/31/2016 6/29/2016
2016-39 SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual
Case number: 12-cv-01120 (United States District Court for the District of Utah)
Case filed: December 10, 2012
Qualifying Judgment/Order: December 17, 2012
2/29/2016 5/29/2016
2016-38 SEC v. Stephen C. Bond
Case number: 10-cv-01358 (United States District Court for the Northern District of California)
Case filed: March 31, 2010
Qualifying Judgment/Order: August 12, 2013
2/29/2016 5/29/2016
2016-37 SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation
Case number: 15-cv-00416 (United States District Court for the District of Utah)
Case filed: June 12, 2015
Qualifying Judgment/Order: January 12, 2016
2/29/2016 5/29/2016
2016-36 SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin
Case number: 11-cv-01356 (United States District Court for the Northern District of California)
Case filed: March 22, 2011
Qualifying Judgment/Order: January 20, 2016
2/29/2016 5/29/2016
2016-35 SEC v. Michael Donnelly
Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania)
Case filed: October 19, 2015
Qualifying Judgment/Order: January 20, 2016
2/29/2016 5/29/2016
2016-34 In the Matter of Ocwen Financial Corp.
Administrative Proceeding File No.: 3-17060
Case filed: January 20, 2016
Qualifying Judgment/Order: January 20, 2016
2/29/2016 5/29/2016
2016-33 In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-17053
Case filed: January 14, 2016
Qualifying Judgment/Order: January 14, 2016
2/29/2016 5/29/2016
2016-32 In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-17078
Case filed: January 31, 2016
Qualifying Judgment/Order: January 31, 2016
2/29/2016 5/29/2016
2016-31 SEC v. Enrica Cotellessa-Pitz
Case number: 11-cv-09302 (United States District Court for the Southern District of New York)
Case filed: December 19, 2011
Qualifying Judgment/Order: January 5, 2016
2/29/2016 5/29/2016
2016-30 SEC v. Eric Lipkin
Case number: 11-cv-03826 (United States District Court for the Southern District of New York)
Case filed: June 6, 2011
Qualifying Judgment/Order: January 5, 2016
2/29/2016 5/29/2016
2016-29 In the Matter of SAP SE
Administrative Proceeding File No.: 3-17080
Case filed: February 1, 2016
Qualifying Judgment/Order: February 1, 2016
2/29/2016 5/29/2016
2016-28 SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation
Case number: 12-cv-02164 (United States District Court for the Southern District of California)
Case filed: September 4, 2012
Qualifying Judgment/Order: January 21, 2016
2/29/2016 5/29/2016
2016-27 In the Matter of SciClone Pharmaceuticals, Inc
Administrative Proceeding File No.: 3-17101
Case filed: February 4, 2016
Qualifying Judgment/Order: February 4, 2016
2/29/2016 5/29/2016
2016-26 SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis
Case number: 13-cv-02575 (United States District Court for the Southern District of New York)
Case filed: April 18, 2013
Qualifying Judgment/Order: January 12, 2016
2/29/2016 5/29/2016
2016-25 SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen
Case number: 11-cv-00895 (United States District Court for the District of Columbia)
Case filed: May 13, 2011
Qualifying Judgment/Order: January 14, 2016
2/29/2016 5/29/2016
2016-24 In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-17077
Case filed: January 31, 2016
Qualifying Judgment/Order: January 31, 2016
2/29/2016 5/29/2016
2016-23 In the Matter of Equinox Fund Management, LLC
Administrative Proceeding File No.: 3-17057
Case filed: January 19, 2016
Qualifying Judgment/Order: January 19, 2016
2/29/2016 5/29/2016
2016-22 In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-17055
Case filed: January 14, 2016
Qualifying Judgment/Order: January 14, 2016
2/29/2016 5/29/2016
2016-21 In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-17079
Case filed: January 31, 2016
Qualifying Judgment/Order: January 31, 2016
2/29/2016 5/29/2016
2016-20 SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides
Case number: 11-cv-03656 (United States District Court for the District of Minnesota)
Case filed: December 21, 2011
Qualifying Judgment/Order: January 28, 2016
2/29/2016 5/29/2016
2016-19 In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA
Administrative Proceeding File No.: 3-16729
Case filed: January 12, 2016
Qualifying Judgment/Order: January 12, 2016
2/29/2016 5/29/2016
2016-18 In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas
Administrative Proceeding File No.: 3-17107
Case filed: February 9, 2016
Qualifying Judgment/Order: February 9, 2016
2/29/2016 5/29/2016
2016-17 SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC
Case number: 14-cv-03247 (United States District Court for the Southern District of New York)
Case filed: May 5, 2014
Qualifying Judgment/Order: July 31, 2015
2/29/2016 5/29/2016
2016-16 In the Matter of SuttonBrook Capital Management LP
Administrative Proceeding File No.: 3-16114
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
1/29/2016 4/28/2016
2016-15 SEC v. M. "Shi" Shailendra
Case number: 14-cv-02465 (United States District Court for the Northern District of Georgia)
Case filed: July 31, 2014
Qualifying Judgment/Order: September 23, 2014
1/29/2016 4/28/2016
2016-14 SEC v. Jon C. Ginder, Northamerican Energy Group, Inc., and Northamerican Energy Group, Corp.
Case number: 10-cv-02867 (United States District Court for the Southern District of Texas)
Case filed: August 11, 2010
Qualifying Judgment/Order: November 13, 2012
1/29/2016 4/28/2016
2016-13 SEC v. American Settlement Associates, LLC, Charles Jordan, and Kelly Gipson
Case number: 10-cv-00912 (United States District Court for the Southern District of Texas)
Case filed: March 19, 2010
Qualifying Judgment/Order: March 11, 2013
1/29/2016 4/28/2016
2016-12 SEC v. King Chuen Tang a/k/a Chen Tang, Ronald Yee, Zisen Yu, Joseph Seto, Ming Siu, King S. Tang a/k/a James K. Tang, and Ying Kit Yu a/k/a Eddie Yu
Case number: 09-cv-05146 (United States District Court for the Northern District of California)
Case filed: October 30, 2009
Qualifying Judgment/Order: March 13, 2013
1/29/2016 4/28/2016
2016-11 In the Matter of William M. Stephens
Administrative Proceeding File No.: 3-15233
Case filed: March 8, 2013
Qualifying Judgment/Order: March 8, 2013
1/29/2016 4/28/2016
2016-10 SEC v. Juan Cruz Bilbao Hormaeche
Case number: 14-cv-10036 (United States District Court for the Southern District of New York)
Case filed: December 22, 2014
Qualifying Judgment/Order: December 17, 2015
1/29/2016 4/28/2016
2016-9 SEC v. Alternate Energy Holdings, Inc., Donald L. Gillispie, and Jennifer Ransom
Case number: 10-cv-00621 (United States District Court for the District of Idaho)
Case filed: December 16, 2010
Qualifying Judgment/Order: May 21, 2015
1/29/2016 4/28/2016
2016-8 In the Matter of Owen Li and Canarsie Capital, LLC
Administrative Proceeding File No.: 3-17005
Case filed: December 16, 2015
Qualifying Judgment/Order: December 16, 2015
1/29/2016 4/28/2016
2016-7 In the Matter of SG Americas Securities LLC and Yimin Ge
Administrative Proceeding File No.: 3-17017
Case filed: December 22, 2015
Qualifying Judgment/Order: December 22, 2015
1/29/2016 4/28/2016
2016-6 In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang
Administrative Proceeding File No.: 3-17016
Case filed: December 22, 2015
Qualifying Judgment/Order: December 22, 2015
1/29/2016 4/28/2016
2016-5 In the Matter of KCG Americas LLC
Administrative Proceeding File No.: 3-17012
Case filed: December 21, 2015
Qualifying Judgment/Order: December 21, 2015
1/29/2016 4/28/2016
2016-4 SEC v. New Stream Capital, LLC
Case number: 13-cv-00264 (United States District Court for the District of Connecticut)
Case filed: February 26, 2013
Qualifying Judgment/Order: December 21, 2015
1/29/2016 4/28/2016
2016-3 In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-17036
Case filed: January 6, 2016
Qualifying Judgment/Order: January 6, 2016
1/29/2016 4/28/2016
2016-2 SEC v. John Clifford Williams
Case number: 15-cv-00819 (United States District Court for the Western District of Missouri)
Case filed: Month DD, YYYY
Qualifying Judgment/Order: October 20, 2015
1/29/2016 4/28/2016
2016-1 SEC v. Douglas E. Cowgill and Professional Investment Management, Inc.
Case number: 14-cv-00396 (United States District Court for the Southern District of Ohio)
Case filed: April 29, 2014
Qualifying Judgment/Order: December 22, 2015
1/29/2016 4/28/2016

Whistleblower Action Updates

A bank"Finally, in deciding upon the appropriate amount of an award, the rule indicates that the Commission will focus on the timeliness and quality of a whistleblower's assistance."

Chairman Mary L. Schapiro
May 25, 2011