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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 5553, Washington, DC 20549 or by fax at (703) 813-9322.

Notice No. Action Notice Date Claim Due Date
2015-53 In the Matter of Julieann Palmer Martin
Administrative Proceeding File No.: 3-15613
Case filed: November 13, 2013
Initial Decision: March 9, 2015
Qualifying Judgment/Order: April 21, 2015
5/29/2015 8/27/2015
2015-52 SEC v. Guy M. Jean-Pierre, a/k/a "Marcelo Dominguez de Guerra"
Case number: 12-cv-08886 (United States District Court for the Southern District of New York)
Case filed: December 6, 2012
Qualifying Judgment/Order: April 16, 2015
5/29/2015 8/27/2015
2015-51 SEC v. Macquarie Capital (USA), Inc., Aaron Black and William Fang
Case number: 15-cv-02304 (United States District Court for the Southern District of New York)
Case filed: March 27, 2015
Qualifying Judgment/Order: April 1, 2015
5/29/2015 8/27/2015
2015-50 In the Matter of BlackRock Advisors, LLC and Bartholomew A. Battista
Administrative Proceeding File No.: 3-16501
Case filed: April 20, 2015
Qualifying Judgment/Order: April 20, 2015
5/29/2015 8/27/2015
2015-49 SEC v. Rudolf Pameijer, Lindsay R. Sayer, Ryan W. Koester, Rykoworks Capital Group, LLC
Case number: 12-cv-01364 (United States District Court for the Southern District of Indiana)
Case filed: September 24, 2012
Qualifying Judgment/Order: April 29, 2015
5/29/2015 8/27/2015
2015-48 In the Matter of Jonathan Fortenberry (A/K/A S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry)
Administrative Proceeding File No.: 3-15858
Case filed: April 28, 2014
Initial Decision: March 2, 2015
Qualifying Judgment/Order: April 7, 2015
5/29/2015 8/27/2015
2015-47 SEC v. Frank Perkins Hixon, Jr.
Case number: 14-cv-00158 (United States District Court for the Western District of Texas)
Case filed: February 20, 2014
Qualifying Judgment/Order: April 20, 2015
5/29/2015 8/27/2015
2015-46 In the Matter of Larry C. Grossman and Gregory J. Adams
Administrative Proceeding File No.: 3-15617
Case filed: April 7, 2014
Initial Decision: December 23, 2014
Qualifying Judgment/Order: April 22, 2015
5/29/2015 8/27/2015
2015-45 SEC v. Eric William Johnson
Case number: 14-cv-08825 (United States District Court for the Northern District of Illinois)
Case filed: November 5, 2014
Qualifying Judgment/Order: April 13, 2015
5/29/2015 8/27/2015
2015-44 In the Matter of FLIR Systems, Inc.
Administrative Proceeding File No.: 3-16478
Case Filed: April 8, 2015
Qualifying Judgment/Order: April 8, 2015
4/30/15 7/29/15
2015-43 SEC vs. Ronald Feldstein, Mara Capital Management LLC, and Vita Health of Americal, LLC
Case Number: 13-cv-06168 (United States District Court for the Southern District of New York)
Case Filed: Septmber 3, 2013
Qualifying Judgment/Order: March 16, 2015
4/30/15 7/29/15
2015-42 In the Matter of Global Fixed Income, LLC, Charles Perlitz Kempf, AGS Capital Group, LLC, Allen Gabriel Silberstein, Banes Capital Management, LLC, Joel Leigh Banes, Michael Warner Kochman, Big Star Capital, LLC, Ryan Patrick Mcguinness, Esso Ventures, LLC, Mark Leonard Lechler, Etek Investment Management, Inc., Kevin Gregory Haley, Finmark Resources, LLC, Peter Eric Baker, Joseph Michael Araiz, Parker Paschal & Company, LLC, Andrew Parker Shook, PMK Capital Management, LLC, Roger Kumar, Jr., RLJ Fixed Income, LLC, and Corey Antwuan Printup
Administrative Proceeding File No.: 3-16460
Case Filed: March 26, 2015
Qualifying Judgment/Order: March 26, 2015
4/30/15 7/29/15
2015-41 SEC vs. StratoComm Corporation, Roger D. Shearer, and Craig Danzig
Case Number: 11-cv-01188 (United States District Court for the Northern District of New York)
Case Filed: October 4, 2011
Qualifying Judgment/Order: March 26, 2015
4/30/15 7/29/15
2015-40 SEC vs. Charles R. Kokesh
Case Number: 09-cv-01021 (United States District Court for the District of New Mexico)
Case Filed: October 27, 2009
Qualifying Judgment/Order: March 30, 2015
4/30/15 7/29/15
2015-39 SEC v. Robert D. Falor
Case Number: 09-cv-05644 (United States District Court for the Northern District of Illinois)
Case Filed: September 11, 2009
Qualifying Judgment/Order: March 9, 2015
4/30/15 7/29/15
2015-38 SEC v. BioChemics, Inc., John J. Masiz, Craig Medoff and Gregory Kroning
Case Number: 12-cv-12324 (United States District Court for the District of Massachusetts)
Case Filed: December 14, 2012
Qualifying Judgment/Order: March 25, 2015
4/30/15 7/29/15
2015-37 SEC v. 8000, Inc., Johnathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan
Case Number: 12-cv-07261 (United States District Court for the Southern District of New York)
Case Filed: September 27, 2012
Qualifying Judgment/Order: April 7, 2015
4/30/15 7/29/15
2015-36 SEC v. Life Partners Holdings, Inc., Brian Pardo, R. Scott Peden, and David M. Martin
Case Number: 12-cv-00033 (United States District Court for the Western District of Texas)
Case Filed: January 3, 2012
Qualifying Judgment/Order: January 16, 2015
4/1/15 6/30/15
2015-35 SEC v. Lawrence "Lee" Loomis, Loomis Wealth Solutions, LLC, John Hagener, and Lismar Financial Services, LLC
Case Number: 10-cv-00458 (United States District Court for the Eastern District of California)
Case Filed: February 23, 2010
Qualifying Judgment/Order: January 21, 2015
3/31/15 6/29/15
2015-34 SEC v. Steven Scoppetuolo, Robert Tocci, Sarang Ahuja, Richard White and Eric Gordon
Case Number: 10-cv-20475 (United States District Court for the Southern District of Florida)
Case Filed: February 16, 2010
Qualifying Judgment/Order: March 27, 2013
3/31/15 6/29/15
2015-33 SEC v. Robert A Walker, Dennis L. DeSender, and DLD Financial, LTD
Case Number: 11-cv-03655 (United States District Court for the District of Minnesota)
Case Filed: December 21, 2011
Qualifying Judgment/Order: January 30, 2015
3/31/15 6/29/15
2015-32 SEC vs. Mark F. Spangler and The Spangler Group, Inc.
Case Number: 12-cv-00856 (United States District Court for the Western District of Washington)
Case Filed: May 17, 2012
Qualifying Judgment/Order: November 13, 2014
3/31/15 6/29/15
2015-31 SEC v. John Gray, Christian Keller, Kyle Martin, and Aaron Shepard
Case Number: 15-cv-00551 (United States District Court for the Northern District of California)
Case Filed: February 5, 2015
Qualifying Judgment/Order: March 2, 2015
3/31/15 6/29/15
2015-30 SEC v. World Capital Market Inc.; WCM777 Inc.; WCM777 Ltd. d/b/a WCM777 Enterprises, Inc.; and Ming Xu a/k/a Phil Ming Xu
Case Number: 14-cv-02334 (United States District Court for the Central District of California)
Case Filed: March 27, 2014
Qualifying Judgment/Order: February 20, 2015
3/31/15 6/29/15
2015-29 SEC v. China Sky One Medical, Inc., and Yan-Qing Liu
Case Number: 12-cv-07543 (United States District Court for the Central District of California)
Case Filed: September 4, 2012
Qualifying Judgment/Order: March 4, 2015
3/31/15 6/29/15
2015-28 In the Matter of Sandra Dyche
Administrative Proceeding File No.: 3-16398
Case Filed: February 20, 2015
Qualifying Judgment/Order: February 20, 2015
3/31/15 6/29/15
2015-27 SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc.
Case Number: 13-cv-01658 (United States District Court for the District of Nevada)
Case Filed: September 11, 2013
Qualifying Judgment/Order: January 27, 2015
3/31/15 6/29/15
2015-26 In the Matter of The Goodyear Tire & Rubber Company
Administrative Proceeding File No.: 3-16400
Case Filed: February 24, 2015
Qualifying Judgment/Order: February 24, 2015
3/31/15 6/29/15
2015-25 In the Matter of BDO China Dahua CPA Co., Ltd.; Deloitte Touche Tohmatsu Certified Public Accountants Ltd.; Ernst & Young Hua Ming LLP; KPMG Huazhen (Special General Partnership); PricewaterhouseCoopers Zhong Tian CPAs Limited
Administrative Proceeding File Nos.: 3-14872, 3-15116
Case Filed: February 6, 2015
Qualifying Judgment/Order: February 6, 2015
3/31/15 6/29/15
2015-24 SEC v. Lee Chi Ling
Case Number: 13-cv-05364 (United States District Court for the Eastern District of New York)
Case Filed: September 26, 2013
Qualifying Judgment/Order: February 11, 2015
3/31/15 6/29/15
2015-23 SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner
Case Number: 15-cv-01142 (United States District Court for the Northern District of Illinois)
Case Filed: February 5, 2015
Qualifying Judgment/Order: February 18, 2015
3/31/15 6/29/15
2015-22 In the Matter of VCAP Securities, LLC, and Brett Thomas Graham
Administrative Proceeding File No.: 3-16389
Case filed: February 19, 2015
Qualifying Judgment/Order: February 19, 2015
2/27/2015 5/28/2015
2015-21 SEC v. GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, and John A. Geringer
Case number: 12-cv-02663 (United States District Court for the Northern District of California)
Case filed: May 24, 2012
Qualifying Judgment/Order: February 3, 2015
2/27/2015 5/28/2015
2015-20 SEC v. Chan Tze Ngon and Jiang Xiangyuan
Case number: 13-cv-06828 (United States District Court for the Southern District of New York)
Case filed: September 26, 2013
Qualifying Judgment/Order: January 16, 2015
2/27/2015 5/28/2015
2015-19 In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-16338
Case filed: January 15, 2015
Qualifying Judgment/Order: January 15, 2015
2/27/2015 5/28/2015
2015-18 SEC v. Wwebnet, Inc. and Robert L. Kelly
Case number: 12-cv-06581 (United States District Court for the Southern District of New York)
Case filed: August 28, 2012
Qualifying Judgment/Order: January 16, 2015
2/27/2015 5/28/2015
2015-17 SEC v. Magdalena Tavella, Andres Horacio Ficicchia, Gonzalo Garcia Blaya, Lucia Mariana Hernando, Cecilia de Lorenzo, Adriana Rosa Bagattin, Daniella Patricia Goldman, Mariano Pablo Ferrari, Mariano Graciarena, and Fernando Loureyro
Case number: 13-cv-04609 (United States District Court for the Southern District of New York)
Case filed: July 3, 2013
Qualifying Judgment/Order: January 9, 2015
2/27/2015 5/28/2015
2015-16 In the Matter of Oppenheimer & Co. Inc.
Administrative Proceeding File No.: 3-16361
Case filed: January 27, 2015
Qualifying Judgment/Order: January 27, 2015
2/27/2015 5/28/2015
2015-15 SEC v. Avon Products, Inc.
Case number: 14-cv-09956 (United States District Court for the Southern District of New York)
Case filed: December 17, 2014
Qualifying Judgment/Order: January 8, 2015
2/27/2015 5/28/2015
2015-14 SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter D. Kirschner, and Stuart M. Rubens
Case number: 13-cv-62100 (United States District Court for the Southern District of Florida)
Case filed: September 26, 2013
Qualifying Judgment/Order: December 9, 2014
2/27/2015 5/28/2015
2015-13 In the Matter of International Capital Group, LLC, Brian R. Nord, Larry Russell, Jr., and Todd J. Bergeron
Administrative Proceeding File No.: 3-16366
Case filed: January 29, 2015
Qualifying Judgment/Order: January 29, 2015
2/27/2015 5/28/2015
2015-12 In the Matter of Standard & Poor's Rating Services
Administrative Proceeding File No.: 3-16348
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015
1/27/2015 4/27/2015
2015-11 In the Matter of Standard & Poor's Rating Services
Administrative Proceeding File No.: 3-16346
Case Filed: January 21, 2015
Qualifying Judgment/Order: January 21, 2015
1/27/2015 4/27/2015
2015-10 In the Matter of EDGA Exchange, Inc., and EDGX Exchange, Inc.
Administrative Proceeding File No.: 3-16332
Case Filed: January 12, 2015
Qualifying Judgment/Order: January 12, 2015
1/27/2015 4/27/2015
2015-9 SEC v. Michael B. Ferguson and Transactions Unlimited
Case Number: 14-cv-04188 (United States District Court for the Northern District of California)
Case Filed: September 29, 2014
Qualifying Judgment/Order: November 13, 2014
1/27/2015 4/27/2015
2015-8 SEC v. John N. Irwin, CPA and Jacklin Associates, Inc.
Case Number: 11-cv-04429 (United States District Court for the Eastern District of Pennsylvania)
Case Filed: July 11, 2011
Qualifying Judgment/Order: December 19, 2014
1/27/2015 4/27/2015
2015-7 SEC v. Alternative Green Technologies, Inc., Mitchell Segal, Belmont Partners, LLC, Joseph Meuse, Howard Borg, David Ryan, Vikram Khanna, and Panascope Capital Inc.
Case Number: 11-cv-09056 (United States District Court for the Southern District of New York)
Case Filed: December 12, 2011
Qualifying Judgment/Order: December 15, 2014
1/27/2015 4/27/2015
2015-6 SEC v. Larry R. Polhill
Case Number: 13-cv-01729 (United States District Court for the Central District of California)
Case Filed: September 24, 2013
Qualifying Judgment/Order: December 6, 2014
1/27/2015 4/27/2015
2015-5 SEC v. Bill C. (Billy) Crafton, Jr.
Case Number: 14-cv-02916 (United States District Court for the Southern District of California)
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 17, 2014
1/27/2015 4/27/2015
2015-4 SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch
Case Number: 11-cv-01962 (United States District Court for the Central District of California)
Case Filed: December 21, 2011
Qualifying Judgment/Order: December 10, 2014
1/27/2015 4/27/2015
2015-3 SEC vs. Brian N. Hollnagel and BCI Aircraft Leasing, Inc.
Case Number: 07-cv-04538 (United States District Court for the Northern District of Illinois)
Case filed: August 13, 2007
Qualifying judgment/order: December 18, 2014
1/27/2015 4/27/2015
2015-2 In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-16310
Case Filed: December 10, 2014
Qualifying Judgment/Order: December 10, 2014
1/27/2015 4/27/2015
2015-1 In the Matter of Bruker Corporation
Administrative Proceeding File No.: 3-16314
Case Filed: December 15, 2014
Qualifying Judgment/Order: December 15, 2014
1/27/2015 4/27/2015

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