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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
2017-48 In the Matter of Sociedad Quimica y Minera de Chile, S.A.
Administrative Proceeding File No.: 3-17774
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017
02/28/2017 05/29/2017
2017-47 In the Matter of MDC Partners Inc.
Administrative Proceeding File No.: 3-17795
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017
02/28/2017 05/29/2017
2017-46 SEC v. Timothy S. Durham, James F. Cochran, and Rick D. Snow
Case number: 11-cv-00370 (United States District Court for the Southern District of Indiana)
Case filed: March 16, 2011
Qualifying Judgment/Order: January 18, 2017
02/28/2017 05/29/2017
2017-45 SEC v. Andrew W.W. Caspersen and Irving Place III SPV, LLC
Case number: 16-cv-02249 (United States District Court for the Southern District of New York)
Case filed: March 28, 2016
Qualifying Judgment/Order: January 30, 2017
02/28/2017 05/29/2017
2017-44 SEC v. Charles A. Bennett
Case number: 14-cv-09828 (United States District Court for the Southern District of New York)
Case filed: December 15, 2014
Qualifying Judgment/Order: January 10, 2017
02/28/2017 05/29/2017
2017-43 In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17773
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017
02/28/2017 05/29/2017
2017-42 In the Matter of L3 Technologies, Inc.
Administrative Proceeding File No.: 3-17769
Case filed: January 11, 2017
Qualifying Judgment/Order: January 11, 2017
02/28/2017 05/29/2017
2017-41 In the Matter of Allergan, Inc.
Administrative Proceeding File No.: 3-17790
Case filed: January 17, 2017
Qualifying Judgment/Order: January 17, 2017
02/28/2017 05/29/2017
2017-40 In the Matter of ITG Inc.
Administrative Proceeding File No.: 3-17770
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017
02/28/2017 05/29/2017
2017-39 In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17817
Case filed: January 26, 2017
Qualifying Judgment/Order: January 26, 2017
02/28/2017 05/29/2017
2017-38 In the Matter of Harding Advisory LLC and Wing F. Chau
Administrative Proceeding File No.: 3-15574
Case filed: October 18, 2013
Qualifying Judgment/Order: January 6, 2017
02/28/2017 05/29/2017
2017-37 In the Matter of Orthofix International N.V.
Administrative Proceeding File No.: 3-17800
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017
02/28/2017 05/29/2017
2017-36 SEC v. Gregg R. Mulholland
Case number: 15-cv-03668 (United States District Court for the Eastern District of New York)
Case filed: June 23, 2015
Qualifying Judgment/Order: January 11, 2017
02/28/2017 05/29/2017
2017-35 In the Matter of Biomet, Inc.
Administrative Proceeding File No.: 3-17771
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017
02/28/2017 05/29/2017
2017-34 In the Matter of Citadel Securities LLC
Administrative Proceeding File No.: 3-17772
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017
02/28/2017 05/29/2017
2017-33 SEC v. Oxford City Football Club, Inc., and Thomas Anthony Guerriero
Case number: 15-cv-62594 (United States District Court for the Southern District of Florida)
Case filed: December 10, 2015
Qualifying Judgment/Order: January 26, 2017
02/28/2017 05/29/2017
2017-32 In the Matter of Orthofix International N.V.
Administrative Proceeding File No.: 3-17791
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

In the Matter of Jeffrey Hammel, CPA
Administrative Proceeding File No.: 3-17792
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

In the Matter of Brian McCollum
Administrative Proceeding File No.: 3-17793
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

In the Matter of Kenneth Mack and Bryan McMillan
Administrative Proceeding File No.: 3-17794
Case filed: January 18, 2017
Qualifying Judgment/Order:January 18, 2017
02/28/2017 05/29/2017
2017-31 In the Matter of Cadbury Limited and Mondelēz International, Inc
Administrative Proceeding File No.: 3-17759
Case filed: January 6, 2017
Qualifying Judgment/Order: January 6, 2017
02/28/2017 05/29/2017
2017-30 SEC v. AJN Investments, LLC and Jason Adam Ogden
Case number: 16-cv-63036 (United States District Court for the Southern District of Florida)
Case filed: December 28, 2016
Qualifying Judgment/Order: January 19, 2017
02/28/2017 05/29/2017
2017-29 In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17808
Case filed: January 24, 2017
Qualifying Judgment/Order: January 24, 2017

In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17809
Case filed: January 24, 2017
Qualifying Judgment/Order: January 24, 2017
02/28/2017 05/29/2017
2017-28 SEC v. Robert DeWayne Milligan
Case number: 15-cv-07308 (United States District Court for the Central District of California)
Case filed: September 17, 2015
Qualifying Judgment/Order: January 17, 2017
02/28/2017 05/29/2017
2017-27 SEC v. James M. Louks and FiberPoP Solutions, Inc.
Case number: 15-cv-03456 (United States District Court for the District of Minnesota)
Case filed: September 1, 2015
Qualifying Judgment/Order: January 13, 2017
02/28/2017 05/29/2017
2017-26 SEC v. Vu H. Le a/k/a Vinh H. Le, and TeamVinh.com LLC
Case number: 15-cv-04366 (United States District Court for the District of Minnesota)
Case filed: December 15, 2015
Qualifying Judgment/Order: February 1, 2017
02/28/2017 05/29/2017
2017-25 In the Matter of the Bank of New York Mellon Corporation
Administrative Proceeding File No.: 3-17768
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017
02/28/2017 05/29/2017
2017-24 SEC v. Christopher R. Esposito, Anthony Jay Pignatello, James Gondolfe, Renee Galizio, Lionshare Ventures LLC, and Cannabiz Mobile, Inc.
Case number: 16-cv-10960 (United States District Court for the District of Massachusetts)
Case filed: May 26, 2016
Qualifying Judgment/Order: January 27, 2017
02/28/2017 05/29/2017
2017-23 SEC v. Randal Kent Hansen, RAHFCO Management Group, LLC, Vincent Puma, and Hudson Capital Partners Corporation
Case number: 13-cv-01403 (United States District Court for the Southern District of New York)
Case filed: March 4, 2013
Qualifying Judgment/Order: May 19, 2016
01/31/2017 05/01/2017
2017-22 In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-17737
Case filed: December 20, 2016
Qualifying Judgment/Order: December 20, 2016
01/31/2017 05/01/2017
2017-21 In the Matter of United Continental Holdings, Inc.
Administrative Proceeding File No.: 3-17705
Case filed: December 2, 2016
Qualifying Judgment/Order: December 2, 2016
01/31/2017 05/01/2017
2017-20 SEC v. David L. Fleet
Case number: 14-cv-06695 (United States District Court for the Western District of New York)
Case filed: December 12, 2014
Qualifying Judgment/Order: December 12, 2016
01/31/2017 05/01/2017
2017-19 In the Matter of Harold D. Garrison
Administrative Proceeding File No.: 3-17713
Case filed: December 7, 2016
Qualifying Judgment/Order: December 7, 2016
01/31/2017 05/01/2017
2017-18 SEC v. Patrick S. Carter, 808 Renewable Energy Corporation, 808 Investments, LLC, Martin J. Kinchloe, Peter Kirkbride, West Coast Commodities, LLC, Thomas A. Flowers, and T.A. Flowers LLC
Case number: 16-cv-02070 (United States District Court for the Central District of California)
Case filed: November 17, 2016
Qualifying Judgment/Order: November 21, 2016
01/31/2017 05/01/2017
2017-17 SEC v. Diverse Financial Corporation, Roy Dekel, and David Kandell
Case number: 15-cv-01746 (United States District Court for the Central District of California)
Case filed: October 28, 2015
Qualifying Judgment/Order: December 9, 2016
01/31/2017 05/01/2017
2017-16 In the Matter of Pacific Investment Management Company, LLC
Administrative Proceeding File No.: 3-17701
Case filed: December 1, 2016
Qualifying Judgment/Order: December 1, 2016
01/31/2017 05/01/2017
2017-15 SEC v. Yin Nan "Michael" Wang, Wendy Ko, Velocity Investment Group, Inc., Bio Profit Series I, LLC, Bio Profit Series II, LLC, Bio Profit Series III, LLC, Bio Profit Series V, LLC, and Rockwell Realty Management, Inc.
Case number: 13-cv-07553 (United States District Court for the Central District of California)
Case filed: October 15, 2013
Qualifying Judgment/Order: November 30, 2016
01/31/2017 05/01/2017
2017-14 In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-17730
Case filed: December 16, 2016
Qualifying Judgment/Order: December 16, 2016
01/31/2017 05/01/2017
2017-13 SEC v. Edward F. Panos
Case number: 16-cv-02473 (United States District Court for the District of District of Columbia)
Case filed: December 19, 2016
Qualifying Judgment/Order: December 21, 2016
01/31/2017 05/01/2017
2017-12 SEC v. Caledonian Bank, LTD., Caledonian Securities LTD., Clear Water Securities, Inc., Legacy Global Markets S.A., and Verdmont Capital, S.A.
Case number: 15-cv-00894 (United States District Court for the Southern District of New York)
Case filed: February 9, 2015
Qualifying Judgment/Order: November 9, 2016
01/31/2017 05/01/2017
2017-11 In the Matter of General Cable Corporation
Administrative Proceeding File No.: 3-17755
Case filed: December 29, 2016
Qualifying Judgment/Order: December 29, 2016
01/31/2017 05/01/2017
2017-10 In the Matter of General Cable Corporation
Administrative Proceeding File No.: 3-17754
Case filed: December 29, 2016
Qualifying Judgment/Order: December 29, 2016
01/31/2017 05/01/2017
2017-9 In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited
Administrative Proceeding File No.: 3-17746
Case filed: December 22, 2016
Qualifying Judgment/Order: December 22, 2016
In the Matter of Alok Saraf, CA
Administrative Proceeding File No.: 3-17745
Case filed: December 22, 2016
Qualifying Judgment/Order: December 22, 2016
01/31/2017 05/01/2017
2017-8 In the Matter of Dennis Ira Ringer
Administrative Proceeding File No.: 3-17697
Case filed: November 23, 2016
Qualifying Judgment/Order: November 23, 2016
01/31/2017 05/01/2017
2017-7 SEC v. Ash Narayan, The Ticket Reserve Inc. a/k/a/ Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
Case number: 16-cv-01417 (United States District Court for the Northern District of Texas)
Case filed: May 24, 2016
Qualifying Judgment/Order: November 22, 2016
01/31/2017 05/01/2017
2017-6 In the Matter of SandRidge Energy, Inc.
Administrative Proceeding File No.: 3-17739
Case filed: December 20, 2016
Qualifying Judgment/Order: December 20, 2016
01/31/2017 05/01/2017
2017-5 SEC v. Teva Pharmaceuticals, LTD.
Case number: 16-cv-25298 (United States District Court for the Southern District of Florida)
Case filed: December 22, 2016
Qualifying Judgment/Order: December 29, 2016
01/31/2017 05/01/2017
2017-4 SEC v. City of Miami, Florida and Michael Boudreaux
Case number: 13-cv-22600 (United States District Court for the Southern District of Florida)
Case filed: July 19, 2013
Qualifying Judgment/Order: December 6, 2016
01/31/2017 05/01/2017
2017-3 SEC v. Interinvest Corporation, Inc., and Hans Peter Black
Case number: 15-cv-12350 (United States District Court for the District of Massachusetts)
Case filed: June 16, 2015
Qualifying Judgment/Order: December 27, 2016
01/31/2017 05/01/2017
2017-2 In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-17720
Case filed: December 12, 2016
Qualifying Judgment/Order: December 12, 2016
01/31/2017 05/01/2017
2017-1 SEC v. John W. Femenia, Shawn C. Hegedus, Danielle C. Laurenti, Coram Real Estate Holding, Inc., Goldstar P.S. Inc., Roger A. Williams, Kenneth M. Raby, Frank M. Burgess, James A. Hayes, Matthew J. Musante, Anthony C. Musante, and Aaron M. Wens
Case number: 12-cv-00803 (United States District Court for the Western District of North Carolina)
Case filed: December 5, 2012
Qualifying Judgment/Order: November 17, 2016
01/31/2017 05/01/2017
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

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