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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
2016-75 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
2015-148 SEC v. Enviratrands, Inc. and Russell F. Haraburda
Case Number: 15-cv-01903 (United States District Court for the Middle District of Florida)
Date Filed: August 17, 2015
Date of Qualifying Judgment/Order: August 20, 2015
12/23/2015 3/22/2016
2015-147 In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-17008
Date Filed: December 18, 2015
Date of Qualifying Judgment/Order: December 18, 2015
12/23/2015 3/22/2016
2015-146 SEC v. National Note of Utah, LC, a Utah Limited Liability Company and Wayne LaMar Palmer, an individual
Case Number: 12-cv-00591 (United States District Court for the District of Utah)
Date Filed: June 25, 2012
Date of Qualifying Judgment/Order: December 2, 2015
12/23/2015 3/22/2016
2015-145 SEC v. Summit Asset Strategies Investment Management, LLC; Summit Asset Strategies Wealth Management, LLC; and Chris Yoo
Case Number: 15-cv-01429 (United States District Court for the Western District of Washington)
Date Filed: September 4, 2015
Date of Qualifying Judgment/Order: November 6, 2015
12/23/2015 3/22/2016
2015-144 SEC v. Bonan Huang, et al.
Case Number: 15-cv-00269 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: January 21, 2015
Date of Qualifying Judgment/Order: December 3, 2015
12/23/2015 3/22/2016
2015-143 In the Matter of Sands Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly
Administrative Proceeding File No.: 3-16223
Date Filed: November 19, 2015
Date of Qualifying Judgment/Order: November 19, 2015
12/23/2015 3/22/2016
2015-142 In the Matter of Standard Bank PLC
Administrative Proceeding File No.: 3-16973
Date Filed: November 30, 2015
Date of Qualifying Judgment/Order: November 30, 2015
12/23/2015 3/22/2016
2015-141 SEC v. Brett A. Cooper, et al.
Case Number: 13-cv-05781 (United States District Court for the District of New Jersey)
Date Filed: September 27, 2013
Date of Qualifying Judgment/Order: November 5, 2015
12/23/2015 3/22/2016
2015-140 SEC v. Vladimir Eydelman
Case Number: 14-cv-01742 (United States District Court for the District of New Jersey)
Date Filed: March 19, 2014
Date of Qualifying Judgment/Order: October 28, 2015
12/23/2015 3/22/2016
2015-139 SEC v. Hitachi, LTD.
Case Number: 15-cv-01573 (United States District Court for the District of Columbia)
Date Filed: September 28, 2015
Date of Qualifying Judgment/Order: November 24, 2015
12/23/2015 3/22/2016
2015-138 SEC v. Summit Trust Company, Rampart Capital Management, LLC, Trust Counselors Network, Inc., Brown Investment Advisors, Inc., Kevin C. Brown, and George P. Brown
Case Number: 15-cv-05843 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: October 27, 2015
Date of Qualifying Judgment/Order: November 6, 2015
12/23/2015 3/22/2016
2015-137

In the Matter of Grant Thornton, LLP
Administrative Proceeding File No.: 3-16976
Date Filed: December 2, 2015
Date of Qualifying Judgment/Order: December 2, 2015

In the Matter of Melissa K. Koeppel, CPA, and Jeffrey J. Robinson, CPA
Administrative Proceeding File No.: 3-16977
Date Filed: December 2, 2015
Date of Qualifying Judgment/Order: December 2, 2015

12/23/2015 3/22/2016
2015-136 SEC v. Tropikgadget FZE, et al.
Case Number: 15-cv-10543 (United States District Court for the District of Massachusetts)
Date Filed: February 25, 2015
Date of Qualifying Judgment/Order: November 12, 2015
12/23/2015 3/22/2016
2015-135 In the Matter of Virtus Investment Advisers, Inc.
Administrative Proceeding File No.: 3-16959
Case filed: November 16, 2015
Qualifying Judgment/Order: November 16, 2015
12/01/2015 2/29/2016
2015-134 In the Matter of Fenway Partners, LLC, Peter Lamm, William Gregory Smart, Timothy Mayhew, Jr., and Walter Wiacek, CPA
Administrative Proceeding File No.: 3-16938
Case filed: November 3, 2015
Qualifying Judgment/Order: November 3, 2015
11/30/2015 2/28/2016
2015-133 In the Matter of Briargate Trading, LLC and Eric Oscher
Administrative Proceeding File No.: 3-16889
Case filed: October 8, 2015
Qualifying Judgment/Order: October 8, 2015
11/30/2015 2/28/2016
2015-132 In the Matter of Wolverine Trading, LLC and Wolverine Asset Management, LLC
Administrative Proceeding File No.: 3-16890
Case filed: October 8, 2015
Qualifying Judgment/Order: October 8, 2015
11/30/2015 2/28/2016
2015-131 In the Matter of Total Wealth Management, Inc., Jacob Keith Cooper, Mathan McNamee, and Douglas David Shoemaker
Administrative Proceeding File No.: 3-15842
Case filed: April 15, 2014
Qualifying Judgment/Order: October 13, 2015
11/30/2015 2/28/2016
2015-130 SEC v. Justin Moongyu Lee; Rebecca Taewon Lee; Thomas Edward Kent; American Immigrant Investment Fund I, LLC; Biofuel Venture IV, LLC; Biofuel Venture V, LLC; Nexland, Inc., dba Nexland Investment Group; and Nexsun Ethanol, LLC
Case number: 14-cv-06865 (United States District Court for the Central District of California)
Case filed: September 3, 2014
Qualifying Judgment/Order: October 29, 2015
11/30/2015 2/28/2016
2015-129 In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C. and Blackstone Management Partners IV L.L.C.
Administrative Proceeding File No.: 3-16887
Case filed: October 7, 2015
Qualifying Judgment/Order: October 7, 2015
11/30/2015 2/28/2016
2015-128 In the Matter of J.P. Morgan Investment Management Inc.
Administrative Proceeding File No.: 3-16897
Case filed: October 14, 2015
Qualifying Judgment/Order: October 14, 2015
11/30/2015 2/28/2016
2015-127 SEC v. Premiere Power, LLC; John Jankovic; and Jerry Jankovic
Case number: 15-cv-01248 (United States District Court for the Southern District of New York)
Case filed: February 20, 2015
Qualifying Judgment/Order: October 9, 2015
11/30/2015 2/28/2016
2015-126 In the Matter of UBS Willow Management LLC and UBS Fund Advisor LLC
Administrative Proceeding File No.: 3-16909
Case filed: October 19, 2015
Qualifying Judgment/Order: October 19, 2015
11/30/2015 2/28/2016
2015-125 In the Matter of DBRS, Inc.
Administrative Proceeding File No.: 3-16922
Case filed: October 26, 2015
Qualifying Judgment/Order: October 26, 2015
11/30/2015 2/28/2016
2015-124 In the Matter of the St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA
Administrative Proceeding File No.: 3-16927
Case filed: October 27, 2015
Qualifying Judgment/Order: October 27, 2015
11/30/2015 2/28/2016
2015-123 SEC v. Robert A. Helms, et al.
Case number: 13-cv-01036 (United States District Court for the Western District of Texas)
Case filed: December 3, 2013
Qualifying Judgment/Order: October 21, 2015
11/30/2015 2/28/2016
2015-122 In the Matter of Gary M. Arford
Administrative Proceeding File No.: 3-16932
Case filed: October 28, 2015
Qualifying Judgment/Order: October 28, 2015
11/30/2015 2/28/2016
2015-121 In the Matter of David F. Bandimere and John O. Young
Administrative Proceeding File No.: 3-15124
Case filed: December 6, 2012
Qualifying Judgment/Order: October 29, 2015
11/30/2015 2/28/2016
2015-120 SEC v. Billy Wayne McClintock, individually, and dba MSC Holdings, Dianne Alexander aka Linda Dianne Alexander
Case number: 12-cv-04028 (United States District Court for the Northern District of Georgia)
Case filed: November 19, 2012
Qualifying Judgment/Order: September 15, 2015
11/30/2015 2/28/2016
2015-119 SEC v. Daniel Bergin
Case number: 13-cv-01940 (United States District Court for the Northern District of Texas)
Case filed: May 23, 2013
Qualifying Judgment/Order: August 18, 2015
10/30/2015 1/28/2016
2015-118 SEC v. Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley, and Jack Halperin
Case number: 10-cv-02031 (United States District Court for the Eastern District of New York)
Case filed: May 5, 2010
Qualifying Judgment/Order: April 16, 2015
10/30/2015 1/28/2016
2015-117 SEC v. Jeffory D. Shields (a/k/a Jeffrey D. Shields) and Geodynamics, Inc. (f/k/a or d/b/a Geodynamics Exploration, Inc.)
Case number: 11-cv-02121 (United States District Court for the District of Colorado)
Case filed: August 15, 2011
Qualifying Judgment/Order: March 16, 2015
10/30/2015 1/28/2016
2015-116 In the Matter of UBS AG
Administrative Proceeding File No.: 3-16891
Case filed: October 13, 2015
Qualifying Judgment/Order: October 13, 2015
10/30/2015 1/28/2016
2015-115 In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-16835
Case filed: September 28, 2015
Qualifying Judgment/Order: September 28, 2015
10/30/2015 1/28/2016
2015-114 SEC v. Arkadiy Dubovoy, et al.
Case number: 15-cv-06076 (United States District Court for the District of New Jersey)
Case filed: August 10, 2015
Qualifying Judgment/Order: September 28, 2015
10/30/2015 1/28/2016
2015-113 In the Matter of William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.
Administrative Proceeding File No.: 3-16829
Case filed: September 23, 2015
Qualifying Judgment/Order: September 23, 2015
10/30/2015 1/28/2016
2015-112 In the Matter of Home Loan Servicing Solutions, Ltd.
Administrative Proceeding File No.: 3-16882
Case filed: October 5, 2015
Qualifying Judgment/Order: October 5, 2015
10/30/2015 1/28/2016
2015-111 In the Matter of Focus Media Holding Limited and Jason Jiang
Administrative Proceeding File No.: 3-16852
Case filed: September 30, 2015
Qualifying Judgment/Order: September 30, 2015
10/30/2015 1/28/2016
2015-110 SEC v. iShopNoMarkup.com, Inc., Scott W. Brockop, Anthony M. Knight, and Moussa Yeroushalmi a/k/a Mike Yeroush
Case number: 04-cv-04057 (United States District Court for the Eastern District of New York)
Case filed: September 20, 2004
Qualifying Judgment/Order: September 3, 2015
10/30/2015 1/28/2016
2015-109 SEC v. Efstratios "Elias" D. Argryropoulos and Prima Capital Group, Inc.
Case number: 14-cv-09800 (United States District Court for the Central District of Florida)
Case filed: December 23, 2014
Qualifying Judgment/Order: September 29, 2015
10/30/2015 1/28/2016
2015-108 SEC v. ABS Manager, LLC and George Charles Cody Price
Case number: 13-cv-00319 (United States District Court for the Southern District of California)
Case filed: February 8, 2013
Qualifying Judgment/Order: July 16, 2015
10/30/2015 1/28/2016
2015-107 In the Matter of Latour Trading LLC
Administrative Proceeding File No.: 3-16851
Case filed: September 30, 2015
Qualifying Judgment/Order: September 30, 2015
10/30/2015 1/28/2016
2015-106 In the Matter of First Eagle Investment Management, LLC and FEF Distributors, LLC
Administrative Proceeding File No.: 3-16823
Case filed: September 21, 2015
Qualifying Judgment/Order: September 21, 2015
10/30/2015 1/28/2016
2015-105 In the Matter of Edward T. Borg and Brian J. Mulkeen
Administrative Proceeding File No.: 3-16875
Case filed: September 30, 2015
Qualifying Judgment/Order: September 30, 2015
10/30/2015 1/28/2016
2015-104 In the Matter of Bristol-Myers Squibb Company
Administrative Proceeding File No.: 3-16881
Case filed: October 5, 2015
Qualifying Judgment/Order: October 5, 2015
10/30/2015 1/28/2016
2015-103 SEC v. Evolution Capital Advisors, LLC, Evolution Investment Group I, LLC, and Damian Omar Valdez
Case number: 11-cv-02945 (United States District Court for the Southern District of Texas)
Case filed: August 10, 2011
Qualifying Judgment/Order: September 17, 2015
10/30/2015 1/28/2016
2015-102 In the Matter of UBS Financial Services Incorporated of Puerto Rico
Administrative Proceeding File No.: 3-16846
Case filed: September 29, 2015
Qualifying Judgment/Order: September 29, 2015
10/30/2015 1/28/2016
2015-101 SEC v. Bankatlantic Bancorp, Inc. and Alan B. Levan
Case number: 12-cv-60082 (United States District Court for the Southern District of Florida)
Case filed: January 18, 2012
Qualifying Judgment/Order: September 24, 2015
10/30/2015 1/28/2016
2015-100 SEC v. Xiaoyu Xia and Yanting Hu
Case number: 15-cv-03320 (United States District Court for the Southern District of New York)
Case filed: April 29, 2015
Qualifying Judgment/Order: September 10, 2015
10/30/2015 1/28/2016
2015-99 In the Matter of Trinity Capital Corporation
Administrative Proceeding File No.: 3-16837
Case filed: September 28, 2015
Qualifying Judgment/Order: September 8, 2015
10/30/2015 1/28/2016
2015-98 In the Matter of Bankrate, Inc.
Administrative Proceeding File No.: 3-16837
Case filed: September 8, 2015
Qualifying Judgment/Order: September 8, 2015
10/30/2015 1/28/2016
2015-97 SEC v. Spencer Pharmaceutical Inc., Jean-Fran├žois Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc. and Hilbroy Advisory Inc.
Case number: 12-cv-12334 (United States District Court for the District of Massachusetts)
Case filed: December 17, 2012
Qualifying Judgment/Order: October 1, 2015
10/30/2015 1/28/2016
2015-96 SEC v. James A. Evans, Jr., d/b/a/ Cashflowbot.com, d/b/a Dollarmonster
Case number: 15-cv-01118 (United States District Court for the Northern District of Georgia)
Case filed: April 13, 2015
Qualifying Judgment/Order: September 30, 2015
10/30/2015 1/28/2016
2015-95 SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill
Case number: 15-cv-02401 (United States District Court for the District of Maryland)
Case filed: August 13, 2015
Qualifying Judgment/Order: August 21, 2015
9/30/2015 12/29/2015
2015-94 SEC v. David Craven and Alexander J. Craven
Case number: 15-cv-01820 (United States District Court for the Southern District of New York)
Case filed: March 11, 2015
Qualifying Judgment/Order: August 27, 2015
9/30/2015 12/29/2015
2015-93 In the Matter of BDO USA, LLP
Administrative Proceeding File No.: 3-16800
Case filed: September 9, 2015
Qualifying Judgment/Order: September 9, 2015
9/30/2015 12/29/2015
2015-92 In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.
Administrative Proceeding File No.: 3-16757
Case filed: August 17, 2015
Qualifying Judgment/Order: August 17, 2015
9/30/2015 12/29/2015
2015-91 SEC v. John Thornes
Case number: 14-cv-06088 (United States District Court for the Central District of California)
Case filed: August 4, 2014
Qualifying Judgment/Order: July 17, 2015
9/30/2015 12/29/2015
2015-90 In the Matter of Edward D. Jones & Co., L.P.
Administrative Proceeding File No.: 3-16751
Case filed: August 13, 2015
Qualifying Judgment/Order: August 13, 2015
9/30/2015 12/29/2015
2015-89 In the Matter of Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed
Administrative Proceeding File No.: 3-16755
Case filed: August 14, 2015
Qualifying Judgment/Order: August 14, 2015
9/30/2015 12/29/2015
2015-88 In the Matter of Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
Administrative Proceeding File No.: 3-16776
Case filed: September 2, 2015
Qualifying Judgment/Order: September 2, 2015
9/30/2015 12/29/2015
2015-87 In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-16764
Case filed: August 19, 2015
Qualifying Judgment/Order: August 19, 2015
9/30/2015 12/29/2015
2015-86 In the Matter of the Bank of New York Mellon Corporation
Administrative Proceeding File No.: 3-16762
Case filed: August 18, 2015
Qualifying Judgment/Order: August 18, 2015
9/30/2015 12/29/2015
2015-85 In the Matter of Mead Johnson Nutrition Company
Administrative Proceeding File No.: 3-16704
Case Filed: July 28, 2015
Qualifying Judgment/Order: July 28, 2015
8/31/2015 11/29/2015
2015-84 In the Matter of Wisteria Global, Inc. and Hiroshi Fujigami
Administrative Proceeding File No.: 3-16675
Case Filed: July 6, 2015
Qualifying Judgment/Order: July 6, 2015
8/31/2015 11/29/2015
2015-83 In the Matter of ITG Inc. and AlterNet Securities, Inc.
Administrative Proceeding File No.: 3-16742
Case Filed: August 12, 2015
Qualifying Judgment/Order: August 12, 2015
8/31/2015 11/29/2015
2015-82 In the Matter of OZ Management, LP
Administrative Proceeding File No.: 3-16686
Case Filed: July 14, 2015
Qualifying Judgment/Order: July 14, 2015
8/31/2015 11/29/2015
2015-81 In the Matter of VERO Capital Management, LLC, Robert Geiger, George Barbaresi, Esq, and Steven Downey, CPA
Administrative Proceeding File No.: 3-16328
Case Filed: December 29, 2014
Qualifying Judgment/Order: July 8, 2015
8/31/2015 11/29/2015
2015-80 SEC v. Mikhail Galas, Alexander Hawatmeh, Christopher Mwroca, and Tovy Pustovit
Case Number: 14-cv-05621 (United States District Court for the Western District of Washington)
Case Filed: August 5, 2014
Qualifying Judgment/Order: July 21, 2015
8/31/2015 11/29/2015
2015-79 In the Matter of Guggenheim Partners Investment Management, LLC
Administrative Proceeding File No.: 3-16735
Case Filed: August 10, 2015
Qualifying Judgment/Order: August 10, 2015
8/31/2015 11/29/2015
2015-78 SEC v. Frank Tamayo
Case Number: 14-cv-05844 (United States District Court for the District of New Jersey)
Case Filed: September 19, 2014
Qualifying Judgment/Order: July 14, 2015
8/31/2015 11/29/2015
2015-77 SEC v. George G. Levin and Frank J. Preve
Case Number: 12-cv-21917 (United States District Court for the Southern District of Florida)
Case Filed: May 22, 2012
Qualifying Judgment/Order: August 3, 2015
8/31/2015 11/29/2015
2015-76 SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr.
Case number: 12-cv-10692 (United States District Court for the Central District of California)
Case filed: December 14, 2012
Qualifying Judgment/Order: May 11, 2015
7/31/2015 10/29/2015
2015-75 SEC v. Joshua A. Yudell
Case number: 15-cv-04548 (United States District Court for the Southern District of New York)
Case filed: June 11, 2015
Qualifying Judgment/Order: June 16, 2015
7/31/2015 10/29/2015
2015-74 SEC v. Andrew L. Evans
Case number: 15-cv-02551 (United States District Court for the Northern District of California)
Case filed: June 9, 2015
Qualifying Judgment/Order: June 10, 2015
7/31/2015 10/29/2015
2015-73 In the Matter of Kohlberg Kravis Roberts & Co. L.P.
Administrative Proceeding File No.: 3-16656
Case filed: June 29, 2015
Qualifying Judgment/Order: June 29, 2015
7/31/2015 10/29/2015
2015-72 In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-16665
Case filed: June 30, 2015
Qualifying Judgment/Order: June 30, 2015
7/31/2015 10/29/2015
2015-71 In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton
Administrative Proceeding File No.: 3-16672
Case filed: July 1, 2015
Qualifying Judgment/Order: July 1, 2015
7/31/2015 10/29/2015
2015-70 In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield
Administrative Proceeding File No.: 3-16575
Case filed: June 5, 2015
Qualifying Judgment/Order: June 5, 2015
7/31/2015 10/29/2015
2015-69 SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller
Case number: 10-cv-01235 (United States District Court for the Northern District of Ohio)
Case filed: June 2, 2010
Qualifying Judgment/Order: May 26, 2015
7/31/2015 10/29/2015
2015-68 In the Matter of Helmut Anscheringer
Administrative Proceeding File No.: 3-16589
Case filed: June 15, 2015
Qualifying Judgment/Order: June 15, 2015
7/31/2015 10/29/2015
2015-67 SEC v. Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner
Case number: 14-cv-80823 (United States District Court for the Southern District of Florida)
Case filed: June 23, 2014
Qualifying Judgment/Order: June 22, 2015
7/31/2015 10/29/2015
2015-66 In the Matter of Alphabridge Capital Management, LLC, Thomas T. Kutzen, and Michael J. Carino
Administrative Proceeding File No.: 3-16670
Case filed: July 1, 2015
Qualifying Judgment/Order: July 1, 2015
7/31/2015 10/29/2015
2015-65 In the Matter of Nationwide Life Insurance Company
Administrative Proceeding File No.: 3-16537
Case Filed: May 14, 2015
Qualifying Judgment/Order: May 14, 2015
6/30/15 9/28/15
2015-64 SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson
Case Number: 15-cv-03528 (United States District Court for the District of New Jersey)
Case Filed: May 26, 2015
Qualifying Judgment/Order: May 29, 2015
6/30/15 9/28/15
2015-63 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation
Administrative Proceeding File No.: 3-16567
Case Filed: June 1, 2015
Qualifying Judgment/Order: June 1, 2015
6/30/15 9/28/15
2015-62 SEC v. Luis Chang and Everbright Development Overseas Limited
Case Number: 14-cv-04132 (United States District Court for the Southern District of New York
Case Filed: July 24, 2014
Qualifying Judgment/Order: May 15, 2015
6/30/15 9/28/15
2015-61 In the Matter of Deutsche Bank AG
Administrative Proceeding File No.: 3-16557
Case Filed: May 26, 2015
Qualifying Judgment/Order: May 26, 2015
6/30/15 9/28/15
2015-60 In the Matter of BHP Billiton Ltd. And BHP Billton Plc
Administrative Proceeding File No.: 3-16546
Case Filed: May 20, 2015
Qualifying Judgment/Order: May 20, 2015
6/30/15 9/28/15
2015-59 SEC v. Radius Capital Corp. and Robert A. DiGiorgio
Case Number: 11-cv-00116 (United States District Court for the Middle District of Florida)
Case Filed: March 7, 2011
Qualifying Judgment/Order: April 23, 2015
6/30/15 9/28/15
2015-58 In the Matter of David B. Havanich, Jr., Carmine A. DellaSala, Matthew D. Welch, Richard Hampton Scurlock, III, RTAG Inc. d/b/a Retirement Tax Advisory Group, Jose F. Carrio, Dennis K. Karasik, Carrio, Karasik & Associates, LLP, and Michael J. Salovay
Administrative Proceeding File No.: 3-16354
Case Filed: January 23, 2015
Qualifying Judgments/Orders: 33-9791, 33-9792, 33-9793 (May 26, 2015)
6/30/15 9/28/15
2015-57 SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd.
Case Number: 13-cv-24360 (United States District Court for the Southern District of Florida)
Case Filed: December 3, 2013
Qualifying Judgment/Order: May 26, 2015
6/30/15 9/28/15
2015-56 SEC v. Robert A. Gist and Gist, Kennedy & Associates, Inc.
Case Number: 13-cv-01833 (United States District Court for the Northen District of Georgia)
Case Filed: May 31, 2013
Qualifying Judgment/Order: May 1, 2015
6/30/15 9/28/15
2015-55 SEC v. Charles H. Merchant, Sr. and Southern USA Resources, Inc.
Case Number: 13-cv-03879 (United States District Court for the Northern District of Georgia)
Case Filed: November 22, 2013
Qualifying Judgment/Order: May 6, 2015
6/30/15 9/28/15
2015-54 In the Matter of Spectrum Concepts, LLC, Donald James Worswick, Michael Nicholas Grosso, and Michael Patrick Brown
Administrative Proceeding File No.: 3-16358
Case Filed: January 23, 2015
Initial Decision: April 7, 2015
Qualifying Judgment/Order: May 20, 2015
6/30/15 9/28/15
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