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Notices of Covered Action: 2013 Archive

Notice No. Action Notice Date Claim Due Date
2013-39 SEC v. A Chicago Convention Center, LLC, Anshoo R. Sethi, and Intercontinental Regional Center Trust of Chicago, LLC
Case number: 13-cv-00982 (United States District Court for the Northern District of Illinois)
Case filed: February 6, 2013
Qualifying Judgment/Order: April 19, 2013
4/23/2013 7/22/2013
2013-38 SEC v. Big Apple Consulting USA, Inc., MJMM Investments, LLC, Marc Jablon, Matthew Maguire, Mark C. Kaley, and Keith Jablon
Case number: 09-cv-1963 (United States District Court for the Middle District of Florida)
Case filed: November 18, 2009
Qualifying Judgment/Order: March 29, 2013
4/15/2013 7/15/2013
2013-37 SEC v. 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis
Case number: 12-cv-01289 (United States District Court for the District of Oregon)
Case filed: July 17, 2012
Qualifying Judgment/Order: March 19, 2013
4/15/2013 7/15/2013
2013-36 In the Matter of Banco Comercial Português, S.A.
Administrative Proceeding File No.: 3-15248
Case filed: March 18, 2013
Qualifying Judgment/Order: March 18, 2013
4/15/2013 7/15/2013
2013-35 SEC v. Verde Retirement LLC, a California limited liability company, Verde FX Nevada, LLC, a California limited liability company, Covenant Capital Partners, a California corporation, and Steven L. Hamilton
Case number: 12-cv-0445 (United States District Court for the Southern District of California)
Case filed: February 21, 2012
Qualifying Judgment/Order: March 28, 2013
4/15/2013 7/15/2013
2013-34 SEC v. City Capital Corporation, Ephren W. Taylor, II, and Wendy Jean Connor
Case number: 12-cv-1249 (United States District Court for the Northern District of Georgia)
Case filed: April 12, 2012
Qualifying Judgment/Order: March 7, 2013
4/15/2013 7/15/2013
2013-33 SEC v. Derek A. Nelson, Capital Mountain Holding Corp., Systems XXI, Act I, LLC, and Systems XXI, Act II, LLC
Case number: 09-cv-2222 (United States District Court of the Northern District of Texas)
Case filed: November 20, 2009
Qualifying Judgment/Order: March 6, 2013
4/15/2013 7/15/2013
2013-32 SEC v. Bridge Premium Finance, LLC (f/k/a Berjac of Colorado, LLC), Michael J. Turnock, and William P. Sullivan, II
Case number: 12-cv-2131 (United States District Court for the District of Colorado)
Case filed: August 14, 2012
Qualifying Judgment/Order: March 11, 2013
4/15/2013 7/15/2013
2013-31 SEC v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert C. Rice, and Robert S. Anderson
Case number: 11-cv-11649 (United States District Court for the District of Massachusetts)
Case filed: September 19, 2011
Qualifying Judgment/Order: March 13, 2013
4/15/2013 7/15/2013
2013-30 SEC v. M. Mark McAdams and R. Dane Freeman
Case number: 10-cv-00701 (United States District Court for the District of South Carolina)
Case filed: March 18, 2010
Qualifying Judgment/Order: March 1, 2013
4/15/2013 7/15/2013
2013-29 SEC v. Oversea Chinese Fund Limited Partnership, Weizhen Tang & Associates, Inc., Weizhen Tang Corp., Winwin Capital Management, LLC, Winwin Capital Limited Partnership, J.O.R. & Associates, LLC, and Weizhen Tang
Case number: 09-cv-0614 (United States District Court for the Northern District of Texas)
Case filed: April 3, 2009
Qualifying Judgment/Order: October 1, 2012
4/15/2013 7/15/2013
2013-28 SEC v. EFS, LLC, Freedom Fidelity, LLC, James N. Pratt, SP&V, LLC, and Timothy V. Coffin
Case number: 06-cv-0793 (United States District Court for the Northern District of Texas)
Case filed: May 3, 2006
Qualifying Judgment/Order: October 17, 2012
4/15/2013 7/15/2013
2013-27 SEC v. Merendon Mining (Nevada) Inc, Larry Lee Adair, Milowe Allen Brost a/k/a/ Milow Brost, M.B. Gonne or Phillip K. Collins, Ward K. Capstick, Bradley Dean Regier, Gary Allen Sorenson a/k/a Don Grey Fox, Martin M. Werner, Syndicated Gold Depository Inc, now known as Bahamas Resources Alliance Ltd., Merendon Mining Corp. Ltd., Institute For Financial Learning Group of Companies, Inc.
Case number: 10-cv-00955 (United States District Court for the Western District of Washington)
Case filed: June 10, 2010
Qualifying Judgment/Order: October 30, 2012
4/15/2013 7/15/2013
2013-26 SEC v. Chetan Kapur and Lilaboc, LLC, d/b/a ThinkStrategy Capital Management, LLC.
Case number: 11-cv-8094 (United States District Court for the Southern District of New York)
Case filed: November 10, 2011
Qualifying Judgment/Order: November 29, 2012
4/15/2013 7/15/2013
2013-25 SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC.
Case number: 10-cv-00263 (United States District Court for the District of New Mexico)
Case filed: March 23, 2010
Qualifying Judgment/Order: February 14, 2013
03/11/2013 06/10/2013
2013-24 SEC v. Sky Way Global LLC (A/K/A Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S. Kent, Kenneth Bruce Baker (A/K/A Bruce Baker), and Kenneth R. Kramer
Case number: 09-cv-00455 (United States District Court for the Middle District of Florida)
Case filed: March 13, 2009
Qualifying Judgment/Order: February 22, 2013
03/11/2013 06/10/2013
2013-23 SEC v. Peter Siris, Guerrilla Capital Management, LLC, and Hua Mei 21st Century, LLC
Case number: 12-cv-05810 (United States District Court for the Southern District of New York)
Case filed: July 30, 2012
Qualifying Judgment/Order: September 18, 2012
03/11/2013 06/10/2013
2013-22 SEC v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed Executrix
Case number: 08-cv-01112 (United States District Court for the Middle District of Tennessee)
Case filed: November 18, 2008
Qualifying Judgment/Order: February 26, 2013
03/11/2013 06/10/2013
2013-21 In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC
Administrative Proceeding File No.: 3-15238
Case filed: March 11, 2013
Qualifying Judgment/Order: March 11, 2013
03/11/2013 06/10/2013
2013-20 SEC v. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc.
Case number: 10-cv-1720 (United States District Court for the Southern District of New York)
Case filed: March 4, 2010
Qualifying Judgment/Order: February 13, 2013
03/11/2013 06/10/2013
2013-19 SEC v. Gilbert G. Lundstrom, James A. Laphen, and Trevor A. Lundstrom
Case number: 12-cv-00343 (United States District Court for the District of Nebraska)
Case filed: Month DD, YYYY
Qualifying Judgment/Order: September 25, 2012
03/11/2013 06/10/2013
2013-18 SEC v. Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC and Richard H. Nickles
Case number: 10-cv-00423 (United States District Court for the Central District of California)
Case filed: April 7, 2010
Qualifying Judgment/Order: September 24, 2012
03/11/2013 06/10/2013
2013-17 In the Matter of Focus Point Solutions, Inc., The H Group, Inc., and Christopher Keil Hicks
Administrative Proceeding File No.: 3-15011
Case filed: September 6, 2012
Qualifying Judgment/Order: September 6, 2012
03/11/2013 06/10/2013
2013-16 SEC v. Howard Brett Berger
Case number: 12-cv-4728 (United States District Court for the Eastern District of New York)
Case filed: September 21, 2012
Qualifying Judgment/Order: January 22, 2013
03/11/2013 06/10/2013
2013-15 SEC v. David E. Ruskjer
Case number: 09-cv-237 (United States District Court for the District of Hawaii)
Case filed: May 27, 2009
Qualifying judgment/order: January 2, 2013
02/08/2013 05/09/2013
2013-14 SEC v. Eli Lilly and Company
Case number: 12-cv-2045 (United States District Court for the District of Columbia)
Case filed: December 20, 2012
Qualifying judgment/order: January 2, 2013
02/08/2013 05/09/2013
2013-13 SEC v. Igor Poteroba, Aleksey Koval and Alexander Vorobiev
Case number: 10-cv-2667 (United States District Court for the Southern District of New York)
Case filed: March 24, 2010
Qualifying judgment/order: January 15, 2013
02/08/2013 05/09/2013
2013-12 SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I
Case number: 12-cv-1862 (United States District Court for the District of Columbia)
Case filed: November 16, 2012
Qualifying judgment/order: January 8, 2013
02/08/2013 05/09/2013
2013-11 SEC v. Gary J. Martel, D/B/A Martel Financial Group, and MFG Funding
Case number: 12-cv-11095 (United States District Court for the District of Massachusetts)
Case filed: June 19, 2012
Qualifying judgment/order: January 7, 2013
02/08/2013 05/09/2013
2013-10 SEC v. Management Solutions, Inc., a Texas Corporation; Wendell A. Jacobson; and Allen R. Jacobson
Case number: 11-cv-1165 (United States District Court for the District of Utah)
Case filed: December 15, 2011
Qualifying judgment/order: December 18, 2012
1/4/2013 4/4/2013
2013-9 SEC v. BP p.l.c.
Case number: 12-cv-2774 (United States District Court for the Eastern District of Louisiana)
Case filed: November 15, 2012
Qualifying judgment/order: December 10, 2012
1/4/2013 4/4/2013
2013-8 SEC v. Tiger Asia Management, LLC, Tiger Asia Partners, LLC, Sung Kook (a/k/a Bill) Hwang, and Raymond Y.H. Park
Case number: 12-cv-7601 (United States District Court for the District of New Jersey)
Case filed: December 14, 2012
Qualifying judgment/order: December 17, 2012
1/4/2013 4/4/2013
2013-7 SEC v. Igor Cornelsen and Bainbridge Group Inc.
Case number: 12-cv-8712 (United States District Court for the Southern District of New York)
Case filed: November 30, 2012
Qualifying judgment/order: December 11, 2012
1/4/2013 4/4/2013
2013-6 In the Matter of Allianz SE
Administrative Proceeding File No.: 3-15132
Case filed: December 17, 2012
Qualifying judgment/order: December 17, 2012
1/4/2013 4/4/2013
2013-5 SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDYLC Holdings Trust
Case number: 11-cv-00315 (United States District Court for the Central District of California)
Case filed: February 24, 2011
Qualifying judgment/order: December 18, 2012
1/4/2013 4/4/2013
2013-4 In the Matter of Fiduciary Asset Management, LLC
Administrative Proceeding File No.: 3-15140
Case filed: December 19, 2012
Qualifying judgment/order: December 19, 2012
1/4/2013 4/4/2013
2013-3 SEC v. EagleEye Asset Management, LLC and Jeffrey A. Liskov
Case number: 11-cv-11576 (United States District Court for the District of Massachusetts)
Case filed: September 8, 2011
Qualifying judgment/order: December 12, 2012
1/4/2013 4/4/2013
2013-2 In the Matter of Aladdin Capital Management LLC and Aladdin Capital LLC
Administrative Proceeding File No.: 3-15134
Case filed: December 17, 2012
Qualifying judgment/order: December 17, 2012
1/4/2013 4/4/2013
2013-1 SEC v. I. Joseph Massoud
Case number: 12-cv-01691 (United States District Court for the District of Connecticut)
Case filed: November 30, 2012
Qualifying judgment/order: December 10, 2012
1/4/2013 4/4/2013
2012-130 SEC v. Well Advantage Limited, Certain Unknown Traders in the Securities of Nexen, Inc. In an Account of Phillip Securities PTE LTD., and Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Citibank NA A/C HK 4
Case number: 12-cv-5786 (United States District Court for the Southern District of New York)
Case filed: July 27, 2012
Qualifying Judgment/Order: November 7, 2012
12/7/2012 3/7/2013
2012-129 SEC v. Kenneth Ira Starr, Starr Investment Advisors, LLC, Starr & Company, LLC, and Jonathan Star Bristol
Case number: 10-cv-4270 (United States District Court for the Southern District of New York)
Case filed: May 27, 2010
Qualifying Judgment/Order: November 15, 2012
12/7/2012 3/7/2013
2012-128 SEC v. Kris Chellam
Case number: 12-cv-7983 (United States District Court for the Southern District of New York)
Case filed: October 26, 2012
Qualifying Judgment/Order: November 5, 2012
12/7/2012 3/7/2013
2012-127 SEC v. Christel S. Scucci, Karen S. Beach, Cameron H. Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLC
Case number: 12-cv-00646 (United States District Court for the Middle District of Florida)
Case filed: April 30, 2012
Qualifying Judgment/Order: November 5, 2012
12/7/2012 3/7/2013
2012-126 In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation
Administrative Proceeding File No.: 3-15098
Case filed: November 16, 2012
Qualifying Judgment/Order: November 16, 2012
12/7/2012 3/7/2013
2012-125 SEC v. Joseph J. Monterosso, Luis E. Vargas, Lawrence E. Lynch, and Timothy Huff
Case number: 7-cv-61693 (United States District Court for the Southern District of Florida)
Case filed: November 21, 2007
Qualifying Judgment/Order: November 16, 2012
12/7/2012 3/7/2013
2012-124 SEC v. Anand Sekaran and Wasson Capital Advisors Ltd.
Case number: 12-cv-8199 (United States District Court for the Southern District of New York)
Case filed: November 9, 2012
Qualifying Judgment/Order: November 26, 2012
12/7/2012 3/7/2013
2012-123 In the Matter of Massachusetts Mutual Life Insurance Company
Administrative Proceeding File No.: 3-15095
Case filed: November 15, 2012
Qualifying Judgment/Order: November 15, 2012
11/16/2012 2/14/2013
2012-122 SEC v. Private Equity Management Group, Inc.; Private Equity Management Group, LLC; and Danny Pang
Case number: 09-cv-2901 (United States District Court for the Central District of California)
Case filed: April 24, 2009
Qualifying Judgment/Order: October 22, 2012
11/16/2012 2/14/2013
2012-121 SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc
Case number: 04-cv-7377 (United States District Court for the Northern District of Illinois)
Case filed: November 15, 2004
Qualifying Judgment/Order: October 9, 2012
11/16/2012 2/14/2013
2012-120 SEC v. Jonathan R. Curshen, Michael S. Krome, David C. Ricci, Ronny Morales Salazar, Robert L. Weidenbaum, Ariav "Eric" Weinbaum, and Yitzchak Zigdon a/k/a Izhack Zigdon
Case number: 11-cv-20561 (United States District Court for the Southern District of Florida)
Case filed: February 18, 2011
Qualifying Judgment/Order: October 9, 2012
11/16/2012 2/14/2013
2012-119 SEC v. East Delta Resources Corp., Victor Sun, David Amsel, and Mayer Amsel
Case number: 10-cv-00310 (United States District Court for the Eastern District of New York)
Case filed: January 26, 2010
Qualifying Judgment/Order: October 18, 2012
11/16/2012 2/14/2013
2012-118 SEC v. James S. Quay, a/k/a Jim Quay, a/k/a Stephen Quay, a/k/a Stephen Jameson, and Jeffrey A. Quay
Case number: 12-cv-3429 (United States District Court for the Northern District of Georgia)
Case filed: October 2, 2012
Qualifying Judgment/Order: October 19, 2012
11/16/2012 2/14/2013
2012-117 SEC v.Fabrizio Neves and Jose Luna
Case number: 12-cv-23131 (United States District Court for the Southern District of Florida)
Case filed: August 29, 2012
Qualifying Judgment/Order: August 31, 2012
11/8/2012 2/6/2013
2012-116 SEC v. Robert L. Buckhannon, Terry D. Rawstern, Dale E. St. Jean, Gregory D. Tindall, Richard D. Mittasch, Christopher T. Paganes, Glenn M. Barikmo, and Imperium Investment Advisors, LLC
Case number: 10-cv-02859 (United States District Court for the Middle District of Florida)
Case filed: December 21, 2010
Qualifying judgment/order: September 25, 2012
11/8/2012 2/6/2013
2012-115 SEC v. John Scott Clark, Impact Cash, LLC, a Utah Limited Liability Company and Impact Payment Systems, LLC a Nevada Limited Liability Company
Case number: 11-cv-0046 (United States District Court for the District of Utah)
Case filed: March 25, 2011
Qualifying Judgment/Order: September 6, 2012
11/8/2012 2/6/2013
2012-114 In the Matter of Hold Brothers On-Line Investment Services, LLC, Demostrate, LLC, Trade Alpha Corporate, Ltd, Steven Hold, Robert Vallone, and William Tobias
Administrative Proceeding File No.: 3-15046
Case filed: September 25, 2012
Qualifying Judgment/Order: September 24, 2012
11/8/2012 2/6/2013
2012-113 SEC v. ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore
Case number: 10-cv-4791 (United States District Court for the Southern District of New York)
Case filed: June 21, 2010
Qualifying Judgment/Order: September 6, 2012
11/8/2012 2/6/2013
2012-112 SEC v. Orthofix International N.V
Case number: 12-cv-419 (United States District Court for the Eastern District of Texas)
Case filed: July 10, 2012
Qualifying Judgment/Order: September 4, 2012
11/8/2012 2/6/2013
2012-111 In the Matter of New York Stock Exchange LLC, and NYSE Euronext
Administrative Proceeding File No.: 3-15023
Case filed: September 14, 2012
Qualifying Judgment/Order: September 4, 2012
11/8/2012 2/6/2013
2012-110 SEC v. Blackout Media Corporation, formerly known as First Canadian American Holding Corporation, and Sandy Winick
Case number: 09-cv-5454 (United States District Court for the Southern District of New York)
Case filed: June 12, 2009
Qualifying Judgment/Order: September 14, 2012
11/8/2012 2/6/2013
2012-109 SEC v. Homeland Safety International, Inc. F/K/A Sniffex, Inc.; Mark B. Lindberg; Petar D. Mihaylov; Yuri P. Markov; Paul B. Johnson; Nicholas V. Klausgaard; and Ilona V. Klausgaard
Case number: 08-cv-01197 (United States District Court for the Northern District of Texas)
Case filed: July 15, 2010
Qualifying Judgment/Order: September 19, 2012
11/8/2012 2/6/2013
2012-108 SEC v. Neil V. Moody and Christopher D. Moody
Case number: 10-cv-0053 (United States District Court for the Middle District of Florida)
Case filed: January 11, 2010
Qualifying Judgment/Order: September 7, 2012
11/8/2012 2/6/2013
2012-107 SEC v. Larry Michael Parrish
Case number: 11-cv-00558 (United States District Court for the District of Colorado)
Case filed: March 7, 2011
Qualifying Judgment/Order: September 25, 2012
11/8/2012 2/6/2013
2012-106 SEC. v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy
Case number: 09-cv-2676 (United States District Court for the District of Colorado)
Case filed: November 16, 2009
Qualifying Judgment/Order: September 13, 2012
11/8/2012 2/6/2013
2012-105 In the Matter of Advanced Equities, Inc., Dwight O. Badger, and Keith G. Daubenspeck
Administrative Proceeding File No.: 3-15048
Case filed: September 18, 2012
Qualifying Judgment/Order: September 18, 2012
11/8/2012 2/6/2013
2012-104 In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-15048
Case filed: September 27, 2012
Qualifying Judgment/Order: September 27, 2012
11/8/2012 2/6/2013

Notices of Covered Action

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