SEC.gov | Whistleblower Program: Notices of Covered Action

Claim an Award

We post Notices of Covered Action for each SEC 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 SEC 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 Whistleblower Amended Rules, individuals who voluntarily provided the SEC 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.

NOTE: On July 2, 2024, the Commission posted a new Form WB-APP for individuals seeking to apply for an award for a Covered Action. You may continue to use the prior version of the form for the 30-day period following the posting of the new form. Starting on August 1, 2024, please use the new Form WB-APP to apply for an award.

We strongly encourage Form WB-APPs to be submitted by email to FormWB-APPSubmission@SEC.GOV. Duplicate submissions of a Form WB-APP by multiple methods (e.g., fax, email, and mail) are discouraged as they may cause delays. Generally, submissions are acknowledged within 60 days.

Whistleblower Award Applications submitted by mail or fax should be sent to:

SEC Office of the Whistleblower (c/o ENF-CPU)

14420 Albemarle Point Place Suite 102 Chantilly, VA 20151-1750

Fax: 703-813-9322


Notice No.	Action	Notice Date	Claim Due Date
2017-008	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
2017-007	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
2017-006	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
2017-005	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
2017-004	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
2017-003	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
2017-002	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
2017-001	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
2016-148	SEC v. Saleem Khan, Ammar Akbari, Roshanlal Chaganlal and Ranjan Mendonsa Case Number: 14-cv-02743 (United States District Court for the Northern District of California) Date Filed: June 13, 2014 Date of Qualifying Judgment/Order: September 21, 2016	10/31/2016	01/29/2017
2016-147	In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA Administrative Proceeding File No.: 3-17583 Date Filed: September 27, 2016 Date of Qualifying Judgment/Order: September 27, 2016	10/31/2016	01/29/2017
2016-146	In the Matter of BOKF, NA Administrative Proceeding File No.: 3-17533 Date Filed: September 9, 2016 Date of Qualifying Judgment/Order: September 9, 2016	10/31/2016	01/29/2017
2016-145	In the Matter of Ernst & Young LLP and Gregory S. Bednar, CPA Administrative Proceeding File No.: 3-17552 Date Filed: September 19, 2016 Date of Qualifying Judgment/Order: September 19, 2016	10/31/2016	01/29/2017
2016-144	SEC v. Norstra Energy Inc., Glen Landry and Eric Dany Case Number: 15-cv-04751 (United States District Court for the Southern District of New York) Date Filed: June 18, 2015 Date of Qualifying Judgment/Order: September 20, 2016	10/31/2016	01/29/2017
2016-143	SEC v. Christopher Plummer, Lex M. Cowsert, and Cytogenix, Inc. Case Number: 14-cv-05441 (United States District Court for the Southern District of New York) Date Filed: July 18, 2014 Date of Qualifying Judgment/Order: September 7, 2016	10/31/2016	01/29/2017
2016-142	SEC v. North Hills Management, LLC, and Mark Evan Bloom Case Number: 09-cv-01746 (United States District Court for the Southern District of New York) Date Filed: February 25, 2009 Date of Qualifying Judgment/Order: September 6, 2016	10/31/2016	01/29/2017
2016-141	SEC v. PLCMGMT LLC, dba Prometheus Law, James A. Catipay, and David A. Aldrich Case Number: 16-cv-02594 (United States District Court for the Central District of California) Date Filed: April 16, 2016 Date of Qualifying Judgment/Order: September 15, 2016	10/31/2016	01/29/2017
2016-140	In the Matter of Portugal Telecom, SGPS, S.A., now known as Pharol SGPS, S.A. Administrative Proceeding File No.: 3-17534 Date Filed: September 13, 2016 Date of Qualifying Judgment/Order: September 13, 2016	10/31/2016	01/29/2017
2016-139	SEC v. Manuel E. Jesus aka Manny Backus, et al. Case Number: 16-cv-06850 (United States District Court for the Central District of California) Date Filed: September 13, 2016 Date of Qualifying Judgment/Order: September 27, 2016	10/31/2016	01/29/2017
2016-138	In the Matter of Anheuser-Busch InBev SA/NV Administrative Proceeding File No.: 3-17586 Date Filed: September 28, 2016 Date of Qualifying Judgment/Order: September 28, 2016	10/31/2016	01/29/2017
2016-137	In the Matter of UBS Financial Services Inc. Administrative Proceeding File No.: 3-17587 Date Filed: September 28, 2016 Date of Qualifying Judgment/Order: September 28, 2016	10/31/2016	01/29/2017
2016-136	In the Matter of Ernst & Young LLP, Robert J. Brehl, CPA, Pamela J. Hartford, CPA, and Michael T. Kamienski, CPA Administrative Proceeding File No.: 3-17553 Date Filed: September 19, 2016 Date of Qualifying Judgment/Order: September 19, 2016	10/31/2016	01/29/2017
2016-135	In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Administrative Proceeding File No.: 3-17573 Date Filed: September 26, 2016 Date of Qualifying Judgment/Order: September 26, 2016	10/31/2016	01/29/2017
2016-134	In the Matter of Weatherford International PLC, f/k/a Weatherford International Ltd, James Hudgins, CPA, and Darryl Kitay, CPA Administrative Proceeding File No.: 3-17582 Date Filed: September 27, 2016 Date of Qualifying Judgment/Order: September 27, 2016	10/31/2016	01/29/2017
2016-133	In the Matter of Russell C. Schalk, Jr. Administrative Proceeding File No.: 3-16498 Date Filed: April 7, 2015 Date of Qualifying Judgment/Order: September 21, 2016	10/31/2016	01/29/2017
2016-132	SEC v. China Northeast Petroleum Holdings Limited; Wang Hongjun (a/k/a Hongjun Wang); Ju Guizhi (a/k/a Guizhi Ju); and Jiang Chao (a/k/a Chao Jiang) Case Number: 12-cv-08696 (United States District Court for the Southern District of New York) Date Filed: November 29, 2012 Date of Qualifying Judgment/Order: September 20, 2016	10/31/2016	01/29/2017
2016-131	In the Matter of Michael A. Horowitz and Moshe Marc Cohen Administrative Proceeding File No.: 3-15790 Date Filed: March 13, 2014 Date of Qualifying Judgment/Order: September 9, 2016	10/31/2016	01/29/2017
2016-130	SEC v. Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela M. Hass Case Number: 13-cv-00849 (United States District Court for the District of New Mexico) Date Filed: September 9, 2013 Date of Qualifying Judgment/Order: September 22, 2016	10/31/2016	01/29/2017
2016-129	SEC v. Veros Partners, Inc., Matthew D. Haab, Jeffrey B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, FarmGrowCap LLC, PinCap LLC Case Number: 15-cv-00659 (United States District Court for the Southern District of Indiana) Date Filed: April 22, 2015 Date of Qualifying Judgment/Order: September 15, 2016	10/31/2016	01/29/2017
2016-128	In the Matter of First Reserve Management, L.P. Administrative Proceeding File No.: 3-17538 Date Filed: September 14, 2016 Date of Qualifying Judgment/Order: September 14, 2016	10/31/2016	01/29/2017
2016-127	SEC v. Daniel Thibeault, GL Capital Partners, LLC, GL Investment Services, LLC, Graduate Leverage, LLC (d/b/a GL Advisor and GL Holdings Corp.), and Taft Financial Services, LLC Case Number: 15-cv-10050 (United States District Court for the District of Massachusetts) Date Filed: January 9, 2015 Date of Qualifying Judgment/Order: September 26, 2016	10/31/2016	01/29/2017
2016-126	In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank Administrative Proceeding File No.: 3-17595 Date Filed: September 29, 2016 Date of Qualifying Judgment/Order: September 29, 2016	10/31/2016	01/29/2017
2016-125	SEC v. James M. Donnan, III and Gregory L. Crabtree Case Number: 12-cv-02831 (United States District Court for the Northern District of Georgia) Date Filed: August 16, 2012 Date of Qualifying Judgment/Order: September 26, 2016	10/31/2016	01/29/2017
2016-124	In the Matter of WL Ross & Co. LLC Administrative Proceeding File No.: 3-17491 Case filed: August 24, 2016 Qualifying Judgment/Order: August 24, 2016	09/30/2016	12/29/2016
2016-123	In the Matter of Barry B. Clare Administrative Proceeding File No.: 3-17172 Case filed: August 15, 2016 Qualifying Judgment/Order: August 15, 2016	09/30/2016	12/29/2016
2016-122	In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. Administrative Proceeding File No.: 3-17409 Case filed: August 23, 2016 Qualifying Judgment/Order: August 23, 2016	09/30/2016	12/29/2016
2016-121	In the Matter of RBC Capital Markets, LLC Administrative Proceeding File No.: 3-17520 Case filed: August 31, 2016 Qualifying Judgment/Order: August 31, 2016	09/30/2016	12/29/2016
2016-120	In the Matter of AstraZeneca PLC Administrative Proceeding File No.: 3-17517 Case filed: August 30, 2016 Qualifying Judgment/Order: August 30, 2016	09/30/2016	12/29/2016
2016-119	In the Matter of optionsXpress, Inc., and Jonathan I. Feldman Administrative Proceeding File No.: 3-14848 Case filed: August 18, 2016 Qualifying Judgment/Order: September 13, 2016	09/30/2016	12/29/2016
2016-118	In the Matter of Key Energy Services, Inc. Administrative Proceeding File No.: 3-17379 Case filed: August 11, 2016 Qualifying Judgment/Order: August 11, 2016	09/30/2016	12/29/2016
2016-117	SEC v. Robert L. Sonfield, Donald C. Bradley, Jeffrey W. Bradley, Jason Landess, Marc Lane, Roger Brewer Case number: 08-cv-02351 (United States District Court for the Southern District of Texas) Case filed: July 29, 2008 Qualifying Judgment/Order: July 28, 2016	09/30/2016	12/29/2016
2016-116	SEC v. Secured Income Reserve, Inc., Ilona A. Mandelbaum, David A. Zimmerman, Tamda Marketing, Inc., and Matthew H. Sage Case number: 16-cv-81490 (United States District Court for the Southern District of Florida) Case filed: August 24, 2016 Qualifying Judgment/Order: August 31, 2016	09/30/2016	12/29/2016
2016-115	SEC v. Gary C. Snisky Case number: 13-cv-03149 (United States District Court for the District of Colorado) Case filed: November 21, 2013 Qualifying Judgment/Order: August 12, 2016	09/30/2016	12/29/2016
2016-114	SEC v. Southern Cross Resources Group, Inc., Michael A. Nasatir, and Andrew L. Madenberg Case number: 15-cv-11506 (United States District Court for the Northern District of Illinois) Case filed: December 21, 2015 Qualifying Judgment/Order: August 4, 2016 In the Matter of Allen M. Perres, and Willard R. St. Germain Administrative Proceeding File No.: 3-17013 Case filed: December 21, 2015 Qualifying Judgment/Order: December 21, 2015	09/30/2016	12/29/2016
2016-113	SEC v. Cedric Cañas Maillard Case number: 15-cv-06389 (United States District Court for the Southern District of New York) Case filed: August 13, 2015 Qualifying Judgment/Order: August 19, 2016	09/30/2016	12/29/2016
2016-112	SEC v. Tyson D. Williams and Stanley D. Parrish Case number: 14-cv-00510 (United States District Court for the District of Utah) Case filed: July 10, 2014 Qualifying Judgment/Order: July 18, 2016	08/31/2016	11/29/2016
2016-111	SEC v. Luca International Group, LLC; Luca Resources Group, LLC; Luca Energy Fund, LLC; Entholpy EMC, Inc.; Bingqing Yang; Lei (Lily) Lei; Anthony V. Pollace; and Yong (Michael) Chen Case number: 15-cv-03101 (United States District Court for the Northern District of California) Case filed: July 6, 2015 Qualifying Judgment/Order: July 26, 2016	08/31/2016	11/29/2016
2016-110	SEC v. Malcolm Segal Case number: 15-cv-03668 (United States District Court for the Eastern District of Pennsylvania) Case filed: July 1, 2015 Qualifying Judgment/Order: June 21, 2016	08/31/2016	11/29/2016
2016-109	SEC v. Thomas C. Conradt, David J. Weishaus, and Trent Martin Case number: 12-cv-08676 (United States District Court for the Southern District of New York) Case filed: December 3, 2012 Qualifying Judgment/Order: June 17, 2016	08/31/2016	11/29/2016
2016-108	SEC v. Michael J. Oppenheim Case number: 15-cv-02957 (United States District Court for the Southern District of New York) Case filed: April 16, 2015 Qualifying Judgment/Order: July 29, 2016	08/31/2016	11/29/2016
2016-107	SEC v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo Case number: 13-cv-01735 (United States District Court for the Southern District of New York) Case filed: March 15, 2013 Qualifying Judgment/Order: July 20, 2016	08/31/2016	11/29/2016
2016-106	In the Matter of Citigroup Global Markets, Inc. Administrative Proceeding File No.: 3-17338 Case filed: July 12, 2016 Qualifying Judgment/Order: July 12, 2016	08/31/2016	11/29/2016
2016-105	SEC v. Lee D. Weiss, Family Endowment Partners, LP Case number: 15-cv-13460 (United States District Court for the District of Massachusetts) Case filed: September 29, 2015 Qualifying Judgment/Order: June 20, 2016	08/31/2016	11/29/2016
2016-104	In the Matter of Johnson Controls, Inc. Administrative Proceeding File No.: 3-17337 Case filed: July 11, 2016 Qualifying Judgment/Order: July 11, 2016	08/31/2016	11/29/2016
2016-103	SEC v. CKB168 Holdings LTD., WIN168 Biz Solutions LTD., CKB168 LTD., CKB168 Biz Solution, Inc., Cyber Kids Best Education LTD., Rayla Melcher Santos, Hung Wai ("Howard") Shern, Rui ling ("Florence") Leung, Daliang ("David") Guo, Yao Lin, Chih Hsuan "Kiki" Lin, Wen Chen Hwang (aka "Wendy Lee"), Toni Tong Chen, Cheongwha "Heywood" Chang, Joan Congyi Ma (aka "JC Ma"), and Heidi Mao Liu (aka "Heidi Mao") Case number: 13-cv-05584 (United States District Court for the Eastern District of New York) Case filed: October 9, 2013 Qualifying Judgment/Order: June 29, 2016	08/31/2016	11/29/2016
2016-102	In the Matter of LAN Airlines S. A. Administrative Proceeding File No.: 3-17357 Case filed: July 25, 2016 Qualifying Judgment/Order: July 25, 2016	08/31/2016	11/29/2016
2016-101	SEC v. First Mortgage Corporation, Inc., Clement Ziroli, Sr., Clement Ziroli, Jr., Pac W. Dong, Ronald T. Vargus, Scott Lehrer, and Edward Joseph Sanders Case number: 16-cv-03772 (United States District Court for the Central District of California) Case filed: May 31, 2016 Qualifying Judgment/Order: July 20, 2016	08/31/2016	11/29/2016
2016-100	SEC v. James Y. Lee Case number: 14-cv-00347 (United States District Court for the Southern District of California) Case filed: February 13, 2014 Qualifying Judgment/Order: July 15, 2016	08/31/2016	11/29/2016
2016-099	SEC v. Jammin' Java Corp., dba Marley Coffee, Shane G. Whittle, Wayne S. P. Weaver, Michael K. Sun, Rene Berlinger, Stephen B. Wheatley, Kevin P. Miller, Mohammed A. Al-Barwani, Alexander J. Hunter, and Thomas E. Hunter Case number: 15-cv-08921 (United States District Court for the Central District of California) Case filed: November 17, 2015 Qualifying Judgment/Order: July 7, 2016	08/31/2016	11/29/2016
2016-098	SEC v. Keith Greenberg Case Number: 00-cv-09109 (United States District Court for the Southern District of Florida) Date Filed: November 26, 2013 Qualifying Judgment/Order: March 16, 2016	07/29/2016	10/27/2016
2016-097	SEC v. Andrew K. Proctor and Atlas JG, LLC Case Number: 16-cv-00437 (United States District Court for the District of Delaware) Date Filed: June 14, 2016 Qualifying Judgment/Order: June 16, 2016	07/29/2016	10/27/2016
2016-096	SEC v. Wilfred T. Azar, III, Joseph A. Giordano, and Empire Corporation Case Number: 14-cv-03598 (United States District Court for the District of Maryland) Date Filed: November 14, 2014 Qualifying Judgment/Order: June 7, 2016	07/29/2016	10/27/2016
2016-095	SEC v. Daryl M. Payton, and Benjamin Durant, III Case Number: 14-cv-04644 (United States District Court for the Southern District of New York) Date Filed: June 25, 2014 Qualifying Judgment/Order: May 16, 2016	07/29/2016	10/27/2016
2016-094	In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. Administrative Proceeding File No.: 3-17312 Date Filed: June 23, 2016 Qualifying Judgment/Order: June 23, 2016	07/29/2016	10/27/2016
2016-093	SEC v. Paul Mata, David Kayatta, Mario Pincheira, Secured Capital Investments, LLC., Logos Real Estate Holdings, LLC., Logos Wealth Advisors, Inc., Lifetime Enterprises, LLC (dba Logos Lifetime University) Case Number: 15-cv-01792 (United States District Court for the Central District of California) Date Filed: September 3, 2015 Qualifying Judgment: Order: June 17, 2016	07/29/2016	10/27/2016
2016-092	In the Matter of J.S. Oliver Capital Management, L.P., and Ian O. Mausner Administrative Proceeding File No.: 3-15446 Initial Decision: August 5, 2014 Qualifying Judgment/Order: June 17, 2016	07/29/2016	10/27/2016
2016-091	In the Matter of Behruz Afshar, Shahryar Afshar, Richard F. Kenny, IV, Fineline Trading Group LLC, and Makin Capital LLC Administrative Proceeding File No.: 3-16978 Date Filed: December 3, 2015 Qualifying Judgment/Order: June 13, 2016	07/29/2016	10/27/2016
2016-090	In the Matter of 2 West, Inc., Mijust, Inc., KAKids, Inc., Alton Partners, Inc., Old Farm, Inc., Bloomfield, Inc., Katz Imports, Inc., and Todd B. Katz Administrative Proceeding File No.: 3-17290 Date Filed: June 14, 2016 Qualifying Judgment/Order: June 14, 2016	07/29/2016	10/27/2016
2016-089	In the Matter of Ethiopian Electric Power Administrative Proceeding File No.: 3-17281 Date Filed: June 8, 2016 Qualifying Judgment/Order: June 8, 2016	07/29/2016	10/27/2016
2016-088	In the Matter of American Life, Inc. and Henry Liebman Administrative Proceeding File No.: 3-17285 Date Filed: June 13, 2016 Qualifying Judgment/Order: June 13, 2016	07/29/2016	10/27/2016
2016-087	In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Administrative Proceeding File No.: 3-17314 Date Filed: June 23, 2016 Qualifying Judgment/Order: June 23, 2016	07/29/2016	10/27/2016
2016-086	In the Matter of Bank of New York Mellon Administrative Proceeding File No.: 3-17286 Date Filed: June 13, 2016 Qualifying Judgment/Order: June 13, 2016	07/29/2016	10/27/2016
2016-085	In the Matter of Analogic Corporation and Lars Frost Administrative Proceeding File No.: 3-17305 Date Filed: June 21, 2016 Qualifying Judgment/Order: June 21, 2016	07/29/2016	10/27/2016
2016-084	SEC v. John Scott Clark Case number: 16-cv-00040 (United States District Court for the District of Utah) Case filed: March 31, 2016 Qualifying Judgment/Order: May 26, 2016	06/30/2016	09/28/2016
2016-083	In the Matter of Federated Global Investment Management Corp. Administrative Proceeding File No.: 3-17264 Case filed: May 27, 2016 Qualifying Judgment/Order: May 27, 2016	06/30/2016	09/28/2016
2016-082	In the Matter of Edgar R. Page and PageOne Financial, Inc. Administrative Proceeding File No.: 3-16037 Initial Decision: June 25, 2015 Qualifying Judgment/Order: May 27, 2016	06/30/2016	09/28/2016
2016-081	In the Matter of Blackstreet Capital Management, LLC and Murry N. Gunty Administrative Proceeding File No.: 3-17267 Case filed: June 1, 2016 Qualifying Judgment/Order: June 1, 2016	06/30/2016	09/28/2016

Last Reviewed or Updated: March 17, 2025

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