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
2014-082	SEC v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs Case number: 13-cv-23115 (United States District Court for the Southern District of Florida) Case filed: August 29, 2013 Qualifying Judgment/Order: July 11, 2014	08/21/2014	11/19/2014
2014-081	SEC v. Cedric Cañas Maillard and Julio Marín Ugedo Case number: 13-cv-05299 (United States District Court for the Southern District of New York) Case filed: July 30, 2013 Qualifying Judgment/Order: July 21, 2014	08/21/2014	11/19/2014
2014-080	SEC v. Patrick G. Rooney and Solaris Management, LLC Case number: 11-cv-08264 (United States District Court for the Northern District of Illinois) Case filed: November 18, 2011 Qualifying Judgment/Order: July 14, 2014	08/21/2014	11/19/2014
2014-079	SEC v. CR Intrinsic Investors, LLC, Mathew Martoma, and Dr. Sidney Gilman Case number: 12-cv-8466 (United States District Court for the Southern District of New York) Case filed: November 20, 2012 Qualifying Judgment/Order: June 18, 2014	07/21/2014	10/19/2014
2014-078	SEC v. John Lazorchak, Mark S. Cupo, Mark D. Foldy, Michael L. Castelli, Lawrence D. Grum, Michael T. Pendolino, and James N. Deprado Case number: 12-cv-07164 (United States District Court for the District of New Jersey) Case filed: November 19, 2012 Qualifying Judgment/Order: June 12, 2014	07/21/2014	10/19/2014
2014-077	SEC v. Thomas Fletcher & Co. Inc., Thomas Fletcher & Company, Inc., Sergei Voronchenko, Roman Thaker, Alex Berg, John Donadio and Padraig McGlynn Case number: 02-cv-9355 (United States District Court for the Southern District of New York) Case filed: November 22, 2002 Qualifying Judgment/Order: June 19, 2014	07/21/2014	10/19/2014
2014-076	SEC v. Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras); Sylvester M. Gray II; Alicia Bryan; Maxum Gold Bnk Holdings Limited; Maxum Gold Bnk Holdings LLC; FMP Medical Services Limited; and FMP Medical Services LLC Case number: 13-cv-07932 (United States District Court for the Central District of California) Case filed: October 28, 2013 Qualifying Judgment/Order: June 9, 2014	07/21/2014	10/19/2014
2014-075	SEC v. Charles J. Dushek, Charles S. Dushek, and Capital Management Associates, Inc. Case number: 13-cv-03669 (United States District Court for the Northern District of Illinois) Case filed: May 16, 2013 Qualifying Judgment/Order: June 4, 2014	07/21/2014	10/19/2014
2014-074	SEC v. Marcus A. Luna; Nathan Montgomery; Adam Daskivich; David Murtha; St. Paul Venture Fund, LLC; Minnesota Venture Capital, Inc.; Real Estate of Minnesota, Inc.; and Matrix Venture Capital, Inc. Case number: 10-cv-2166 (United States District Court for the District of Nevada) Case filed: December 14, 2010 Qualifying Judgment/Order: June 27, 2014	07/21/2014	10/19/2014
2014-073	SEC v. Robert Hurd, Your Best Memories International, Inc., and Kenneth Gross Case number: 13-cv-04464 (United States District Court for the Central District of California) Case filed: June 20, 2013 Qualifying Judgment/Order: June 10, 2014	07/21/2014	10/19/2014
2014-072	SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Case number: 12-cv-10643 (United States District Court for the District of Massachusetts) Case filed: April 11, 2012 Qualifying Judgment/Order: June 25, 2014	07/21/2014	10/19/2014
2014-071	In the Matter of Paradigm Capital Management, Inc. and Candace King Weir Administrative Proceeding File No: 3-15930 Case filed: June 16, 2014 Qualifying judgment/order: June 16, 2014	06/19/2014	09/17/2014
2014-070	SEC v. Avanti Capital Partners, LLC, a Utah Limited Liability Company, Highland Residential, LLC, a Utah Limited Liability Company, and Ivan Wade Brown, an Individual Case number: 12-cv-00788 (United States District Court for the District of Utah) Case filed: August 13, 2012 Qualifying judgment/order: April 24, 2014	06/19/2014	09/17/2014
2014-069	SEC v. Anthony Vassallo, Kenneth Kenitzer and Equity Investment Management and Trading, Inc. Case number: 09-cv-00665 (United States District Court for the Eastern District of California) Case filed: March 11, 2009 Qualifying judgment/order: May 23, 2014	06/19/2014	09/17/2014
2014-068	SEC v. Charles Vista, LLC Case number: 14-cv-02643 (United States District Court for the Eastern District of New York) Case filed: April 28, 2014 Qualifying judgment/order: May 29, 2014	06/19/2014	09/17/2014
2014-067	SEC v. Alberto William Vilar, and Gary Alan Tanaka Case number: 05-cv-05231 Case filed: June 2, 2005 Qualifying judgment/order: May 16, 2014	06/19/2014	09/17/2014
2014-066	SEC v. Behrooz Sarafraz Case number: 14-cv-02252 (United States District Court for the Northern District of California) Case filed: May 15, 2014 Qualifying judgment/order: May 27, 2014	06/19/2014	09/17/2014
2014-065	SEC v. Herbert Richard Lawson, William B. Lawson, and John J. Cerullo Case number: 14-cv-02157 (United States District Court for the Northern District of California) Case filed: May 12, 2014 Qualifying judgment/order: May 23, 2014	06/19/2014	09/17/2014
2014-064	SEC v. OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw Case number: 13-cv-23486 (United States District Court for the Southern District of Florida) Case filed: September 27, 2013 Qualifying judgment/order: May 29, 2014	06/19/2014	09/17/2014
2014-063	SEC v. Richard Olive and Susan Olive Case number: 13-cv-14047 (United States District Court for the Southern District of Florida) Case filed: February 4, 2013 Qualifying judgment/order: May 23, 2014	06/19/2014	09/17/2014
2014-062	SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker Case number: 14-cv-02827 (United States District Court for the District of New Jersey) Case filed: May 6, 2014 Qualifying judgment/order: May 12, 2014	06/19/2014	09/17/2014
2014-061	SEC v. Yuhe International, Inc. and Gao Zhentao Case number: 13-cv-01598 (United States District Court for the District of Columbia) Case filed: October 18, 2013 Qualifying judgment/order: May 22, 2014	06/19/2014	09/17/2014
2014-060	In the Matter of Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle Administrative Proceeding File No.: 3-15881 Case filed: May 1, 2014 Qualifying judgment/order: May 1, 2014	06/19/2014	09/17/2014
2014-059	In the Matter of Diego F. Hernandez, The Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc. Administrative Proceeding File No.: 3-15518 Case filed: May 1, 2014 Qualifying judgment/order: May 1, 2014	06/19/2014	09/17/2014
2014-058	In the Matter of George B. Franz III and Ruby Corporation Administrative Proceeding File No.: 3-15526 Case filed: April 30 2014 Qualifying judgment/order: April 30, 2014	06/19/2014	09/17/2014
2014-057	In the Matter of Liquidnet, Inc. Administrative Proceeding File No.: 3-15912 Case filed: June 6, 2014 Qualifying judgment/order: June 6, 2014	06/06/2014	09/04/2014
2014-056	In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. Administrative Proceeding File No.: 3-15860 Case filed: May 1, 2014 Qualifying Judgment/Order: May 1, 2014	05/22/2014	08/20/2014
2014-055	In the Matter of Hewlett-Packard Company Administrative Proceeding File No.: 3-15832 Case filed: April 9, 2014 Qualifying Judgment/Order: April 9, 2014	05/22/2014	08/20/2014
2014-054	SEC v. Steven B. Heinz and S.B. Heinz & Associates, Inc. Case number: 13-cv-00753 (United States District Court for the District of Utah) Case filed: August 8, 2013 Qualifying Judgment/Order: April 28, 2014	05/22/2014	08/20/2014
2014-053	SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker Case number: 14-cv-02827 (United States District Court for the District of New Jersey) Case filed: May 5, 2014 Qualifying Judgment/Order: May 12, 2014	05/22/2014	08/20/2014
2014-052	SEC v. Armand R. Franquelin and Martin A. Pool Case number: 13-cv-00096 (United States District for the District of Utah) Case filed: July 2, 2013 Qualifying Judgment/Order: April 18, 2014	05/22/2014	08/20/2014
2014-051	SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP, and TN-KY Development Fund III LP Case number: 13-cv-00868 (United States District Court for the Middle District of Florida) Case filed: April 5, 2013 Qualifying Judgment/Order: April 18, 2014	05/22/2014	08/20/2014
2014-050	In the Matter of Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin Administrative Proceeding File No.: 3-15823 Case filed: April 4, 2014 Qualifying Judgment/Order: April 4, 2014	05/22/2014	08/20/2014
2014-049	SEC v. Seven Palm Investments, LLC, Peter P. Veugeler, Cardiovascular Sciences, Inc., and Lawrence H. Hooper, Jr. Case number: 10-cv-02755 (United States District Court for the Northern District of Illinois) Case filed: May 4, 2010 Qualifying Judgment/Order: April 21, 2014	05/22/2014	08/20/2014
2014-048	SEC v. CVS Caremark Corp. Case number: 14-cv-0177 (United States District Court for the District of Rhode Island) Case filed: April 8, 2014 Qualifying Judgment/Order: April 8, 2014	05/22/2014	08/20/2014
2014-047	SEC v. Syndicated Food Service International, Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, Fidra Holdings LTD., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Case number: 04-cv-01303 (United States District Court for the Eastern District of New York) Case filed: March 29, 2004 Qualifying Judgment/Order: April 1, 2014	04/22/2014	07/21/2014
2014-046	In the Matter of Worldwide Capital, Inc. and Jeffrey W. Lynn Administrative Proceeding File No.: 3-15772 Case filed: March 5, 2014 Qualifying Judgment/Order: March 5, 2014	04/22/2014	07/21/2014
2014-045	SEC v. John Kinnucan and Broadband Research Corporation Case number: 12-cv-1230 (United States District Court for the Southern District of New York) Case filed: February 17, 2012 Qualifying Judgment/Order: April 1, 2014	04/22/2014	07/21/2014
2014-044	SEC v. Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez Case number: 11-cv-1778 (United States District Court for the Southern District of New York) Case filed: March 15, 2011 Qualifying Judgment/Order: March 31, 2014	04/22/2014	07/21/2014
2014-043	SEC v. Certain Unknown Traders in the Securities of H.J. Heinz Company Case number: 13-cv-1080 (United States District Court for the Southern District of New York) Case filed: February 25, 2013 Qualifying Judgment/Order: April 2, 2014	04/22/2014	07/21/2014
2014-042	In the Matter of Lions Gate Entertainment Corp. Administrative Proceeding File No.: 3-15791 Case filed: March 13, 2014 Qualifying Judgment/Order: March 13, 2014	04/22/2014	07/21/2014
2014-041	SEC v. Dawn Wright-Olivares and Daniel Olivares Case number: 13-cv-00700 (United States District Court for the Western District of North Carolina) Case filed: December 20, 2013 Qualifying Judgment/Order: February 28, 2014	04/22/2014	07/21/2014
2014-040	In the Matter of Howard Feder and BDL Manager LLC Administrative Proceeding File No.: 3-15788 Case filed: March 13, 2014 Qualifying Judgment/Order: March 13, 2014	04/22/2014	07/21/2014
2014-039	SEC v. Samuel E. Wyly, Charles J. Wyly, Jr., Michael C. French, and Louis J. Schaufele III Case number: 10-cv-05760 (United States District Court for the Southern District of New York) Case filed: July 29, 2010 Qualifying Judgment/Order: March 21, 2014	04/22/2014	07/21/2014
2014-038	SEC v. Joseph Hilton f/k/a Joseph Yurkin, Pacific Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castle Drilling Fund II LP, and New Horizon Publishing Inc. Case number: 12-cv-81033 (United States District Court for the Southern District of Florida) Case filed: September 24, 2012 Qualifying Judgment/Order: March 20, 2014	04/22/2014	07/21/2014
2014-037	SEC v. John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr. Case number: 09-cv-01093 (United States District Court for the Middle District of Florida) Case filed: June 11, 2009 Qualifying Judgment/Order: July 5, 2012	04/22/2014	07/21/2014
2014-036	In the Matter of Jefferies LLC (formerly known as Jefferies & Company, Inc.) Administrative Proceeding File No.: 3-15785 Case filed: March 12, 2014 Qualifying Judgment/Order: March 12, 2014	04/22/2014	07/21/2014
2014-035	SEC v. Onyx Capital Advisors, LLC, Roy Dixon, Jr., and Michael A. Farr Case number: 10-cv-11633 (United States District Court for the Eastern District of Michigan) Case filed: April 22, 2010 Qualifying Judgment/Order: January 31, 2014	04/22/2014	07/21/2014
2014-034	In the Matter of Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. Administrative Proceeding File No.: 3-13871 Case filed: February 27, 2014 Qualifying judgment/order: February 27, 2014	03/24/2014	06/22/2014
2014-033	SEC v. Henry Morris, David J. Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC Case number: 09-cv-02518 (United States District Court for the Southern District of New York) Case filed: March 19, 2009 Qualifying judgment/order: March 3, 2014	03/22/2014	06/20/2014
2014-032	SEC v. George Garcy a/k/a Jorge Garcia, and Angelo Cuomo Case number: 11-cv-02282 (United States District Court for the Eastern District of New York) Case filed: May 11, 2011 Qualifying judgment/order: February 7, 2014	03/24/2014	06/22/2014
2014-031	SEC v. Dean P. Gross and Gregory W. Laser Case number: 09-cv-09144 (United States District Court for the Central District of California) Case filed: December 14, 2009 Qualifying judgment/order: February 12, 2014	03/22/2014	06/20/2014
2014-030	SEC v. Secure Capital Funding Corporation, Bertram Augustus Hill, PP&M Trade Partners, and Kiavanni Pringle Case number: 11-cv-00916 (United States District Court for the District of New Jersey) Case filed: February 18, 2011 Qualifying judgment/order: March 10, 2014	03/22/2014	06/20/2014
2014-029	SEC v. China Intelligent Lighting and Electronics, Inc., NIVS Intellimedia Technology Group, Inc., Tianfu Li, and Xuemei Li Case number: 13-cv-05079 (United States District Court for the Southern District of New York) Case filed: July 22, 2013 Qualifying judgment/order: March 10, 2014	03/24/2014	06/22/2014
2014-028	In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc., Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Administrative Proceeding File No.: 3-15750 Case filed: February 12, 2014 Qualifying judgment/order: February 12, 2014	03/24/2014	06/22/2014
2014-027	SEC v. Delsa U. Thomas; The D. Christopher Capital Management Group, LLC; and The Solomon Fund, LP Case number: 13-cv-00739 (United States District Court for the Northern District of Texas) Case filed: February 15, 2013 Qualifying judgment/order: March 4, 2014	03/24/2014	06/22/2014
2014-026	SEC v. Recycle Tech, Inc., Keven Sepe, Ronny J. Halperin, Ryan Gonzalez, OTC Solutions LLC, Anthony Thompson, Pudong LLC, Jay Fung and David Rees Case number: 12-cv-21656 (United States District Court for the Southern District of Florida) Case filed: May 2, 2012 Qualifying judgment/order: February 14, 2014	03/24/2014	06/22/2014
2014-025	SEC v. Jeremy S. Fisher, The Good Life Financial Group, Inc., and The Good Life Global Enterprises, LLC Case number: 13-cv-00683 (United States District Court for the Western District of Wisconsin) Case filed: September 30, 2013 Qualifying judgment/order: October 16, 2013	03/24/2014	06/22/2014
2014-024	SEC v. John J. Bravata, Richard J. Trabulsy, Antonio M. Bravata, BBC Equities, LLC, and Bravata Financial Group, LLC Case number: 09-cv-12950 (United States District Court for the Eastern District of Michigan) Case filed: July 26, 2009 Qualifying judgment/order: March 6, 2014	03/24/2014	06/22/2014
2014-023	SEC v. Jerry S. Williams, Monk's Den, LLC, and First in Awareness, LLC Case number: 12-cv-01068 (United States District Court for the District of Connecticut) Case filed: July 20, 2012 Qualifying judgment/order: February 18, 2014	03/24/2014	06/22/2014
2014-022	SEC v. Burton Douglas Morriss, Acartha Group, LLC, MIC VII, LLC, Acartha Technology Partners, LP, and Gryphon Investments III, LLC Case number: 12-cv-00080 (United States District Court for the Eastern District of Missouri) Case filed: January 17, 2012 Qualifying Judgment/Order: February 26, 2014	03/07/2014	06/05/2014
2014-021	SEC v. Diamond Foods, Inc. Case number: 14-cv-00123 (United States District Court for the Northern District of California) Case filed: January 9, 2014 Qualifying Judgment/Order: January 21, 2014	02/24/2014	05/25/2014
2014-020	SEC v. David Blech and Margaret Chassman Case number: 12-cv-03703 (United States District Court for the Southern District of New York) Case filed: May 9, 2012 Qualifying Judgment/Order: August 22, 2013	02/24/2014	05/25/2014
2014-019	SEC v. Kareem Serageldin, David Higgs, Faisal Siddiqui and Salmaan Siddiqui Case number: 12-cv-00796 (United States District Court for the Southern District of New York) Case filed: February 1, 2012 Qualifying Judgment/Order: January 21, 2014	02/24/2014	05/25/2014
2014-018	SEC v. Archer-Daniels-Midland Company Case number: 13-cv-02279 (United States District Court for the Central District of Illinois) Case filed: December 20, 2013 Qualifying Judgment/Order: January 21, 2014	02/24/2014	05/25/2014
2014-017	SEC v. Mark A. Lefkowitz, Compass Capital Group, Inc., Mark A. Lopez, Unico, Inc., Steven R. Peacock, Shane H. Traveller, and Advanced Cell Technology, Inc. Case number: 12-cv-01210 (United States District Court for the Middle District of Florida) Case filed: May 30, 2012 Qualifying Judgment/Order: December 30, 2013	02/24/2014	05/25/2014
2014-016	SEC v. Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC, and E-Info Solutions LLC Case number: 11-cv-01466 (United States District Court for the Central District of California) Case filed: September 22, 2011 Qualifying Judgment/Order: January 22, 2014	02/24/2014	05/25/2014
2014-015	SEC v. Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel, and Bernd Regendantz Case number: 11-cv-09073 (United States District Court for the Southern District of New York) Case filed: December 13, 2011 Qualifying Judgment/Order: February 4, 2014	02/24/2014	05/25/2014
2014-014	SEC v. Joseph Paul Zada and Zada Enterprises, LLC Case number: 10-cv-14498 (United States District Court for the Eastern District of Michigan) Case filed: November 10, 2010 Qualifying Judgment/Order: January 31, 2014	02/24/2014	05/25/2014
2014-013	In the Matter of Scottrade, Inc. Administrative Proceeding File No.: 3-15702 Case filed: January 29, 2014 Qualifying Judgment/Order: January 29, 2014	02/24/2014	05/25/2014
2014-012	In the Matter of Western Asset Management Company Administrative Proceeding File No.: 3-15689 Case filed: January 27, 2014 Qualifying Judgment/Order: January 27, 2014	02/24/2014	05/25/2014
2014-011	In the Matter of Alcoa Inc. Administrative Proceeding File No.: 3-15673 Case filed: January 9, 2014 Qualifying Judgment/Order: January 9, 2014	02/24/2014	05/25/2014
2014-010	In the Matter of KPMG LLP Administrative Proceeding File No.: 3-15687 Case filed: January 24, 2014 Qualifying Judgment/Order: January 24, 2014	02/24/2014	05/25/2014
2014-009	In the Matter of Credit Suisse Group AG Administrative Proceeding File No.: 3-15763 Case filed: February 21, 2014 Qualifying Judgment/Order: February 21, 2014	02/24/2014	05/25/2014
2014-008	SEC v. Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry A. Condron Case number: 12-cv-07488 (United States District Court for the Southern District of New York) Case filed: October 5, 2012 Qualifying Judgment/Order: January 13, 2014	01/17/2014	04/17/2014
2014-007	In the Matter of Daniel Bogar, Bernerd E. Young, and Jason T. Green Administrative Proceeding File No.: 3-15003 Case filed: August 31, 2012 Qualifying Judgment/Order: December 18, 2013	01/17/2014	04/17/2014
2014-006	SEC v. William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation Case number: 11-cv-0404 (United States District Court for the Southern District of New York) Case filed: January 20, 2011 Qualifying Judgment/Order: December 17, 2013	01/17/2014	04/17/2014
2014-005	SEC v. Lawrence J. Robbins Case number: 13-cv-06694 (United States District Court for the Southern District of New York) Case filed: September 23, 2013 Qualifying Judgment/Order: November 27, 2013	01/17/2014	04/17/2014
2014-004	SEC v. Waldyr Da Silva Prado Neto Case number: 12-cv-7094 (United States District Court for the Southern District of New York) Case filed: September 21, 2012 Qualifying Judgment/Order: January 7, 2014	01/17/2014	04/17/2014
2014-003	SEC v. Weatherford International Ltd. Case number: 13-cv-03500 (United States District Court for the Southern District of Texas) Case filed: November 26, 2013 Qualifying Judgment/Order: December 19, 2013	01/17/2014	04/17/2014
2014-002	In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc. Administrative Proceeding File No.: 3-15642 Case filed: December 12, 2013 Qualifying Judgment/Order: December 12, 2013	01/17/2014	04/17/2014
2014-001	In the Matter of GLG Partners, Inc. and GLG Partners, L.P. Administrative Proceeding File No.: 3-15641 Case filed: December 12, 2013 Qualifying Judgment/Order: December 12, 2013	01/17/2014	04/17/2014
2013-7	SEC v. Igor Cornelsen and Bainbridge Group Inc. Case number: 12-cv-08712 (United States District Court for the Southern District of New York) Case filed: November 30, 2012 Qualifying judgment/order: December 11, 2012	01/04/2013	04/04/2013
2013-121	SEC v. The NIR Group, LLC; Corey Ribotsky; and Daryl Dworkin Case number: 11-cv-04723 (United States District Court for the Eastern District of New York) Case filed: September 28, 2011 Qualifying judgment/order: November 13, 2013	12/20/2013	03/20/2014
2013-120	SEC v. Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc., and Kaleidoscope Real Estate, Inc. Case number: 12-cv-04257 (United States District Court for the Central District of California) Case filed: May 16, 2012 Qualifying judgment/order: November 1, 2013	12/20/2013	03/20/2014
2013-119	SEC v. Senen Pousa and Investment Intelligence Corporation PTY LLC Case number: 12-cv-00863 (United States District Court for the Western District of Texas) Case filed: September 18, 2012 Qualifying judgment/order: December 4, 2013	12/20/2013	03/20/2014
2013-118	SEC v. Imperiali, Inc., Daniel Imperato, Charles Fiscina, and Lawrence A. O'Donnell Case number: 12-cv-80021 (United States District Court for the Southern District of Florida) Case filed: January 9, 2012 Qualifying judgment/order: November 8, 2013	12/20/2013	03/20/2014
2013-117	SEC v. Steven Palladino and Viking Financial Group, Inc. Case number: 13-cv-11024 (United States District Court for the District of Massachusetts) Case filed: April 30, 2013 Qualifying judgment/order: November 18, 2013	12/20/2013	03/20/2014
2013-116	SEC v. RBS Securities Inc. Case number: 13-cv-01643 (United States District Court for the District of Connecticut) Case filed: November 7, 2013 Qualifying judgment/order: November 25, 2013	12/20/2013	03/20/2014
2013-115	SEC v. Robert L. Duncan Case number: 10-cv-03051 (United States District Court for the Northern District of Georgia) Case filed: September 23, 2010 Qualifying judgment/order: December 3, 2013	12/20/2013	03/20/2014
2013-114	In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC Administrative Proceeding File No.: 3-15654 Case filed: December 18, 2013 Qualifying judgment/order: December 18, 2013 In the Matter of Jonathan Samuel Daspin Administrative Proceeding File No.: 3-15652 Case filed: December 18, 2013 Qualifying judgment/order: December 18, 2013 In the Matter of Thomas Lekargeren Administrative Proceeding File No.: 3-15653 Case filed: December 18, 2013 Qualifying judgment/order: December 18, 2013	12/20/2013	03/20/2014
2013-113	In the Matter of Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC Administrative Proceeding File No.: 3-15211 Case filed: November 20, 2013 Qualifying judgment/order: November 20, 2013	12/20/2013	03/20/2014
2013-112	In the Matter of Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation Administrative Proceeding File No.: 3-15621 Case filed: November 25, 2013 Qualifying judgment/order: November 25, 2013	12/20/2013	03/20/2014
2013-111	In the Matter of Fifth Third Bancorp and Daniel Poston Administrative Proceeding File No.: 3-15635 Case filed: December 4, 2013 Qualifying Judgment/Order: December 4, 2013	12/05/2013	03/05/2014
2013-110	SEC v. Diebold, Inc. Case number: 13-cv-01609 (United States District Court for the District of Columbia) Case filed: October 22, 2013 Qualifying judgment/order: November 5, 2013	11/21/2013	02/19/2014
2013-109	SEC v. Berton M. Hochfeld and Hochfeld Capital Management, L.L.C. Case number: 12-cv-08202 (United States District Court for the Southern District of New York) Case filed: November 9, 2012 Qualifying judgment/order: October 2, 2013	11/21/2013	02/19/2014
2013-108	SEC v. Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation Case number: 12-cv-08987 (United States District Court for the Southern District of New York) Case filed: December 11, 2012 Qualifying judgment/order: October 15, 2013	11/21/2013	02/19/2014
2013-107	SEC v. Edward T. Stein Case number: 09-cv-03125 (United States District Court for the Southern District of New York) Case filed: April 1, 2009 Qualifying judgment/order: November 6, 2013	11/21/2013	02/19/2014
2013-106	SEC v. Small Business Capital Corp., Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC. Case number: 12-cv-03237 (United States District Court for the Northern District of California) Case filed: June 21, 2012 Qualifying judgment/order: November 6, 2013	11/21/2013	02/19/2014
2013-105	SEC v. China MediaExpress Holdings, Inc., and Zheng Cheng Case number: 13-cv-00927 (United States District Court for the District of Columbia) Case filed: June 20, 2013 Qualifying judgment/order: October 3, 2013	11/21/2013	02/19/2014

Last Reviewed or Updated: March 17, 2025

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