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
2011-150	SEC v. David P. Turner and Ousama N. Naaman Case number: 10-cv-01309 (United States District Court for the District of Columbia) Case filed: August 5, 2010	08/12/2011	11/10/2011
2011-149	SEC v. Lambert Vander Tuig, The Carolina Development Company, Inc., and Jonathan Carman Case number: 06-cv-00172 (United States District Court for the Central District of California) Case filed: February 16, 2006	08/12/2011	11/10/2011
2011-148	SEC v. Tuco Trading LLC and Douglas G. Frederick Case number: 08-cv-00400 (United States District Court for the Southern District of California) Case filed: March 4, 2008	08/12/2011	11/10/2011
2011-147	SEC v. Transocean Inc. Case number: 10-cv-01891 (United States District Court for the District of Columbia) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-146	SEC v. Tidewater Inc. Case number: 10-cv-04180 (United States District Court for the Eastern District of Louisiana) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-145	SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff Case number: 11-cv-00889 (United States District Court for the District of Columbia) Case filed: May 12, 2011	08/12/2011	11/10/2011
2011-144	SEC v. TG Capital LLC, Thanh Viet “Jeremy” Cao, and Lodavina Grosnickle Case number: 07-cv-00579 (United States District Court for the Central District of California) Case filed: May 22, 2007	08/12/2011	11/10/2011
2011-143	SEC v. Tecumseh Holdings Corporation, Tecumseh Tradevest LLC, S.B. Cantor & Co., Inc., John L. Milling, Gerard A. McCallion, Anthony M. Palovchik, and Dale Carone Case number: 03-cv-5490 (United States District Court for the Southern District of New York) Case filed: July 24, 2003	08/12/2011	11/10/2011
2011-142	In the Matter of TD Ameritrade, Inc. Administrative Proceeding File No.: 3-14225 Case filed: February 3, 2011	08/12/2011	11/10/2011
2011-141	SEC v. Sun Empire LLC, ECAM LLC a/k/a Empire Capital Asset Management, Delilah A. Proctor, and Shauntel A. Mccoy Case number: 09-cv-00399 (United States District Court for the Central District of California) Case filed: April 2, 2009	08/12/2011	11/10/2011
2011-140	SEC v. Robert J. Sucarato d/b/a/ New York Financial Company Case number: 09-cv-04953 (United States District Court for the District of New Jersey) Case filed: September 25, 2009	08/12/2011	11/10/2011
2011-139	SEC v. James D. Sterling Case number: 10-cv-08206 (United States District Court for the Southern District of New York) Case filed: October 29, 2010	08/12/2011	11/10/2011
2011-138	SEC v. Star Exploration, Inc. and James T. Gurgainers Case number: 08-cv-02248 (United States District Court for the Northern District of Texas) Case filed: December 22, 2008	08/12/2011	11/10/2011
2011-137	SEC v. Daniel Spitzer, Draseena Funds Group, Corp., Kenzie Financial Management, Inc. Kenzie Services LLC, Aneesard Management LLC, Nerium Management Co., DN Management Co. LLC, Arrow Fund, LLC, Arrow Fund II, LLC, Conservium Fund, LLC, Nerium Currency Fund, LP, Senior Strength Q Fund, LLC, Ssecurity Fund, LLC, Three Oaks Advanced Fund, LLC, Three Oaks Currency Fund, LP, Three Oaks Fund, LP, Three Oaks Fund 25, LLC, Three Oaks Senior Strength Fund, LLC, and USFirst Fund, LLC Case number: 10-cv-03758 (United States District Court for the Northern District of Illinois) Case filed: June 17, 2010	08/12/2011	11/10/2011
2011-136	SEC v. Brian J. Smart, and Smart Assets, LLC Case number: 09-cv-00224 (United States District Court for the District of Utah) Case filed: March 11, 2009	08/12/2011	11/10/2011
2011-135	SEC v. Sierra Brokerage Services, Inc., Richard Geiger, Jeffrey A. Richardson, Aaron Tsai, Michael E. Markow, Global Guarantee Corporation, Francois Goelo, Yongzhi Yang, K&J Consulting, Limited, Ke Luo, M&M Management, Limited, and Jerome B. Armstrong Case number: 03-cv-00326 (United States District Court for the Southern District of Ohio) Case filed: April 14, 2003	08/12/2011	11/10/2011
2011-134	SEC v. Shidaal Express, Inc. and Mohamud Abdi Ahmed Case number: 09-cv-02610 (United States District Court for the Southern District of California) Case filed: November 19, 2009	08/12/2011	11/10/2011
2011-133	SEC v. Rodney S. Shehyn, Rodney D. Marr, Donald L. Marr, and Karen S. Leigh Case number: 04-cv-02003 (United States District Court for the Southern District of New York) Case filed: March 15, 2004	08/12/2011	11/10/2011
2011-132	SEC v. Satyam Computer Services Limited d.b.a. Mahindra Satyam Case number: 11-cv-00672 (United States District Court for the District of Columbia) Case filed: April 5, 2011	08/12/2011	11/10/2011
2011-131	SEC v. Mark E. Salyer Case number: 08-cv-00179 (United States District Court for the Eastern District of Tennessee) Case filed: June 23, 2008	08/12/2011	11/10/2011
2011-130	In the Matter of Royal Dutch Shell plc and Shell International Exploration and Production Inc. Administrative Proceeding File No.: 3-14107 Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-129	SEC v. Rockwell Energy of Texas LLC, Rockwell Energy Management LLC, Gregory S. Shindler, Bradley M. James, W. Todd Smith, Stuart E. Rawitt, and Brian W. Walsh Case number: 09-cv-04080 (United States District Court for the Southern District of Texas) Case filed: December 23, 2009	08/12/2011	11/10/2011
2011-128	In the Matter of Rockwell Automation, Inc. Administrative Proceeding File No.: 3-14364 Case filed: May 3, 2011	08/12/2011	11/10/2011
2011-127	SEC v. Rockford Funding Group, LLC Case number: 09-cv-10047 (United States District Court for the Southern District of New York) Case filed: December 8, 2009	08/12/2011	11/10/2011
2011-126	SEC v. Archie Paul Reynolds and Success Trust Case number: 06-cv-01801 (United States District Court for the Northern District of Georgia) Case filed: August 2, 2006	08/12/2011	11/10/2011
2011-125	SEC v. Regions Bank Case number: 09-cv-22821 (United States District Court for the Southern District of Florida) Case filed: September 21, 2009	08/12/2011	11/10/2011
2011-124	SEC v. Steven L. Rattner Case number: 10-cv-08699 (United States District Court for the Southern District of New York) Case filed: November 18, 2010	08/12/2011	11/10/2011
2011-123	SEC v. RAE Systems Inc. Case number: 10-cv-02093 (United States District Court for the District of Columbia) Case filed: December 10, 2010	08/12/2011	11/10/2011
2011-122	SEC v. Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah Case number: 09-cv-01560 (United States District Court for the District of Arizona) Case filed: July 28, 2009	08/12/2011	11/10/2011
2011-121	SEC v. Joseph D. Radcliffe and Michael J. Radcliffe Case number: 11-cv-00091 (United States District Court for the District of Columbia) Case filed: January 14, 2011	08/12/2011	11/10/2011
2011-120	SEC v. Pride International, Inc. Case number: 10-cv-04335 (United States District Court for the Southern District of Texas) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-119	In the Matter of Gordon Brent Pierce, Newport Capital Corp., and Jenirob Company Ltd. Administrative Proceeding File No.: 3-13927 Case filed: June 8, 2010	08/12/2011	11/10/2011
2011-118	SEC v. Panalpina, Inc. Case number: 10-cv-04334 (United States District Court for the Southern District of Texas) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-117	SEC v. One or More Unknown Traders in the Common Stock of Certain Issuers Case number: 07-cv-00431 (United States District Court for the District of Columbia) Case filed: March 6, 2007	08/12/2011	11/10/2011
2011-116	SEC v. Onele Trading & Finance Ltd Case number: 10-cv-09159 (United States District Court for the Southern District of New York) Case filed: December 8, 2010	08/12/2011	11/10/2011
2011-115	SEC v. One Equity Corporation, Triangle Equities Group, Inc., Victory Management Group, Inc., Dafcan Finance, Inc., Michael S. Spillan and Melissa K. Spillan Case number: 08-cv-00667 (United States District Court for the Southern District of Ohio) Case filed: July 10, 2008	08/12/2011	11/10/2011
2011-114	SEC v. Robert Olins, Spatialight, Inc., and Argyle Capital Management Corp. Case number: 07-cv-06423 (United States District Court for the Northern District of California) Case filed: December 20, 2007	08/12/2011	11/10/2011
2011-113	SEC v. Novus Technologies, LLC, a Utah limited liability company, Ralph W. Thompson, Jr., Duane C. Johnson, RCH2, LLC, a Utah limited liability company, Robert Casey Hall, and Eric J. Wheeler Case number: 07-cv-00235 (United States District Court for the District of Utah) Case filed: April 11, 2007	08/12/2011	11/10/2011
2011-112	SEC v. Noble Corporation Case number: 10-cv-04336 (United States District Court for the Southern District of Texas) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-111	SEC v. NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur Case number: 11-cv-02016 (United States District Court for the District of Kansas) Case filed: January 12, 2011	08/12/2011	11/10/2011
2011-110	In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. McIntosh, James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz Administrative Proceeding File No.: 3-13994 Case filed: August 5, 2010	08/12/2011	11/10/2011
2011-109	SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Koslowski, and Frank T. Noyes Case number: 05-cv-00480 (United States District Court for the District of Colorado) Case filed: March 15, 2005	08/12/2011	11/10/2011
2011-108	SEC v. Angelo Mozilo, David Sambol, and Eric Sieracki Case number: 09-cv-03994 (United States District Court for the Central District of California) Case filed: June 4, 2009	08/12/2011	11/10/2011
2011-107	SEC v. William G. Mortensen and Feng Zheng Case number: 10-cv-01142 (United States District Court for the Northern District of Texas) Case filed: June 9, 2010	08/12/2011	11/10/2011
2011-106	SEC v. Brad A. Morrice, Patti M. Dodge, David N. Kenneally Case number: 09-cv-01426 (United States District Court for the Central District of California) Case filed: December 7, 2009	08/12/2011	11/10/2011
2011-105	In the Matter of Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA Administrative Proceeding File No.: 3-13847 Case filed: June 22, 2011	08/12/2011	11/10/2011
2011-104	SEC v. Millennium Bank, United Trust of Switzerland S.A., UT of S, LLC, Millennium Financial Group, William J. Wise d/b/a Sterling Administration, d/b/a Sterling Investment Services, d/b/a Millennium Aviation, Kristi M. Hoegel, a/k/a Kristi M. Christopher, a/k/a Bessy Lu, Jacqueline S. Hoegel, a/k/a Jacquline S. Hoegel, a/k/a Jackie S. Hoegel, Philippe Angeloni, and Brijesh Chopra Case number: 09-cv-00050 (United States District Court for the Northern District of Texas) Case filed: March 26, 2009	08/12/2011	11/10/2011
2011-103	SEC v. Mike Watson Capital LLC, Michael P. Watson, and Joshua F. Escobeda Case number: 11-cv-00275 (United States District Court for the District of Utah) Case filed: March 23, 2011	08/12/2011	11/10/2011
2011-102	SEC v. Merrill Scott & Associates Ltd., Merrill Scott & Associates, Inc., Phoenix Overseas Advisors Ltd., Gilbralter Permanente Assurance, Ltd., Patrick M. Brody, David E. Ross II, and Michael Licopantis Case number: 02-cv-00039 (United States District Court for the District of Utah) Case filed: January 15, 2002	08/12/2011	11/10/2011
2011-101	In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated Administrative Proceeding File No.: 3-14204 Case filed: January 25, 2011	08/12/2011	11/10/2011
2011-100	SEC v. Paul P. Merklinger and Encore Associated Leasing, LLC Case number: 08-cv-13184 (United States District Court for the Eastern District of Michigan) Case filed: July 24, 2008	08/12/2011	11/10/2011
2011-099	SEC v. Merchant Capital LLC, Steven C. Wyer, and Kurt Beasley Case number: 02-cv-02984 (United States District Court for the Northern District of Georgia) Case filed: November 4, 2002	08/12/2011	11/10/2011
2011-098	SEC v. Michael J. McNaul, II, Dale C. Lucas, Gregg Krause, Lloyd F. Nunns, Russell W. Kilgariff, Steven L. Tallman, Freddie J. Hembree, Raymond L. Leonard, Jr., Mid Western Natural Gas, Inc., and Mark DuBoise Case number: 08-cv-01159 (United States District Court for the District of Kansas) Case filed: May 28, 2008	08/12/2011	11/10/2011
2011-097	SEC v. Carol McKeown, Daniel F. Ryan, Meadow Vista Financial Corp., and Downshire Capital, Inc. Case number: 10-80748 (United States District Court for the Southern District of Florida) Case filed: June 23, 2010	08/12/2011	11/10/2011
2011-096	SEC v. Ian McCarthy Case number: 11-cv-00667 (United States District Court for the Northern District of Georgia) Case filed: March 3, 2011	08/12/2011	11/10/2011
2011-095	SEC v. Maxwell Technologies, Inc. Case number: 11-cv-00258 (United States District Court for the District of Columbia) Case filed: January 31, 2011	08/12/2011	11/10/2011
2011-094	SEC v. Javeed A. Matin and Wilshire Equity, Inc. Case number: 10-cv-01686 (United States District Court for the Central District of California) Case filed: November 1, 2010	08/12/2011	11/10/2011
2011-093	SEC v. Amit Mathur and Entrust Capital Management, Inc. Case number: 05-cv-10729 (United States District Court for the District of Massachusetts) Case filed: April 12, 2005	08/12/2011	11/10/2011
2011-092	SEC v. Madison Real Estate Group LLC, Richard Ames Higgins, Brandon S. Higgins, and Allan D. Christensen Case number: 08-cv-00243 (United States District Court for the District of Utah) Case filed: March 28, 2008	08/12/2011	11/10/2011
2011-091	SEC v. Alero Odell Mack, Jr.; Steven Enrico Lopez, Sr.; Easy Equity Asset Management, Inc.; Easy Equity Management, L.P.; Easy Equity Partners, L.P.; Alero Equities the Real Estate Company, L.L.C.; and Alero I.X. Corporation Case number: 10-cv-08383 (United States District Court for the Central District of California) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-090	SEC v. Alfred Clay Ludlum III, Printz Capital Management LLC, Printz Financial Group, Inc., and PCM Global Holdings LLC Case number: 10-cv-07379 (United States District Court for Eastern District of Pennsylvania) Case filed: December 20, 2010	08/12/2011	11/10/2011
2011-089	In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co, Calcutta Administrative Proceeding File No.: 3-14321 Case filed: April 5, 2011	08/12/2011	11/10/2011
2011-088	SEC v. Locke Capital Management, Inc. and Leila C. Jenkins Case number: 09-cv-00100 (United States District Court for the District of Rhode Island) Case filed: March 9, 2009	08/12/2011	11/10/2011
2011-087	SEC v. Brian N. Lines, Scott G.S. Lines, LOM (Holdings) Ltd., Lines Overseas Management Ltd., LOM Capital Ltd., LOM Securities (Bermuda) Ltd., LOM Securities (Cayman) Ltd., LOM Securities (Bahamas) Ltd., Anthony W. Wile, Wayne E. Wile, Robert J. Chapman, William Todd Peever, Phillip James Curtis, and Ryan G. Leeds Case number: 07-cv-11387 (United States District Court for the Southern District of New York) Case filed: December 19, 2007	08/12/2011	11/10/2011
2011-086	In the Matter of Level Global Investors LP Administrative Proceeding File No.: 3-14443 Case filed: June 28, 2011	08/12/2011	11/10/2011
2011-085	SEC v. John W. Lawton, Paramount Partners LP, and Crossroad Capital Management LLC Case number: 09-cv-00368 (United States District Court for the District of Minnesota) Case filed: February 18, 2009	08/12/2011	11/10/2011
2011-084	In the Matter of KPMG Australia Administrative Proceeding File No.: 3-14276 Case filed: February 28, 2011	08/12/2011	11/10/2011
2011-083	SEC v. Mohit A. Khanna and MAK 1 Enterprises Group LLC Case number: 09-cv-01784 (United States District Court for the Southern District of California) Case filed: August 17, 2009	08/12/2011	11/10/2011
2011-082	SEC v. Michael E.Kelly; Michael P. Kelly; Donald L. Kelly; John L. Corwin; Corporativo Nola, S.A. de C.V.; Resort Holding International (RHI) S.A.; Panorama Communities, S.A.; World Phantasy Tours, Inc. (Viajes Y Fantasia Por El Mundo, S.A.), also d/b/a Majesty Travel; Galaxy Properties Management, S.A.; Yucatan Resorts, S.A. de C.V.; Resort Holdings International, S.A. de C.V; Mark Ruttenberg; Ruttenberg and Associates Financial Marketing, Inc.; Mark G. Meyer; Mark Meyer and Associates, Inc.; Richard E. Riner; Southwest Income Marketing, Inc.; George Phelps, also d/b/a Safe Estate Plans; John E. Tencza also d/b/a American Investment Management Group, Inc.; American Elder Group, L.L.C.; Carl Q. Lee; Carl Lee and Associates, Inc.; Roy D. Higgs; Warren T. Chambers; William K. Boston, Jr.; and Century Estate Planning, Inc. Case number: 07-cv-04979 (United States District Court for the Northern District of Illinois) Case filed: September 5, 2007	08/12/2011	11/10/2011
2011-081	SEC v. Dennis Lee Keating II Case number: 10-cv-00419 (United States District Court for the District of Utah) Case filed: May 6, 2010	08/12/2011	11/10/2011
2011-080	SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler Case number: 09-cv-01638 (United States District Court for the Middle District of Florida) Case filed: September 24, 2009	08/12/2011	11/10/2011
2011-079	SEC v. Albert Fase Kaleta and Kaleta Capital Management, Inc. Case number: 09-cv-03674 (United States District Court for the Southern District of Texas) Case filed: November 13, 2009	08/12/2011	11/10/2011
2011-078	SEC v. J.P. Morgan Securities LLC Case number: 11-cv-04206 (United States District Court for the Southern District of New York) Case filed: June 21, 2011	08/12/2011	11/10/2011
2011-077	SEC v. J.P. Morgan Securities LLC Case number: 11-cv-03877 (United States District Court for the District of New Jersey) Case filed: July 7, 2011	08/12/2011	11/10/2011
2011-076	SEC v. Johnson & Johnson Case number: 11-cv-00686 (United States District Court for the District of Columbia) Case filed: April 8, 2011	08/12/2011	11/10/2011
2011-075	SEC v. Carl W. Jasper Case number: 07-cv-06122 (United States District Court for the Northern District of California) Case filed: December 4, 2007	08/12/2011	11/10/2011
2011-074	SEC v. International Realty Holdings, Inc., Ottoniel Medrano, and Leticia Isabel Medrano Case number: 09-cv-01945 (United States District Court for the Central District of California) Case filed: March 23, 2009	08/12/2011	11/10/2011
2011-073	SEC v. Imperia Invest IBC Case number: 10-cv-00986 (United States District Court for the District of Utah) Case filed: October 6, 2010	08/12/2011	11/10/2011
2011-072	SEC v. W. Anthony Huff, Danny L. Pixler, Anthony R. Russo, Otha Ray McCartha, and Charles J. Spinelli Case number: 08-cv-60315 (United States District Court for the Southern District of Florida) Case filed: March 6, 2008	08/12/2011	11/10/2011
2011-071	In the Matter of Horseman Capital Management, L.P. Administrative Proceeding File No.: 3-14202 Order filed: January 24, 2011	08/12/2011	11/10/2011
2011-070	SEC v. Homestead Properties LP, Homestead Limited LLC, California Wealth Management Group, d.b.a. IFC Advisory, Heath M. Biddlecome, and William C. Tak Case number: 09-cv-01331 (United States District Court for the Central District of California) Case filed: December 24, 2009	08/12/2011	11/10/2011
2011-069	SEC v. Hedgelender LLC, Daniel W. Stafford, and Fred R. Wahler, Jr. Case number: 09-cv-00859 (United States District Court for the Southern District of Ohio) Case filed: September 30, 2009	08/12/2011	11/10/2011
2011-068	SEC v. Gary L. Harden, Sr. and Philip E. Lowery Case number: 05-cv-00354 (United States District Court for the Western District of Michigan) Case filed: May 19, 2005	08/12/2011	11/10/2011
2011-067	SEC v. Lowell Gene “Bob” Hancher, Commerce Street Venture Group, Inc., Edward T. Whelan, and Grace Holdings Case number: 11-cv-04005 (United States District Court for the Northern District of Iowa) Case filed: January 13, 2011	08/12/2011	11/10/2011
2011-066	SEC v. Great American Technologies, Inc. and Vincent Setteducate a/k/a Vincent Sette Case number: 07-cv-10694 (United States District Court for the Southern District of New York) Case filed: November 30, 2007	08/12/2011	11/10/2011
2011-065	SEC v. George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki Case number: 09-cv-00061 (United States District Court for the Northern District of Oklahoma) Case filed: February 10, 2009	08/12/2011	11/10/2011
2011-064	SEC v. Lawrence R. Goldfarb and Baystar Capital Management, LLC Case number: 11-cv-00938 (United States District Court for the Northern District of California) Case filed: March 1, 2011	08/12/2011	11/10/2011
2011-063	SEC v. Golden Apple Oil and Gas, Inc., Jay Budd, John Briner, and Ethos Investments, Inc. Case number: 09-cv-07580 (United States District Court for the Southern District of New York) Case filed: August 31, 2009	08/12/2011	11/10/2011
2011-062	SEC v. GlobalSantaFe Corp. Case number: 10-cv-01890 (United States District Court for the District of Columbia) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-061	SEC v. Global Materials & Services, Inc. f/k/a American Fire Retardant Corp., Stephen F. Owens, ASMAC Financial, Inc., Edify Capital Group, Inc., Eric Ko, and William Woo Case number: 08-cv-00881 (United States District Court for the Central District of California) Case filed: August 8, 2008	08/12/2011	11/10/2011
2011-060	SEC v. Global Development & Environmental Resources, Inc., Philip Pritchard, Pietro Cimino, Dante M. Panella, Darko S. Mrakuzic, Anthony M. Cimini, Sr., and Carmine J. Bua Case number: 08-cv-00993 (United States District Court for the Middle District of Florida) Case filed: May 23, 2008	08/12/2011	11/10/2011
2011-059	SEC v. Gen-See Capital Corporation a/k/a Gen Unlimited and Richard S. Piccoli Case number: 09-cv-00014 (United States District Court for the Western District of New York) Case filed: January 8, 2009	08/12/2011	11/10/2011
2011-058	SEC v. Jason M. Genet Case number: 09-cv-04215 (United States District Court for the Eastern District of New York) Case filed: September 30, 2009	08/12/2011	11/10/2011
2011-057	SEC v. General Electric Company, Ionics, Inc., and Amersham plc Case number: 10-cv-01258 (United States District Court for the District of Columbia) Case filed: July 27, 2010	08/12/2011	11/10/2011
2011-056	SEC v. Gendreau & Associates, Inc., and Jacques R. Gendreau Case number: 09-cv-03697 (United States District Court for the Central District of California) Case filed: May 26, 2009	08/12/2011	11/10/2011
2011-055	In the Matter of Gartmore Investment Limited Administrative Proceeding File No.: 3-14154 Case filed: December 8, 2010	08/12/2011	11/10/2011
2011-054	SEC v. Galleon Management LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat, New Castle Funds LLC, Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far & Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, and S2 Capital Management LP Case number: 09-cv-08811 (United States District Court for the Southern District of New York) Case filed: November 5, 2009	08/12/2011	11/10/2011
2011-053	SEC v. FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a/ FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez Case number: 09-cv-04755 (United States District Court for the Southern District of New York) Case filed: May 20, 2009	08/12/2011	11/10/2011
2011-052	SEC v. Gregory Todd Froning Case number: 10-cv-01503 (United States District Court for the Northern District of Texas) Case filed: August 2, 2010	08/12/2011	11/10/2011
2011-051	SEC v. Founding Partners Capital Management Company, William Gunlicks, Sun Capital, Inc., Sun Capital Healthcare, Inc., Founding Partners Stable-Value Fund LP, Founding Partners Stable-Value Fund II LP, Founding Partners Global Fund Ltd., and Founding Partners Hybrid-Value Fund LP Case number: 09-cv-00229 (United States District Court for the Middle District of Florida) Case filed: April 20, 2009	08/12/2011	11/10/2011

Last Reviewed or Updated: March 17, 2025

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