Whistleblower Program: Notices of Covered Action

SEC v. Barry F. Connell
Case Number: 17-cv-00831 (United States District Court for the Southern District of New York) 
Date Filed: February 3, 2017 
Date of Qualifying Judgment / Order: December 30, 2020

SEC v. Joseph Taub and Elazar Shmalo
Case Number: 16-cv-01930 (United States District Court for the District of New Jersey) 
Date Filed: December 12, 2016
Date of Qualifying Judgment / Order: December 29, 2020

SEC v. Benjamin Taylor, Darina Windsor, and Joseph Abdul Noor El-Khouri
Case Number: 19-cv-09744 (United States District Court for the Southern District of New York)
Date Filed: October 22, 2019
Date of Qualifying Judgment / Order: December 16, 2020

SEC v. Anthony J. Thompson Jr., Jay Fung, and Eric Van Nguyen
Case Number: 14-cv-09126 (United States District Court for the Southern District of New York)
Date Filed: November 27, 2014
Date of Qualifying Judgment / Order: December 30, 2020

SEC v. OwnZones Media Network, Inc., Daniel Goman and Joseph Goman
Case Number: 20-cv-01308 (United States District Court for the Central District of California) 
Date Filed: April 2, 2020
Date of Qualifying Judgment / Order: January 14, 2021

In the Matter of Voya Financial Advisors, Inc.
Administrative Proceeding File No.: 3-20183
Date Filed: December 21, 2020
Date of Qualifying Judgment / Order: December 21, 2020

In the Matter of Covia Holdings Corp, and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC
Administrative Proceeding File No.: 3-20163
Date Filed: December 8, 2020
Date of Qualifying Judgment / Order: December 8, 2020
 

SEC v. RPM International Inc. and Edward W. Moore
Case Number: 16-cv-01803 (United States District Court for the District of Columbia) 
Date Filed: September 9, 2016 
Date of Qualifying Judgment / Order: December 22, 2020

SEC v. Paul R. Montgomery Jr., Michael D. Fisher, and James H. Willingham, Jr.
Case Number: 20-cv-00598 (United States District Court for the Western Division of Texas)
Date Filed: May 18, 2020
Date of Qualifying Judgment / Order: January 20, 2021

SEC v. Clinton Maurice Tucker II
Case Number.: 20-cv-00875 (United States District Court for the Central District of California) 
Date Filed: May 11, 2020
Date of Qualifying Judgment / Order: November 17, 2020

In the Matter of Robinhood Financial, LLC
Administrative Proceeding File No.: 3-20171
Date Filed: December 17, 2020
Date of Qualifying Judgment / Order: December 17, 2020

SEC v. Bernard M. Parker
Case Number.: 15-cv-01535 (United States District Court for the Western District of Pennsylvania) 
Date Filed: November 23, 2015
Date of Qualifying Judgment / Order: November 24, 2020

SEC v. Bryan Cohen and George Nikas
Case Number.: 19-cv-09645 (United States District Court for the Southern District of New York) 
Date Filed: October 18, 2019
Date of Qualifying Judgment / Order: December 22, 2020

SEC v. Craig Rumbaugh, Rumbaugh Financial, Inc, and Desert Strategic Equity, LLC
Case Number.: 19-cv-01517 (United States District Court for the Central District of California) 
Date Filed: August 14, 2019
Date of Qualifying Judgment / Order: November 20, 2020

In the Matter of ShipChain, Inc.
Administrative Proceeding File No.: 3-20185
Date Filed: December 21, 2020
Date of Qualifying Judgment / Order: December 21, 2020

In the Matter of BlueCrest Capital Management Limited
Administrative Proceeding File No.: 3-20162
Date Filed: December 8, 2020
Date of Qualifying Judgment / Order: December 8, 2020

In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P.
Administrative Proceeding File No.: 3-20173
Date Filed: December 17, 2020
Date of Qualifying Judgment / Order: December 17, 2020

SEC v. One or More Unknown Traders in the Securities of Bioverativ, Inc.
Case Number: 18-cv-00701 (United States District Court for the Southern District of New York) 
Date Filed: January 26, 2018
Date of Qualifying Judgment / Order: December 2, 2020

In the Matter of ICE Data Pricing & Reference Data, LLC
Administrative Proceeding File No.: 3-20164
Date Filed: December 9, 2020
Date of Qualifying Judgment / Order: December 9, 2020

In the Matter of General Electric Company
Administrative Proceeding File No.: 3-20165
Date Filed: December 9, 2020
Date of Qualifying Judgment / Order: December 9, 2020

SEC v. Garrett M. O’Rourke and Michael J. Black 
Case Number: 19-cv-04137 (United States District Court for the Eastern District of New York)  
Date Filed: July 17, 2019
Date of Qualifying Judgment / Order: December 7, 2020

SEC v. Nelson Gomes, Michael Luckhoo-Bouche, Shane Schmidt, Douglas Roe, Kelly Warawa, FFS Capital Limited, Paifang Trading Limited, Artefactor Limited, Atlantean Management Corporation, Meadow Asia Limited, and Thyme International Limited
Case Number: 20-cv-11092 (United States District Court for the District of Massachusetts)  
Date Filed: June 9, 2020
Date of Qualifying Judgment / Order: December 4, 2020 

SEC v. Scana Corporation, Dominion Energy South Carolina, Inc (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Bryne
Case Number: 20-cv-00882 (United States District Court for the District of South Carolina) 
Date Filed: February 27, 2020
Date of Qualifying Judgment / Order: December 3, 2020

SEC v. Laksha Bohra, Viky Bohra, and Gotham Bohra
Case Number: 20-cv-01434 (United States District Court for the Western District of Washington)
Date Filed: September 28, 2020
Date of Qualifying Judgment / Order: October 16, 2020

In the Matter of John G. Stumpf
Administrative Proceeding File No.: 3-20148
Date Filed: November 13, 2020
Date of Qualifying Judgment / Order: November 13, 2020

In the Matter of Alexandre S. Clug, Aurum Mining, LLC, Panam Terra, Inc., and The Corsair Group, Inc.
Administrative Proceeding File No.: 3-16318
Date Filed: November 9, 2020
Date of Qualifying Judgment / Order: November 9, 2020

SEC v. Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC
Case Number: 20-cv-01056 (United States District Court for the Central District of California) 
Date Filed: May 19, 2020
Date of Qualifying Judgment / Order: October 19, 2020

SEC v. Kik Interactive, Inc
Case Number: 19-cv-05244 (United States District Court for the Southern District of New York) 
Date Filed: June 4, 2019
Date of Qualifying Judgment / Order: October 21, 2020

SEC v. Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, Steven G. Patton
Case Number: 18-cv-00925 (United States District Court for the Central District of California) 
Date Filed: May 30, 2018
Date of Qualifying Judgment / Order: October 26, 2020
 

SEC v. Daniel Rudden, Financial Visions Inc., Financial Visions West, LLC, Financial Visions West 1, LLC, and FV-2, LLC
Case Number: 18-cv-01842 (United States District Court for the District of Colorado) 
Date Filed: July 19, 2018
Date of Qualifying Judgment / Order: October 15, 2020

SEC v. Revolution Lighting Technologies, Inc., Robert LaPenta, James DePalma, Daniel O’Neal, and Allen Garner 
Case Number: 20-cv-01440 (United States District Court for the District of Connecticut) 
Date Filed: September 24, 2020
Date of Qualifying Judgment / Order: October 9, 2020

Commission Deferred Prosecution Agreement with Tenaris, S.A.
Date: May 17, 2011

Commission Deferred Prosecution Agreement with The PBSJ Corporation
Date: January 21, 2015

Commission Deferred Prosecution with Regions Financial Corp.
Date: June 19, 2014

In the Matter of EDG Management Company, LLC 
Administrative Proceeding File No.: 3-20133
Date Filed: October 22, 2020
Date of Qualifying Judgment / Order: October 22, 2020

In the Matter of J.P. Morgan Securities, LLC
Administrative Proceeding File No.: 3-20094
Date Filed: September 29, 2020
Date of Qualifying Judgment / Order: September 29, 2020
 

In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-20103
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020

In the Matter of BGC Partners, Inc
Administrative Proceeding File No.: 3-20107
Date Filed: September 30, 2020    
Date of Qualifying Judgment / Order: September 30, 2020

SEC v. Brian Weber and Bebida Beverage Co.
Case Number: 18-cv-05019 (United States District Court for the Eastern District of New York)
Date Filed: September 5, 2018
Date of Qualifying Judgment / Order: September 21, 2020

SEC v. Steven Fishoff, Deshan Govender, Winson Tang, Featherwood Capital, Inc., and JSF Investment Capital Inc.
Case Number: 18-cv-07685 (United States District Court for the Southern District of New York) 
Date Filed: August 23, 2018 
Date of Qualifying Judgment / Order: October 1, 2020 

SEC v. Motty Mirzahi and MBIG Company
Case Number: 19-cv-02284 (United States District Court for the Central District of California)  
Date Filed: March 27, 2019
Date of Qualifying Judgment / Order: October 7, 2020

SEC v. Remington Chase a/k/a William Westwood a/k/a William Elliot
Case Number: 20-cv-08343 (United States District Court for the Central District of California) 
Date Filed: September 11, 2020 
Date of Qualifying Judgment / Order: October 6, 2020

SEC v. Daniel Pacheco
Case Number: 19-cv-00958 (United States District Court for the Central District of California)
Date Filed: May 22, 2019
Date of Qualifying Judgment / Order: August 6, 2020

SEC v. Jeffrey Stebbins and Corbin Jones
Case Number: 13-cv-00755 (United States District Court for the District of Arizona)
Date Filed: April 16, 2013
Date of Qualifying Judgment / Order: September 24, 2020

In the Matter of Andeavor LLC 
Administrative Proceeding File No.: 3-20125
Date Filed: October 15, 2020
Date of Qualifying Judgment / Order: October 15, 2020

In the Matter of J&F Investimentos, S.A., JBS, S.A. Joesley Batista, Wesley Batista
Administrative Proceeding File No.: 3-20124
Date Filed: October 14, 2020
Date of Qualifying Judgment / Order: October 14, 2020

In the Matter of HP Inc 
Administrative Proceeding File No.: 3-20112
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020

In the Matter of Kroll Bond Rating Agency, LLC
Administrative Proceeding File No.: 3-20096
Date Filed: September 29, 2020
Date of Qualifying Judgment / Order: September 29, 2020

SEC v. Verley Lee Sembritzky, Jr., Bounty of the Ocean Inc., and Ocean Harvest LLC
Case Number: 20-cv-03287 (United States District Court for the Southern District of Texas) 
Date Filed: September 22, 2020
Date of Qualifying Judgment / Order: September 24, 2020

SEC v. Gary S. Wylke a/k/a Gary S. Wyckel and Alejandro Cortes
Case Number: 20-cv-23616 (United States District Court for the Southern District of Florida) 
Date Filed: August 31, 2020
Date of Qualifying Judgment / Order: September 30, 2020

In the Matter of Transamerica Asset Management, Inc.
Administrative Proceeding File No.: 3-20105
Date Filed: September 30, 2020
Date of Qualifying Judgment / Order: September 30, 2020

In the Matter of the Goldman Sachs Group, Inc.
Administrative Proceeding File No.: 3-20132
Date Filed: October 22, 2020
Date of Qualifying Judgment / Order: October 22, 2020

In the Matter of Gilder Gagnon Howe & Co. LLC, and Bonnie M. Haupt
Administrative Proceeding File No: 3-20014
Date Filed: September 17, 2020
Date of Qualifying Judgment/Order: September 17, 2020

SEC v. John Geraci
Case Number: 18-cv-06432 (United States District Court for the Southern District of New York)
Date Filed: July 17, 2018
Date of Qualifying Judgment/Order: September 10, 2020

SEC v. Mark P. Frissora
Case Number: 20-cv-10453 (United States District Court for the District of New Jersey)
Date Filed: August 13, 2020
Date of Qualifying Judgment/Order: August 26, 2020

SEC v. James M. Farinella, Integrated Capital Partners, Inc., Anthony Amado, Equities Awareness Group, LLC, and Carlo Palomino
Case Number: 17-cv-04538 (United States District Court for the District of New Jersey)
Date Filed: June 21, 2017
Date of Qualifying Judgment/Order: August 28, 2020

In the Matter of John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC, and George R. Jarkesy, Jr.
Administrative Proceeding File No: 3-15255
Date Filed: September 4, 2020
Date of Qualifying Judgment/Order: September 4, 2020

In the Matter of Bayerische Motoren Werke Aktiengesslschaft, BMW of North America, LLC, and BMW US Capital, LLC
Administrative Proceeding File No: 3-20060
Date Filed: September 24, 2020
Date of Qualifying Judgment/Order: September 24, 2020

In the Matter of Unikrn, Inc.
Administrative Proceeding File No: 3-20003
Date Filed: September 15, 2020
Date of Qualifying Judgment/Order: September 15, 2020

In the Matter of Precigen, Inc. (f/k/a Intrexon Corporation)
Administrative Proceeding File No: 3-20069
Date Filed: September 25, 2020
Date of Qualifying Judgment/Order: September 25, 2020

In the Matter of National Financial Services LLC
Administrative Proceeding File No: 3-19958
Date Filed: September 3, 2020
Date of Qualifying Judgment/Order: September 3, 2020

In the Matter of Fulton Financial Corporation
Administrative Proceeding File No: 3-20084
Date Filed: September 28, 2020
Date of Qualifying Judgment/Order: September 28, 2020

In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA
Administrative Proceeding File No: 3-20085
Date Filed: September 28, 2020
Date of Qualifying Judgment/Order: September 28, 2020

SEC v. Anton Senderov and Lior Babazara a/k/a Lior Bar 
Case Number: 19-cv-05242 (United States District Court for the Eastern District of Washington)
Date Filed: October 9, 2019
Date of Qualifying Judgment/Order: August 27, 2020

SEC v. Francisco Abellan Vilena, Guillermo Ciupiak, James B, Panther, Jr., and Faiyaz Dean
Case Number: 18-cv-04309 (United States District Court for the Southern District of New York)
Date Filed: May 15, 2018
Date of Qualifying Judgment/Order: September 11, 2020

In the Matter of Platinum Wealth Partners, Inc. and David L. Potter
Administrative Proceeding File No: 3-20067
Date Filed: September 24, 2020
Date of Qualifying Judgment/Order: September 24, 2020

SEC v. Richard M. Kirsch and Adam Terris 
Case Number: 20-cv-61830 (United States District Court for the Southern District of Florida)
Date Filed: September 10, 2020
Date of Qualifying Judgment/Order: September 16, 2020

In the Matter of Power Solutions International, Inc.
Administrative Proceeding File No: 3-20062
Date Filed: September 24, 2020
Date of Qualifying Judgment/Order: September 24, 2020

In the Matter of Fiat Chrysler Automobiles N.V.
Administrative Proceeding File No: 3-20092
Date Filed: September 28, 2020
Date of Qualifying Judgment/Order: September 28, 2020

In the Matter of Hancock Whitney Investment Services, Inc.
Administrative Proceeding File No: 3-20074
Date Filed: September 25, 2020
Date of Qualifying Judgment/Order: September 25, 2020

In the Matter of Roosevelt & Cross, Inc. 
Administrative Proceeding File No: 3-19996
Date Filed: September 14, 2020
Date of Qualifying Judgment/Order: September 14, 2020

In the Matter of Charles Liang 
Administrative Proceeding File No.: 3-19929
Date Filed: August 25, 2020
Date of Qualifying Judgment/Order: August 25, 2020

In the Matter of VALIC Financial Advisors, Inc.
Administrative Proceeding File No.: 3-19894
Date Filed: July 28, 2020
Date of Qualifying Judgment/Order: July 28, 2020

In the Matter of Kelvin Boon, LLC, and Rajesh Pavithran
Administrative Proceeding File No.: 3-19913
Date Filed: August 13, 2020
Date of Qualifying Judgment/Order: August 13, 2020

In the Matter of Interactive Brokers LLC
Administrative Proceeding File No.: 3-19907
Date Filed: August 10, 2020
Date of Qualifying Judgment/Order: August 10, 2020

In the Matter of Herbalife Nutrition, LTD.
Administrative Proceeding File No.: 3-19948
Date Filed: August 28, 2020
Date of Qualifying Judgment/Order: August 28, 2020

SEC v. WG Trading Investors, L.P., WG Trading Company, Limited Partnership, Westridge Capital Management, Inc., Paul Greenwood and Stephen Walsh
Case Number:  09-cv-01750 (United States District Court for the Southern District of New York) 
Date Filed: February 25, 2009
Date of Qualifying Judgment/Order: June 9, 2020

In the Matter of NPB Financial Group, LLC
Administrative Proceeding File No: 3-19918
Date Filed: August 20, 2020
Date of Qualifying Judgment/Order: August 20, 2020

SEC v. Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street
Case Number: 18-cv-00264 (United States District Court for the District of Hawaii)
Date Filed: July 9, 2019
Date of Qualifying Judgment/Order: July 1, 2020

In the Matter of World Acceptance Corporation
Administrative Proceeding File No: 3-19905
Date Filed: August 6, 2020
Date of Qualifying Judgment/Order: August 6, 2020

SEC v. David Sims, Mario Procopio, Ralph C. Greaves, ALC Holdings, LLC, El Cether-Eloyown, and Sims Equities, Inc.
Case Number: 19-cv-00995 (United States District Court for the Central District of California) 
Date Filed: May 23, 2019
Date of Qualifying Judgment/Order: July 2, 2020

In the Matter of Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies Inc.
Administrative Proceeding File No: 3-19899
Date Filed: July 31, 2020
Date of Qualifying Judgment/Order: July 31, 2020

In the Matter of Super Micro Computer, Inc
Administrative Proceeding File No: 3-19927
Date Filed: August 25, 2020
Date of Qualifying Judgment/Order: August 25, 2020

In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No: 3-19866
Date Filed: July 20, 2020
Date of Qualifying Judgment/Order: July 20, 2020

SEC v. Matthew S. Hilliard, Hilliard Oil Ventures, Inc. a/k/a Delta Western Company, Hilliard Helium Company, LLC, and Hilliard Land and Energy Corp.
Case Number: 20-cv-00929 (United States District Court for the Northern District of Texas) 
Date Filed: April 16, 2020
Date of Qualifying Judgment/Order: August 17, 2020

In the Matter of Scott M. Dittman, CPA
Administrative Proceeding File No: 3-17546
Date Filed: August 5, 2020
Date of Qualifying Judgment/Order: August 5, 2020

SEC v. Zvi Feiner, FNR Healthcare, LLC, and Erez Baver
Case Number: 19-cv-06269 (United States District court for the Northern District of Illinois) 
Date Filed: September 19, 2019
Date of Qualifying Judgment/Order: October 7, 2019

SEC v. Telegram Group Inc. and TON Issuer Inc.
Case Number: 19-cv-09439 (United States District Court for the Southern District of New York)
Date Filed: October 11, 2019
Date of Qualifying Judgment/Order: June 26, 2020

SEC v. Commodore Financial Corporation, Christopher Schlegel, M&G Cap Services, and Andres Calvo
Case Number: 15-cv-01567 (United States District Court for the Central District of California) 
Date Filed: September 30, 2015
Date of Qualifying Judgment/Order: June 24, 2020 

In the Matter of Alexion Pharmaceuticals, Inc.
Administrative Proceeding File No: 3-19852
Date Filed: July 2, 2020
Date of Qualifying Judgment/Order: July 2, 2020

In the Matter of VALIC Financial Advisors, Inc.
Administrative Proceeding File No: 3-19895
Date Filed: July 28, 2020
Date of Qualifying Judgment/Order: July 28, 2020

SEC v. Kevin G. White, KGW Capital Management, LLC, Revelation Forex Fund, L.P., and RFF GP, LLC 
Case Number: 13-cv-00383 (United States District Court for the Eastern District of Texas) 
Date Filed: July 9, 2013
Date of Qualifying Judgment/Order: June 29, 2020

SEC v. Temenos Advisory, Inc., and George L. Taylor
Case Number: 18-cv-01180 (United States District Court for the District of Connecticut)
Date Filed: July 18, 2018
Date of Qualifying Judgment/Order: June 30, 2020

In the Matter of BitClave PTE Ltd.
Administrative Proceeding File No.: 3-19816
Date Filed: May 28, 2020
Date of Qualifying Judgment/Order: May 28, 2020

In the Matter of SG Americas Securities, LLC
Administrative Proceeding File No.: 3-19833
Date Filed: June 24, 2020
Date of Qualifying Judgment/Order: June 24, 2020

SEC v. Lisa Bershan, Barry B. Schwartz, and Joel J. Margulies
Case Number: 17-cv-07793 (United States District Court for the Southern District of New York)
Date Filed: October 11, 2017
Date of Qualifying Judgment/Order: April 17, 2020

In the Matter of VEREIT, Inc.
Administrative Proceeding File No.:3-19831
Date Filed: June 23, 2020
Date of Qualifying Judgment/Order: June 23, 2020
 

SEC v. Robert Cortez Marshall 
Case Number: 17-cv-02189 (United States District Court for the District of Nevada)
Date Filed: August 15, 2017
Date of Qualifying Judgment/Order: June 8, 2020

In the Matter of Novartis AG
Administrative Proceeding File No.: 3-19835
Date Filed: June 25, 2020
Date of Qualifying Judgment/Order: June 25, 2020

SEC v. Giga Entertainment Media, Inc., Gary S. Nerlinger, Lawrence W. Silver, Alfred R. Colucci, Charles G. Noska, and Jarret M. Streiner 
Case Number: 18-cv-06511 (United States District Court for the Eastern District of New York) 
Date Filed: November 15, 2018 
Date of Qualifying Judgment/Order: June 3, 2020