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
2020-060

In the Matter of Cantor Fitzgerald & Co.
Administrative Proceeding File No: 3-19743
Date Filed: April 6, 2020
Date of Qualifying Judgment/Order: April 6, 2020

05/29/2020 08/27/2020
2020-059

SEC v. Marvin Mychal-Christopher Kendricks, a/k/a “Mychal Kendricks,” and Damilare Sonoiki
Case Number: 18-cv-03695 (United States District Court for the Pennsylvania)
Date Filed: August 29, 2018
Date of Qualifying Judgment/Order: March 18, 2020

05/29/2020 08/27/2020
2020-058

SEC v. International Investment Group, LLC.
Case Number: 19-cv-10796 (United States District Court for the Southern District of New York) 
Date Filed: November 21, 2019
Date of Qualifying Judgment/Order: March 30, 2020

05/29/2020 08/27/2020
2020-057

In the Matter of Monomoy Capital Management, L.P.
Administrative Proceeding File No: 3-19764
Date Filed: April 22, 2020
Date of Qualifying Judgment/Order: April 22, 2020

05/29/2020 08/27/2020
2020-056

In the Matter of RBC Capital Markets LLC
Administrative Proceeding File No: 3-19769
Date Filed: April 24, 2020
Date of Qualifying Judgment/Order: April 24, 2020

05/29/2020 08/27/2020
2020-055

SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat At Joe’s, LTD. n/k/a SPYR, Inc.
Case Number: 18-cv-05474 (United States District Court for the Southern District of New York) 
Date Filed: June 18, 2018
Date of Qualifying Judgment/Order: April 14, 2020

05/29/2020 08/27/2020
2020-054

In the Matter of Eni S.p.A.
Administrative Proceeding File No: 3-19751
Date Filed: April 17, 2020
Date of Qualifying Judgment/Order: April 17, 2020 

05/29/2020 08/27/2020
2020-053

SEC v. Ronald L. Blackburn, Andrew V. Reid, Bruce A. Gwyn, Michael A. Mulshine, Lee C. Schlesinger, Samuel E. Whitley, and Treaty Energy Corporation 
Case Number: 15-cv-02451 (United States District Court for the Eastern District of Louisiana) 
Date Filed: December 15, 2014
Date of Qualifying Judgment/Order: April 8, 2020

05/29/2020 08/27/2020
2020-052

SEC v. Castleberry Financial Services Group, LLC, T. Jonathon Turner, f/k/a/ “Jon Barri Brothers,” and Norman M. Strell 
Case Number: 19-cv-80244 (United States District Court for the Southern District of Florida)
Date Filed: February 19, 2019
Date of Qualifying Judgment/Order: March 31, 2020

05/29/2020 08/27/2020
2020-051

SEC v. Scott O. Hirsch and Kenneth L. Friedman
Case Number: 20-cv-80435 (United States District Court for the Southern District of Florida) 
Date Filed: March 17, 2020
Date of Qualifying Judgment/Order: March 19, 2020

05/29/2020 08/27/2020
2020-050

SEC v. The End of the Rainbow Partners, LLC., the Estate of Michael F. Anderson
Case Number: 17-cv-02670 (United States District Court for the District of Colorado) 
Date Filed: November 8, 2017
Date of Qualifying Judgment/Order:  February 10, 2020

05/29/2020 08/27/2020
2020-049

SEC v. Jeffrey E. Wall and The Lighthouse Events, LLC
Case Number: 19-cv-00139 (United States District Court for the District of Maine)
Date Filed: April 4, 2019
Date of Qualifying Judgment/Order: March 31, 2020

05/29/2020 08/27/2020
2020-048

SEC v. Philip E. Riehl
Case Number: 20-cv-00510 (United States District Court for the Eastern District of Pennsylvania) 
Date Filed: January 29, 2020
Date of Qualifying Judgment/Order: January 31, 2020

04/30/2020 07/29/2020
2020-047

SEC v. PTG Capital Partners LTD, PST Capital Group LTD, Nedko Nedev, Strategic Capital Partners Muster Limited, and Strategic Wealth Investments, Inc.
Case Number: 15-cv-04290 (United States District Court for the Southern District of New York) 
Date Filed: June 4, 2015
Date of Qualifying Judgment/Order: March 2, 2020

04/30/2020 07/29/2020
2020-046

SEC v. Evegenii Zavodchiko, Extra Trading Company, Andrey Bokarev, Radion Panko, Green Road Corporation, Natalia Andreevna Alepko, Solar Line Inc., Anton Maslov, Tarek Investors Inc.
Case Number: 16-cv-00845 (United States District Court for the District of New Jersey) 
Date Filed: February 17, 2016
Date of Qualifying Judgment/Order: February 11, 2020

04/30/2020 07/29/2020
2020-045

SEC v. Henry Ford f/k/a Cleothus Lefty Jackson and Fallcatcher, Inc.
Case Number: 19-cv-02214 (United States District Court for the Eastern District of Pennsylvania) 
Date Filed: May 22, 2019
Date of Qualifying Judgment/Order: February 26, 2020

04/30/2020 07/29/2020
2020-044

SEC v. Gregory T. Dean and Donald J. Fowler
Case Number: 17-cv-00139 (United States District Court for the Southern District of New York) 
Date Filed: January 9, 2017
Date of Qualifying Judgment/Order: February 28, 2020

04/30/2020 07/29/2020
2020-043

SEC v. ICOBox and Nikolay Evdokimov
Case Number: 19-cv-08066 (United States District Court for the Central District of California)
Date Filed: September 18, 2019
Date of Qualifying Judgment/Order: March 5, 2020

04/30/2020 07/29/2020
2020-042

SEC v. Neil Burkholz, Frank Bianco, Palm Financial Management, LLC, and Shore Management Systems, LLC
Case Number: 19-cv-24713 (United States District Court for the Southern District of Florida) 
Date Filed: November 14, 2019
Date of Qualifying Judgment/Order: February 25, 2020

04/30/2020 07/29/2020
2020-041

In the Matter of Cardinal Health, Inc.
Administrative Proceeding File No: 3-19718
Date Filed: February 28, 2020
Date of Qualifying Judgment/Order: February 28, 2020

04/30/2020 07/29/2020
2020-040

In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-19714
Date Filed: February 27, 2020
Date of Qualifying Judgment/Order: February 27, 2020

04/30/2020 07/29/2020
2020-039

SEC v. Francis J. van Steenberge and Nicolas Zanen
Case Number: 15-cv-01469 (United States District Court for the District of Connecticut) 
Date Filed: October 9, 2015
Date of Qualifying Judgment/Order: March 4, 2020 

04/30/2020 07/29/2020
2020-038

SEC v. Alexander Charles White and Paul Douglas Vandivier
Case Number.: 18-cv-61870 (United States District Court for the Southern District of Florida)
Date Filed: August 13, 2018 
Date of Qualifying Judgment/Order: February 25, 2020

04/30/2020 07/29/2020
2020-037

SEC v. Gregg D. Caplitz and Insight Onsite Strategic Management, LLC
Case Number: 13-cv-10612 (United States District Court for the District of Massachusetts) 
Date Filed: March 15, 2013
Date of Qualifying Judgment/Order: February 14, 2020

04/30/2020 07/29/2020
2020-036

In the Matter of Wells Fargo & Company
Administrative Proceeding File No.: 3-19704
Date Filed: February 21, 2020
Date of Qualifying Judgment/Order: February 21, 2020

03/31/2020 06/29/2020
2020-035

SEC v. James W. Self, Jr., and Stephen R. Goldfield 
Case Number: 10-cv-04430 (Eastern District of Pennsylvania)
Date Filed: September 1, 2010
Date of Qualifying Judgment/Order: October 22, 2010

03/31/2020 06/29/2020
2020-034

SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong
Case Number: 19-cv-05718 (United States District Court for the Southern District of New York
Date Filed: June 19, 2019
Date of Qualifying Judgment/Order: February 11, 2020

03/31/2020 06/29/2020
2020-033

SEC v. Nicholas Lattanzio, Black Diamond Investments, LP, Black Diamond GP, LLC, Black Diamond Investments LLC, and Black Diamond Capital Appreciation Fund, L.P.
Case Number: 15-cv-03883 (United States District Court for the District of New Jersey) 
Date Filed: June 10, 2015
Date of Qualifying Judgment/Order: February 3, 2020

03/31/2020 06/29/2020
2020-032

SEC v. Christopher Freeman Brogdon
Case Number: 15-cv-08173 (United States District Court District of New Jersey) 
Date Filed: November 20, 2015
Date of Qualifying Judgment/Order: January 19, 2020

03/31/2020 06/29/2020
2020-031

SEC v. Robert A. Ferrante and Marilyn R. Thomassen
Case Number: 18-cv-01758 (United States District Court for the Central District of California) 
Date Filed: September 27, 2018 
Date of Qualifying Judgment/Order: February 13, 2020

03/31/2020 06/29/2020
2020-030

In the Matter of Diageo, plc.
Administrative Proceeding File No.: 3-19701
Date Filed: February 19, 2020
Date of Qualifying Judgment/Order: February 19, 2020

03/31/2020 06/29/2020
2020-029

In the Matter of Catalyst Capital Advisors, LLC and Jerry Szilagyi
Administrative Proceeding File No.: 3-19674 
Date Filed: January 27, 2020
Date of Qualifying Judgment/Order: January 27, 2020

03/31/2020 06/29/2020
2020-028

SEC v. John Abio, also known as Tre Brandenberg, and Abio Financial Group, Inc. 
Case Number.: 17-cv-00411 (United States District Court for the Northern District of Texas)
Date Filed: February 13, 2017
Date of Qualifying Judgment/Order: January 29, 2020 

03/31/2020 06/29/2020
2020-027

SEC v. Tennstar Energy, Inc. f/k/a Black Gold Resources, Inc. David R. Greenlee, David A. Stewart, Jr., and Richard “Ric” P. Underwood
Case Number: 17-cv-00151 (United States District Court for the Southern District of Georgia)
Date Filed: August 11, 2017
Date of Qualifying Judgment/Order: January 15, 2020

03/31/2020 06/29/2020
2020-026

SEC v. Landon M. Smith
Case Number: 19-cv-00519 (United States District Court for the District of Utah) 
Date Filed: June 23, 2019
Date of Qualifying Judgment/Order: January 16, 2020

02/28/2020 05/28/2020
2020-025

SEC v. Scott Charles Messier and Jay Zola Scoratow
Case Number: 20-cv-00105 (United States District Court for the Southern District of California) 
Date Filed: January 15, 2020
Date of Qualifying Judgment/Order: January 22, 2020

02/28/2020 05/28/2020
2020-024

SEC v. James B. Catledge, Derek F. C. Elliot, EMI Resorts (S.V.G) INC., EMI Sun Village, Inc., Sun Village Juan Dolio, Inc.
Case Number: 12-cv-00887 (United States District Court for the District of Nevada) 
Date Filed: May 24, 2012
Date of Qualifying Judgment/Order: December 16, 2019

02/28/2020 05/28/2020
2020-023

SEC v. Michael B. Rothenberg, and Rothenberg Ventures LLC (f/k/a Frontier Technology Venture Capital LLC and Rothenberg Ventures Management Company, LLC)
Case Number: 18-cv-05080 (United States District Court for the Northern District of California) 
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: December 20, 2019

02/28/2020 05/28/2020
2020-022

In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-19639
Date Filed: January 9, 2020
Date of Qualifying Judgment/Order: January 9, 2020

02/28/2020 05/28/2020
2020-021

SEC v. Carlos Ghosn and Gregory L. Kelly
Case Number: 19-cv-08798 (United States District Court for the Southern District of New York) 
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: December 26, 2019

02/28/2020 05/28/2020
2020-020

SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC
Case Number: 18-cv-00529 (United States District Court for the Middle District of Tennessee) 
Date Filed: March 5, 2018
Date of Qualifying Judgment/Order: December 5, 2019

02/28/2020 05/28/2020
2020-019

SEC v. Jay Costa Kelter
Case Number: 17-cv-01441 (United States District Court for the District of Colorado) 
Date Filed: November 9, 2017
Date of Qualifying Judgment/Order: January 6, 2020

02/28/2020 05/28/2020
2020-018

SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano
Case Number: 17-cv-01600 (United States District Court for the Western District of Washington) 
Date Filed: April 10, 2017
Date of Qualifying Judgment/Order: January 8, 2020

02/28/2020 05/28/2020
2020-017

SEC v. Guardian Oil & Gas, Inc., Guardian Oil & Natural Gas, Inc., and Rick D. Mullins
Case Number: 14-cv-01533 (United States District Court for the Northern District of Texas) 
Date Filed: April 25, 2014
Date of Qualifying Judgment/Order: December 20, 2019

02/28/2020 05/28/2020
2020-016

SEC v. Ariel Darvasi and Amir Waldman
Case Number: 17-cv-02088 (United States District Court for the Southern District of New York) 
Date Filed: March 23, 2017
Date of Qualifying Judgment/Order: December 17, 2019

02/28/2020 05/28/2020
2020-015

SEC v. Robert G. Pearson and Illinois Stock Transfer Company (d/b/a IST Shareholder Services)
Case Number: 14-cv-03785 (United States District Court for the Northern District of Illinois) 
Date Filed: May 22, 2014
Date of Qualifying Judgment/Order: January 8, 2020

02/28/2020 05/28/2020
2020-014

SEC v. Loren W. Holzhueter, and ISC, Inc. (d/b/a Insurance Service Center)
Case Number: 15-cv-00045 (United States District Court for the Western District of Wisconsin)
Date Filed: January 21, 2015
Date of Qualifying Judgment/Order: December 21, 2016

01/31/2020 04/30/2020
2020-013

SEC v. Richard Johnathan Eden and Christopher Michael Neumann 
Case Number: 19-cv-09358 (United States District Court for the Central District of California)
Date Filed: October 31, 2019
Date of Qualifying Judgment/Order: December 13, 2019

01/31/2020 04/30/2020
2020-012

SEC v. Richard T. Cunniffe
Case Number: 18-cv-06667 (United States District Court for the Southern District of New York)
Date Filed: July 25, 2018
Date of Qualifying Judgment/Order: August 15, 2018

01/31/2020 04/30/2020
2020-011

In the Matter of MetLife, Inc.
Administrative Proceeding File No.: 3-19624
Date Filed: December 18, 2019
Date of Qualifying Judgment/Order: December 18, 2019

01/31/2020 04/30/2020
2020-010

In the Matter of Jefferies LLC
Administrative Proceeding File No.: 3-19614
Date Filed: December 10, 2019
Date of Qualifying Judgment/Order: December 10, 2019

01/31/2020 04/30/2020
2020-009

SEC v. Telefonaktiebolaget LM Ericsson
Case Number: 19-cv-11214 (United States District Court for the Southern District of New York)
Date Filed: December 6, 2019
Date of Qualifying Judgment/Order: December 20, 2019

01/31/2020 04/30/2020
2020-008

SEC v. Iconix Brand Group, Inc.
Case Number: 19-cv-11150 (United States District Court for the Southern District of New York)
Date Filed: December 5, 2019
Date of Qualifying Judgment/Order: December 10, 2019

01/31/2020 04/30/2020
2020-007

SEC v. John Special
Case Number: 19-cv-01152 (United States District Court for the Western District of Oklahoma)
Date Filed: December 12, 2019
Date of Qualifying Judgment/Order: December 13, 2019

01/31/2020 04/30/2020
2020-006

SEC v. Michael E. Cone and Greenview Investment Partners, L.P.
Case Number: 18-cv-02349 (United States District Court for the Northern District of Texas) 
Date Filed: September 5, 2018
Date of Qualifying Judgment/Order: January 2, 2020

01/31/2020 04/30/2020
2020-005

SEC v. Natural Diamonds Investment Co., Eagle Financial Diamond Group Inc a/k/a Diamante Atelier, Argyle Coin, LLC, Jose Angel Aman, Harold Seigel, and Jonathan H. Seigel
Case Number: 19-cv-80633 (United States District Court for the Southern District of Florida)
Date Filed: May 13, 2019
Date of Qualifying Judgment/Order: December 11, 2019

01/31/2020 04/30/2020
2020-004

In the Matter of Kornitzer Capital Management, Inc. and John C. Kornitzer
Administrative Proceeding File No.: 3-19615
Date Filed: December 10, 2019
Date of Qualifying Judgment/Order: December 10, 2019

01/31/2020 04/30/2020
2020-003

SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken
Case Number: 19-cv-10927 (United States District Court for the Southern District of New York)
Date Filed: November 26, 2019
Date of Qualifying Judgment/Order: December 4, 2019

01/31/2020 04/30/2020
2020-002

SEC v. Micheal A. Skerry
Case Number: 17-cv-00415 (United States District Court for the Northern District of Indiana)
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: December 26, 2019
 

01/31/2020 04/30/2020
2020-001

SEC v. Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley
Case Number: 16-cv-09829 (United States District Court for the Southern District of New York)  
Date Filed: December 21, 2016
Date of Qualifying Judgment/Order: December 23, 2019

01/31/2020 04/30/2020
2019-211

SEC v. Reginald (“Reggie”) Middleton, Veritaseum, Inc., and Veritaseum, LLC
Case Number: 19-cv-04625 (United States District Court for the Eastern District of New York)
Date Filed: August 12, 2019
Date of Qualifying Judgment/Order: November 1, 2019

12/31/2019 03/30/2020
2019-210

In the Matter of Morgan Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-19599
Date Filed: November 7, 2019
Date of Qualifying Judgment/Order: November 7, 2019

12/31/2019 03/30/2020
2019-209

SEC v. Toon Goggles, Inc., and Ira Warkol
Case Number: 19-cv-07687 (United States District Court for the Central District of California) 
Date Filed: September 5, 2019
Date of Qualifying Judgment/Order: October 29, 2019

12/31/2019 03/30/2020
2019-208

SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez 
Case Number: 19-cv-04348 (United States District Court for the Central District of California)
Date Filed: May 20, 2019
Date of Qualifying Judgment/Order: November 4, 2019

12/31/2019 03/30/2020
2019-207

SEC v. David Sechovicz
Case Number: 19-cv-12027 (United States District Court for the District of Massachusetts)
Date Filed: September 27, 2019
Date of Qualifying Judgment/Order: November 4, 2019

12/31/2019 03/30/2020
2019-206

In the Matter of Bethany Liou and Golden California Regional Center, LLC
Administrative Proceeding File No.: 3-19597
Date Filed: November 4, 2019
Date of Qualifying Judgment/Order: November 4, 2019

12/31/2019 03/30/2020
2019-205

SEC v. Palm House Hotel LLLP,  South Atlantic Regional Center, LLC, Joseph J. Walsh, Sr., and Robert V. Matthews 
Case Number: 18-cv-81038 (United States District Court for the Southern District of Florida) 
Date Filed: August 3, 2018
Date of Qualifying Judgment/Order: November 20, 2019

12/31/2019 03/30/2020
2019-204

SEC v. Zhunrize, Inc., and Jeff Pan
Case Number: 14-cv-03030 (United States District Court for the Northern District of Georgia)
Date Filed: September 22, 2014
Date of Qualifying Judgment/Order: November 14, 2019

12/31/2019 03/30/2020
2019-203

SEC v. The Nutmeg Group, LLC, Randall Goulding, and David Goulding 
Case Number: 09-cv-01775 (United States District Court for the Northern District of Illinois) 
Date Filed: March 23, 2009
Date of Qualifying Judgment/Order: November 12, 2019

12/31/2019 03/30/2020
2019-202

In the Matter of Mid Atlantic Financial Management, Inc.
Administrative Proceeding File No.: 3-19554
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

11/29/2019 02/27/2020
2019-201

In the Matter of Founders Financial Securities, LLC
Administrative Proceeding File No.: 3-19570
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

11/29/2019 02/27/2020
2019-200

In the Matter of IC Advisory Services, Inc.
Administrative Proceeding File No.: 3-19549
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

11/29/2019 02/27/2020
2019-199

In the Matter of Block.one
Administrative Proceeding File No.: 3-19568
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

11/29/2019 02/27/2020
2019-198

SEC v. PlexCorps (a/k/a and d/b/a PlexCoin and Sidepay.ca), Dominic Lacroix and Sabrina Paradis-Royer
Case Number: 17-cv-07007 (United States District Court for the Eastern District of New York)
Date Filed: December 1, 2017
Date of Qualifying Judgment / Order: October 2, 2019

11/29/2019 02/27/2020
2019-197

In the Matter of Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC)
Administrative Proceeding File No.: 3-19542
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

11/29/2019 02/27/2020
2019-196

SEC v. Sandy J. Masselli, J.R., Carlyle Gaming & Entertainment Ltd., Intercapital Partners Ltd. (a/k/a Intercapital Partners Ltd. Liability Companyand Intercapital Partners, LLC), Intercapital Management Ltd., and Appnostiq Interactive Ltd.
Case Number: 18-cv-13269 (United States District Court for the District of New Jersey)
Date Filed: August 28, 2018
Date of Qualifying Judgment / Order: October 8, 2019

11/29/2019 02/27/2020
2019-195

In the Matter of GFI Securities LLC
Administrative Proceeding File No.: 3-19546
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

11/29/2019 02/27/2020
2019-194

SEC v. American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Howard J. Allen III and Kerri L. Wasserman
Case Number: 16-cv-00828 (United States District Court for the Southern District of New York)
Date Filed: February 3, 2016 
Date of Qualifying Judgment / Order: October 1, 2019

11/29/2019 02/27/2020
2019-193

In the Matter of Herbalife Nutrition, Ltd.
Administrative Proceeding File No.: 3-19536
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

11/29/2019 02/27/2020
2019-192

In the Matter of Independent Financial Group LLC
Administrative Proceeding File No.: 3-19550
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

11/29/2019 02/27/2020
2019-191

In the Matter of Wedbush Securities
Administrative Proceeding File No.: 3-19553
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

11/29/2019 02/27/2020
2019-190

In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty
Administrative Proceeding File No.: 3-19543
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

11/29/2019 02/27/2020
2019-189

In the Matter of Essex Financial Services, Inc.
Administrative Proceeding File No.: 3-19559
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

11/29/2019 02/27/2020
2019-188

In the Matter of Bill Few Associates, Inc.
Administrative Proceeding File No.: 3-19555
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

11/29/2019 02/27/2020
2019-187

SEC v. Mylan N.V.
Case Number: 19-cv-02904 (United States District Court for the District of Columbia)
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: October 1, 2019

11/29/2019 02/27/2020
2019-186

In the Matter of FCA US LLC and Fiat Chrysler Automobiles N.V.
Administrative Proceeding File No.: 3-19541
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

11/29/2019 02/27/2020
2019-185

In the Matter of Serge Matta
Administrative Proceeding File No.: 3-19500
Date Filed: September 24, 2019
Date of Qualifying Judgment / Order: September 24, 2019

11/29/2019 02/27/2020
2019-184

In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp.
Administrative Proceeding File No.: 3-19545
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

11/29/2019 02/27/2020
2019-183

SEC v. Lek Securities Corporation, Samuel Lek, Vali Managemtn Partners dba Avalon FA Ltd, Nathan Fayyer, and Sergey Pustelnik a/k/a Serge Pustelnik
Case Number: 17-cv-01789 (United States District Court for the Southern District of New York)
Date Filed: March 10, 2017
Date of Qualifying Judgment / Order: October 1, 2019

11/29/2019 02/27/2020
2019-182

SEC v. Victory Ho
Case Number: 17-cv-00895 (United States District Court for the Western District of Louisiana) 
Date Filed: July 11, 2017
Date of Qualifying Judgment / Order: October 15, 2019

11/29/2019 02/27/2020
2019-181

In the Matter of Barclays PLC
Administrative Proceeding File No.: 3-19537
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

11/29/2019 02/27/2020
2019-180

In the Matter of Leonardo Cornide and Jorge Falcon
Administrative Proceeding File No.: 3-19511
Date Filed: September 25, 2019
Date of Qualifying Judgment / Order: September 25, 2019

11/29/2019 02/27/2020
2019-179

In the Matter of Tyler T. Tysdal, Grant M. Carter, Impact Opportunities Fund Management, LLC, TitleCard Capital Group, LLC, and TitleCard Capital Management, LLC
Administrative Proceeding File No.: 3-19463
Date Filed: September 17, 2019
Date of Qualifying Judgment / Order: September 17, 2019

11/29/2019 02/27/2020
2019-178

SEC v. Alpine Securities Corporation
Case Number: 17-cv-04179 (United States District Court for the Southern District of New York) 
Date Filed: June 5, 2017
Date of Qualifying Judgment / Order: October 9, 2019

11/29/2019 02/27/2020
2019-177

SEC v. Taj Jerry Mahabub, GenAudio, Inc., and Astound Holdings, Inc.
Case Number: 15-cv-02118 (United States District Court for the District of Colorado) 
Date Filed: September 25, 2015
Date of Qualifying Judgment / Order: September 16, 2019

11/29/2019 02/27/2020
2019-176

In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC)
Administrative Proceeding File No.: 3-19563
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

11/29/2019 02/27/2020
2019-175

In the Matter of Gary F. Pryor and The Pinnacle Companies, LLC
Administrative Proceeding File No.: 3-19540
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

11/29/2019 02/27/2020
2019-174

SEC v. Equitybuild, Inc., Equitybuild Finance, LLC, Jerome H. Cohen, and Shaun D. Cohen
Case Number: 18-cv-05587 (United States District Court for the Northern District of Illinois) 
Date Filed: August 15, 2018 
Date of Qualifying Judgment / Order: September 24, 2019

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2019-173

SEC v. Scott Stacy Phelps and James Michael Harper
Case Number: 18-cv-00122 (United States District Court for the Western District of Kentucky)
Date Filed: August 30, 2018
Date of Qualifying Judgment / Order: October 4, 2019

11/29/2019 02/27/2020
2019-172

SEC v. Earl D. Miller, 5 Star Commercial, LLC, and 5 Star Capital Fund, LLC
Case Number: 15-cv-00519 (United States District Court for the Northern District of Indiana) 
Date Filed: November 5, 2015
Date of Qualifying Judgment / Order: September 12, 2019

11/29/2019 02/27/2020

Last Reviewed or Updated: March 17, 2025