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
2016-088	In the Matter of American Life, Inc. and Henry Liebman Administrative Proceeding File No.: 3-17285 Date Filed: June 13, 2016 Qualifying Judgment/Order: June 13, 2016	07/29/2016	10/27/2016
2016-087	In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Administrative Proceeding File No.: 3-17314 Date Filed: June 23, 2016 Qualifying Judgment/Order: June 23, 2016	07/29/2016	10/27/2016
2016-086	In the Matter of Bank of New York Mellon Administrative Proceeding File No.: 3-17286 Date Filed: June 13, 2016 Qualifying Judgment/Order: June 13, 2016	07/29/2016	10/27/2016
2016-085	In the Matter of Analogic Corporation and Lars Frost Administrative Proceeding File No.: 3-17305 Date Filed: June 21, 2016 Qualifying Judgment/Order: June 21, 2016	07/29/2016	10/27/2016
2016-084	SEC v. John Scott Clark Case number: 16-cv-00040 (United States District Court for the District of Utah) Case filed: March 31, 2016 Qualifying Judgment/Order: May 26, 2016	06/30/2016	09/28/2016
2016-083	In the Matter of Federated Global Investment Management Corp. Administrative Proceeding File No.: 3-17264 Case filed: May 27, 2016 Qualifying Judgment/Order: May 27, 2016	06/30/2016	09/28/2016
2016-082	In the Matter of Edgar R. Page and PageOne Financial, Inc. Administrative Proceeding File No.: 3-16037 Initial Decision: June 25, 2015 Qualifying Judgment/Order: May 27, 2016	06/30/2016	09/28/2016
2016-081	In the Matter of Blackstreet Capital Management, LLC and Murry N. Gunty Administrative Proceeding File No.: 3-17267 Case filed: June 1, 2016 Qualifying Judgment/Order: June 1, 2016	06/30/2016	09/28/2016
2016-080	In the Matter of James Caird Asset Management LLP and Timothy G. Leslie Administrative Proceeding File No.: 3-17276 Case filed: June 2, 2016 Qualifying Judgment/Order: June 2, 2016	06/30/2016	09/28/2016
2016-079	SEC v. China Infrastructure Investment Corporation, Li Xipeng, and Wang Feng Case number: 15-cv-00307 (United States District Court for the District of Columbia) Case filed: March 3, 2015 Qualifying Judgment/Order: May 26, 2016	06/30/2016	09/28/2016
2016-078	SEC v. Charles Couch and Couch Oil & Gas, Inc. Case number: 14-cv-01747 (United States District Court for the Northern District of Texas) Case filed: May 12, 2014 Qualifying Judgment/Order: May 9, 2016	06/30/2016	09/28/2016
2016-077	SEC v. Sanctum Publishing and Marketing, Limited, Sanctum Media Group, Inc., and Salvatore Renaldi Case number: 15-cv-81342 (United States District Court for the Southern District of Florida) Case filed: September 29, 2015 Qualifying Judgment/Order: May 23, 2016	06/30/2016	09/28/2016
2016-076	In the Matter of Ireeco, LLC, and Ireeco Limited Administrative Proceeding File No.: 3-16647 Initial Decision: June 23, 2015 Qualifying Judgment/Order: May 12, 2016	06/30/2016	09/28/2016
2016-075	SEC v. Roger S. Bliss, an individual and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, a Utah Limited Liability Company, d/b/a Roger Bliss and Associates Club LLC, d/b/a Bliss Club LLC Case number: 15-cv-00098 (United States District Court for the District of Utah) Case filed: February 11, 2015 Qualifying Judgment/Order: April 19, 2016	05/31/2016	08/29/2016
2016-074	SEC v. American Pension Services, Inc., and Curtis L. De Young Case number: 14-cv-00309 (United States District Court for the District of Utah) Case filed: April 24, 2014 Qualifying Judgment/Order: April 21, 2016	05/31/2016	08/29/2016
2016-073	SEC v. Tomas Alberto Clarke Bethancourt, Jose Alejandro Hurtado, Haydee Leticia Pabon, Iuri Rodolfo Bethancourt, Ernesto Lujan, Benito Chinea and Joseph Flores Demeneses Jr. Case number: 13-cv-03074 (United States District Court for the Southern District of New York) Case filed: May 9, 2013 Qualifying Judgment/Order: April 7, 2016	05/31/2016	08/29/2016
2016-072	SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek Case number: 13-cv-03837 (United States District Court for the Southern District of New York) Case filed: June 5, 2013 Qualifying Judgment/Order: April 12, 2016	05/31/2016	08/29/2016
2016-071	In the Matter of Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA Administrative Proceeding File No.: 3-17212 Case filed: April 19, 2016 Qualifying Judgment/Order: April 19, 2016	05/31/2016	08/29/2016
2016-070	In the Matter of L & L Energy, Inc. Administrative Proceeding File No.: 3-15815 Case filed: March 27, 2014 Initial Decision: February 17, 2016 Qualifying Judgment/Order: April 13, 2016	05/31/2016	08/29/2016
2016-069	SEC v. Frederic Elm f/k/a Frederic Elmaleh, Elm Tree Investment Advisors LLC, Elm Tree Investment Fund LP, Elm Tree 'e'Conomy Fund LP, and Elm Tree Motion Opportunity LP Case number: 15-cv-60082 (United States District Court for the Southern District of Florida) Case filed: January 15, 2015 Qualifying Judgment/Order: April 12, 2016	05/31/2016	08/29/2016
2016-068	In the Matter of Cabela's Incorporated and Ralph W. Castner, CPA Administrative Proceeding File No.: 3-17227 Case filed: April 26, 2016 Qualifying Judgment/Order: April 26, 2016	05/31/2016	08/29/2016
2016-067	SEC v. Steven R. Maruksen, Jay C. Cope, Archer Advisors LLC Case number: 14-cv-03395 (United States District Court for the District of Minnesota) Case filed: September 8, 2014 Qualifying Judgment/Order: April 27, 2016	05/31/2016	08/29/2016
2016-066	SEC v. Inter Reef Ltd dba Profitable Sunrise Case number: 13-cv-01104 (United States District Court for the Northern District of Georgia) Case filed: April 4, 2013 Qualifying Judgment/Order: April 15, 2016	05/31/2016	08/29/2016
2016-065	SEC v. Marrone Bio Innovations, Inc. Case Number: 16-cv-00321 (United States District Court for the Eastern District of California) Date Filed: February 17, 2016 Date of Qualifying Order/Judgment: March 8, 2016	04/29/2016	07/28/2016
2016-064	In the Matter of Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert Esq.; and Helena C. Sen, CPA Administrative Proceeding File No.: 3-17186 Date Filed: March 30, 2016 Date of Qualifying Order/Judgment: March 30, 2016	04/29/2016	07/28/2016
2016-063	In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation Administrative Proceeding File No.: 3-17169 Date Filed: March 14, 2016 Date of Qualifying Order/Judgment: March 14, 2016	04/29/2016	07/28/2016
2016-062	SEC v. Banc de Binary Ltd, Oren Shabat Laurent (f/k/a Oren Shabat), Et Binary Options Ltd., Bo Systes Ltd., Seychelles and BDB Services Ltd. Seychelles Case Number: 13-cv-00993 (United States District Court for the District of Nevada) Date Filed: June 5, 2013 Date of Qualifying Order/Judgment: February 25, 2016	04/29/2016	07/28/2016
2016-061	SEC v. Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello Case Number: 09-cv-00818 (United States District Court for the Central District of California) Date Filed: July 16, 2009 Date of Qualifying Order/Judgment: February 23, 2016	04/29/2016	07/28/2016
2016-060	SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane Properties Inc. Case Number: 16-cv-01636 (United States District Court for the District of New Jersey) Date Filed: March 24, 2016 Date of Qualifying Order/Judgment: March 28, 2016	04/29/2016	07/28/2016
2016-059	In the Matter of Novartis AG Administrative Proceeding File No.: 3-17177 Date Filed: March 23, 2016 Date of Qualifying Order/Judgment: March 23, 2016	04/29/2016	07/28/2016
2016-058	In the Matter of Las Vegas Sands Corp. Administrative Proceeding File No.: 3-17204 Date Filed: April 7, 2016 Date of Qualifying Order/Judgment: April 7, 2016	04/29/2016	07/28/2016
2016-057	SEC v. Gregory G. Jones Case Number: 15-cv-00438 (United States District Court for the Northern District of Texas) Date Filed: June 10, 2015 Date of Qualifying Order/Judgment: March 21, 2016	04/29/2016	07/28/2016
2016-056	SEC v. eCareer Holding, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks Case Number: 15-cv-80446 (United States District Court for the Southern District of Florida) Date Filed: April 7, 2015 Date of Qualifying Order/Judgment: March 2, 2016	04/29/2016	07/28/2016
2016-055	SEC v. Neal V. Goyal, Caldera Advisors, LLC, and Blue Horizon Asset Management, LLC Case Number: 14-cv-03900 (United States District Court for the Northern District of Illinois) Date Filed: May 28, 2014 Date of Qualifying Order/Judgment: March 9, 2016	04/29/2016	07/28/2016
2016-054	In the Matter of Navistar International Corporation Administrative Proceeding File No.: 3-17190 Date Filed: March 31, 2016 Date of Qualifying Order/Judgment: March 31, 2016	04/29/2016	07/28/2016
2016-053	SEC v. Aveo Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer Case Number: 16-cv-10607 (United States District Court for the District of Massachusetts) Date Filed: March 29, 2016 Date of Qualifying Order/Judgment: April 1, 2016	04/29/2016	07/28/2016
2016-052	In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable Administrative Proceeding File No: 3-17171 Date Filed: March 15, 2016 Date of Qualifying Order/Judgment: March 15, 2016	04/29/2016	07/28/2016
2016-051	SEC v. Bruce D. Strebinger, Brent Howard Chapman, and Muskateer Investments, Inc. Case Number: 14-cv-03533 (United States District Court for the Northern District of Georgia) Date Filed: November 3, 2014 Date of Qualifying Order/Judgment: March 15, 2016	04/29/2016	07/28/2016
2016-050	In the Matter of Peter Kuperman and QED Benchmark Management, L.L.C. Administrative Proceeding File No.: 3-17075 Case filed: January 28, 2016 Qualifying Judgment/Order: January 28, 2016	03/31/2016	06/29/2016
2016-049	SEC v. eAdGear, Inc., eAdGear Holdings Limited, Charles S. Wang, Francis Y. Yuen, and Qian Cathy Zhang Case number: 14-cv-04294 (United States District Court for the Northern District of California) Case filed: September 24, 2014 Qualifying Judgment/Order: February 1, 2016	03/31/2016	06/29/2016
2016-048	SEC v. Scott Valente and The Eliv Group, LLC Case number: 14-cv-03974 (United States District Court for the Southern District of New York) Case filed: June 3, 2014 Qualifying Judgment/Order: February 17, 2016	03/31/2016	06/29/2016
2016-047	SEC v. Moazzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC Case number: 15-cv-01025 (United States District Court for the Southern District of New York) Case filed: February 13, 2015 Qualifying Judgment/Order: February 9, 2016	03/31/2016	06/29/2016
2016-046	In the Matter of Qualcomm Incorporated Administrative Proceeding File No.: 3-17145 Case filed: March 1, 2016 Qualifying Judgment/Order: March 1, 2016	03/31/2016	06/29/2016
2016-045	SEC v. Newpoint Financial Services, Inc.; John Farahi; Gissou Rastegar Farahi; and Elaheh Amouei Case number: 10-cv-00124 (United States District Court for the Central District of California) Case filed: January 8, 2010 Qualifying Judgment/Order: February 29, 2016	03/31/2016	06/29/2016
2016-044	SEC v. VimpelCom Ltd Case number: 16-cv-01266 (United States District Court for the Southern District of New York) Case filed: February 18, 2016 Qualifying Judgment/Order: February 22, 2016	03/31/2016	06/29/2016
2016-043	In the Matter of George N. Krinos, Krinos Holdings, Inc., and Fordgate Acquisition Corp. Administrative Proceeding File No.: 3-16202 Case filed: October 16, 2014 Initial Decision: December 21, 2015 Qualifying Judgment/Order: February 3, 2016	03/31/2016	06/29/2016
2016-042	SEC v. Trevor G. Cook, Patrick J. Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLC Case number: 09-cv-03333 (United States District Court for the District of Minnesota) Case filed: November 23, 2009 Qualifying Judgment/Order: January 12, 2016	03/31/2016	06/29/2016
2016-041	In the Matter of PTC Inc. Administrative Proceeding File No.: 3-17118 Case filed: February 16, 2016 Qualifying Judgment/Order: February 16, 2016	03/31/2016	06/29/2016
2016-040	In the Matter of IBC Funds, LLC Administrative Proceeding File No.: 3-17125 Case filed: February 19, 2016 Qualifying Judgment/Order: February 19, 2016	03/31/2016	06/29/2016
2016-039	SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012	02/29/2016	05/29/2016
2016-038	SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013	02/29/2016	05/29/2016
2016-037	SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016	02/29/2016	05/29/2016
2016-036	SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016	02/29/2016	05/29/2016
2016-035	SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016	02/29/2016	05/29/2016
2016-034	In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016	02/29/2016	05/29/2016
2016-033	In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016	02/29/2016	05/29/2016
2016-032	In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016	02/29/2016	05/29/2016
2016-031	SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016	02/29/2016	05/29/2016
2016-030	SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016	02/29/2016	05/29/2016
2016-029	In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016	02/29/2016	05/29/2016
2016-028	SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016	02/29/2016	05/29/2016
2016-027	In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016	02/29/2016	05/29/2016
2016-026	SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016	02/29/2016	05/29/2016
2016-025	SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016	02/29/2016	05/29/2016
2016-024	In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016	02/29/2016	05/29/2016
2016-023	In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016	02/29/2016	05/29/2016
2016-022	In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016	02/29/2016	05/29/2016
2016-021	In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016	02/29/2016	05/29/2016
2016-020	SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016	02/29/2016	05/29/2016
2016-019	In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016	02/29/2016	05/29/2016
2016-018	In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016	02/29/2016	05/29/2016
2016-017	SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015	02/29/2016	05/29/2016
2016-016	In the Matter of SuttonBrook Capital Management LP Administrative Proceeding File No.: 3-16114 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014	01/29/2016	04/28/2016
2016-015	SEC v. M. "Shi" Shailendra Case number: 14-cv-02465 (United States District Court for the Northern District of Georgia) Case filed: July 31, 2014 Qualifying Judgment/Order: September 23, 2014	01/29/2016	04/28/2016
2016-014	SEC v. Jon C. Ginder, Northamerican Energy Group, Inc., and Northamerican Energy Group, Corp. Case number: 10-cv-02867 (United States District Court for the Southern District of Texas) Case filed: August 11, 2010 Qualifying Judgment/Order: November 13, 2012	01/29/2016	04/28/2016
2016-013	SEC v. American Settlement Associates, LLC, Charles Jordan, and Kelly Gipson Case number: 10-cv-00912 (United States District Court for the Southern District of Texas) Case filed: March 19, 2010 Qualifying Judgment/Order: March 11, 2013	01/29/2016	04/28/2016
2016-012	SEC v. King Chuen Tang a/k/a Chen Tang, Ronald Yee, Zisen Yu, Joseph Seto, Ming Siu, King S. Tang a/k/a James K. Tang, and Ying Kit Yu a/k/a Eddie Yu Case number: 09-cv-05146 (United States District Court for the Northern District of California) Case filed: October 30, 2009 Qualifying Judgment/Order: March 13, 2013	01/29/2016	04/28/2016
2016-011	In the Matter of William M. Stephens Administrative Proceeding File No.: 3-15233 Case filed: March 8, 2013 Qualifying Judgment/Order: March 8, 2013	01/29/2016	04/28/2016
2016-010	SEC v. Juan Cruz Bilbao Hormaeche Case number: 14-cv-10036 (United States District Court for the Southern District of New York) Case filed: December 22, 2014 Qualifying Judgment/Order: December 17, 2015	01/29/2016	04/28/2016
2016-009	SEC v. Alternate Energy Holdings, Inc., Donald L. Gillispie, and Jennifer Ransom Case number: 10-cv-00621 (United States District Court for the District of Idaho) Case filed: December 16, 2010 Qualifying Judgment/Order: May 21, 2015	01/29/2016	04/28/2016
2016-008	In the Matter of Owen Li and Canarsie Capital, LLC Administrative Proceeding File No.: 3-17005 Case filed: December 16, 2015 Qualifying Judgment/Order: December 16, 2015	01/29/2016	04/28/2016
2016-007	In the Matter of SG Americas Securities LLC and Yimin Ge Administrative Proceeding File No.: 3-17017 Case filed: December 22, 2015 Qualifying Judgment/Order: December 22, 2015	01/29/2016	04/28/2016
2016-006	In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang Administrative Proceeding File No.: 3-17016 Case filed: December 22, 2015 Qualifying Judgment/Order: December 22, 2015	01/29/2016	04/28/2016
2016-005	In the Matter of KCG Americas LLC Administrative Proceeding File No.: 3-17012 Case filed: December 21, 2015 Qualifying Judgment/Order: December 21, 2015	01/29/2016	04/28/2016
2016-004	SEC v. New Stream Capital, LLC Case number: 13-cv-00264 (United States District Court for the District of Connecticut) Case filed: February 26, 2013 Qualifying Judgment/Order: December 21, 2015	01/29/2016	04/28/2016
2016-003	In the Matter of J.P. Morgan Securities LLC Administrative Proceeding File No.: 3-17036 Case filed: January 6, 2016 Qualifying Judgment/Order: January 6, 2016	01/29/2016	04/28/2016
2016-002	SEC v. John Clifford Williams Case number: 15-cv-00819 (United States District Court for the Western District of Missouri) Case filed: Month DD, YYYY Qualifying Judgment/Order: October 20, 2015	01/29/2016	04/28/2016
2016-001	SEC v. Douglas E. Cowgill and Professional Investment Management, Inc. Case number: 14-cv-00396 (United States District Court for the Southern District of Ohio) Case filed: April 29, 2014 Qualifying Judgment/Order: December 22, 2015	01/29/2016	04/28/2016
2015-148	SEC v. Enviratrands, Inc. and Russell F. Haraburda Case Number: 15-cv-01903 (United States District Court for the Middle District of Florida) Date Filed: August 17, 2015 Date of Qualifying Judgment/Order: August 20, 2015	12/23/2015	03/22/2016
2015-147	In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC Administrative Proceeding File No.: 3-17008 Date Filed: December 18, 2015 Date of Qualifying Judgment/Order: December 18, 2015	12/23/2015	03/22/2016
2015-146	SEC v. National Note of Utah, LC, a Utah Limited Liability Company and Wayne LaMar Palmer, an individual Case Number: 12-cv-00591 (United States District Court for the District of Utah) Date Filed: June 25, 2012 Date of Qualifying Judgment/Order: December 2, 2015	12/23/2015	03/22/2016
2015-145	SEC v. Summit Asset Strategies Investment Management, LLC; Summit Asset Strategies Wealth Management, LLC; and Chris Yoo Case Number: 15-cv-01429 (United States District Court for the Western District of Washington) Date Filed: September 4, 2015 Date of Qualifying Judgment/Order: November 6, 2015	12/23/2015	03/22/2016
2015-144	SEC v. Bonan Huang, et al. Case Number: 15-cv-00269 (United States District Court for the Eastern District of Pennsylvania) Date Filed: January 21, 2015 Date of Qualifying Judgment/Order: December 3, 2015	12/23/2015	03/22/2016
2015-143	In the Matter of Sands Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly Administrative Proceeding File No.: 3-16223 Date Filed: November 19, 2015 Date of Qualifying Judgment/Order: November 19, 2015	12/23/2015	03/22/2016
2015-142	In the Matter of Standard Bank PLC Administrative Proceeding File No.: 3-16973 Date Filed: November 30, 2015 Date of Qualifying Judgment/Order: November 30, 2015	12/23/2015	03/22/2016
2015-141	SEC v. Brett A. Cooper, et al. Case Number: 13-cv-05781 (United States District Court for the District of New Jersey) Date Filed: September 27, 2013 Date of Qualifying Judgment/Order: November 5, 2015	12/23/2015	03/22/2016
2015-140	SEC v. Vladimir Eydelman Case Number: 14-cv-01742 (United States District Court for the District of New Jersey) Date Filed: March 19, 2014 Date of Qualifying Judgment/Order: October 28, 2015	12/23/2015	03/22/2016
2015-139	SEC v. Hitachi, LTD. Case Number: 15-cv-01573 (United States District Court for the District of Columbia) Date Filed: September 28, 2015 Date of Qualifying Judgment/Order: November 24, 2015	12/23/2015	03/22/2016
2015-138	SEC v. Summit Trust Company, Rampart Capital Management, LLC, Trust Counselors Network, Inc., Brown Investment Advisors, Inc., Kevin C. Brown, and George P. Brown Case Number: 15-cv-05843 (United States District Court for the Eastern District of Pennsylvania) Date Filed: October 27, 2015 Date of Qualifying Judgment/Order: November 6, 2015	12/23/2015	03/22/2016
2015-137	In the Matter of Grant Thornton, LLP Administrative Proceeding File No.: 3-16976 Date Filed: December 2, 2015 Date of Qualifying Judgment/Order: December 2, 2015 In the Matter of Melissa K. Koeppel, CPA, and Jeffrey J. Robinson, CPA Administrative Proceeding File No.: 3-16977 Date Filed: December 2, 2015 Date of Qualifying Judgment/Order: December 2, 2015	12/23/2015	03/22/2016

Last Reviewed or Updated: March 17, 2025

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