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
2015-136	SEC v. Tropikgadget FZE, et al. Case Number: 15-cv-10543 (United States District Court for the District of Massachusetts) Date Filed: February 25, 2015 Date of Qualifying Judgment/Order: November 12, 2015	12/23/2015	03/22/2016
2015-135	In the Matter of Virtus Investment Advisers, Inc. Administrative Proceeding File No.: 3-16959 Case filed: November 16, 2015 Qualifying Judgment/Order: November 16, 2015	12/01/2015	02/29/2016
2015-134	In the Matter of Fenway Partners, LLC, Peter Lamm, William Gregory Smart, Timothy Mayhew, Jr., and Walter Wiacek, CPA Administrative Proceeding File No.: 3-16938 Case filed: November 3, 2015 Qualifying Judgment/Order: November 3, 2015	11/30/2015	02/28/2016
2015-133	In the Matter of Briargate Trading, LLC and Eric Oscher Administrative Proceeding File No.: 3-16889 Case filed: October 8, 2015 Qualifying Judgment/Order: October 8, 2015	11/30/2015	02/28/2016
2015-132	In the Matter of Wolverine Trading, LLC and Wolverine Asset Management, LLC Administrative Proceeding File No.: 3-16890 Case filed: October 8, 2015 Qualifying Judgment/Order: October 8, 2015	11/30/2015	02/28/2016
2015-131	In the Matter of Total Wealth Management, Inc., Jacob Keith Cooper, Mathan McNamee, and Douglas David Shoemaker Administrative Proceeding File No.: 3-15842 Case filed: April 15, 2014 Qualifying Judgment/Order: October 13, 2015	11/30/2015	02/28/2016
2015-130	SEC v. Justin Moongyu Lee; Rebecca Taewon Lee; Thomas Edward Kent; American Immigrant Investment Fund I, LLC; Biofuel Venture IV, LLC; Biofuel Venture V, LLC; Nexland, Inc., dba Nexland Investment Group; and Nexsun Ethanol, LLC Case number: 14-cv-06865 (United States District Court for the Central District of California) Case filed: September 3, 2014 Qualifying Judgment/Order: October 29, 2015	11/30/2015	02/28/2016
2015-129	In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C. and Blackstone Management Partners IV L.L.C. Administrative Proceeding File No.: 3-16887 Case filed: October 7, 2015 Qualifying Judgment/Order: October 7, 2015	11/30/2015	02/28/2016
2015-128	In the Matter of J.P. Morgan Investment Management Inc. Administrative Proceeding File No.: 3-16897 Case filed: October 14, 2015 Qualifying Judgment/Order: October 14, 2015	11/30/2015	02/28/2016
2015-127	SEC v. Premiere Power, LLC; John Jankovic; and Jerry Jankovic Case number: 15-cv-01248 (United States District Court for the Southern District of New York) Case filed: February 20, 2015 Qualifying Judgment/Order: October 9, 2015	11/30/2015	02/28/2016
2015-126	In the Matter of UBS Willow Management LLC and UBS Fund Advisor LLC Administrative Proceeding File No.: 3-16909 Case filed: October 19, 2015 Qualifying Judgment/Order: October 19, 2015	11/30/2015	02/28/2016
2015-125	In the Matter of DBRS, Inc. Administrative Proceeding File No.: 3-16922 Case filed: October 26, 2015 Qualifying Judgment/Order: October 26, 2015	11/30/2015	02/28/2016
2015-124	In the Matter of the St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA Administrative Proceeding File No.: 3-16927 Case filed: October 27, 2015 Qualifying Judgment/Order: October 27, 201	11/30/2015	02/28/2016
2015-123	SEC v. Robert A. Helms, et al. Case number: 13-cv-01036 (United States District Court for the Western District of Texas) Case filed: December 3, 2013 Qualifying Judgment/Order: October 21, 2015	11/30/2015	02/28/2016
2015-122	In the Matter of Gary M. Arford Administrative Proceeding File No.: 3-16932 Case filed: October 28, 2015 Qualifying Judgment/Order: October 28, 2015	11/30/2015	02/28/2016
2015-121	In the Matter of David F. Bandimere and John O. Young Administrative Proceeding File No.: 3-15124 Case filed: December 6, 2012 Qualifying Judgment/Order: October 29, 2015	11/30/2015	02/28/2016
2015-120	SEC v. Billy Wayne McClintock, individually, and dba MSC Holdings, Dianne Alexander aka Linda Dianne Alexander Case number: 12-cv-04028 (United States District Court for the Northern District of Georgia) Case filed: November 19, 2012 Qualifying Judgment/Order: September 15, 2015	11/30/2015	02/28/2016
2015-119	SEC v. Daniel Bergin Case number: 13-cv-01940 (United States District Court for the Northern District of Texas) Case filed: May 23, 2013 Qualifying Judgment/Order: August 18, 2015	10/30/2015	01/28/2016
2015-118	SEC v. Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley, and Jack Halperin Case number: 10-cv-02031 (United States District Court for the Eastern District of New York) Case filed: May 5, 2010 Qualifying Judgment/Order: April 16, 2015	10/30/2015	01/28/2016
2015-117	SEC v. Jeffory D. Shields (a/k/a Jeffrey D. Shields) and Geodynamics, Inc. (f/k/a or d/b/a Geodynamics Exploration, Inc.) Case number: 11-cv-02121 (United States District Court for the District of Colorado) Case filed: August 15, 2011 Qualifying Judgment/Order: March 16, 2015	10/30/2015	01/28/2016
2015-116	In the Matter of UBS AG Administrative Proceeding File No.: 3-16891 Case filed: October 13, 2015 Qualifying Judgment/Order: October 13, 2015	10/30/2015	01/28/2016
2015-115	In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-16835 Case filed: September 28, 2015 Qualifying Judgment/Order: September 28, 2015	10/30/2015	01/28/2016
2015-114	SEC v. Arkadiy Dubovoy, Igor Dubovoy, Pavel Dubovoy, Nelia Dubova, David Amaryan, Alexander Redoseev, Aleksandr Garkusha, Oleksander Ieremenko (a.k.a. Aleksander Eremenko), Vladislav Khalupsky, Vitaly Korchevsky, Roman Lavlinskiy, Oleksandr Makarov, Leonid Momtok, Nikolai Slepenkov, Andriy Supranonok, Ivan Turchynov, Maxim Zakharchenko, APD Developers, LLC, Beratto Group LTD., Bering Explorer Fund LTD., Concorde Bermuda LTD., Escada Logistics LTD., Exante LTD, Global Hedge Capital Group, Guibor S.A., Intertrade Pacific S.A., Memelland Investments LTD, Jaspen Capital Partners Limited, NTS Capital Fund, Ocean Prime Inc., Omega 26 Investments LTD, and Southeastern Holding and Investment Company LLC Case number: 15-cv-06076 (United States District Court for the District of New Jersey) Case filed: August 10, 2015 Qualifying Judgment/Order: September 28, 2015	10/30/2015	01/28/2016
2015-113	In the Matter of William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P. Administrative Proceeding File No.: 3-16829 Case filed: September 23, 2015 Qualifying Judgment/Order: September 23, 2015	10/30/2015	01/28/2016
2015-112	In the Matter of Home Loan Servicing Solutions, Ltd. Administrative Proceeding File No.: 3-16882 Case filed: October 5, 2015 Qualifying Judgment/Order: October 5, 2015	10/30/2015	01/28/2016
2015-111	In the Matter of Focus Media Holding Limited and Jason Jiang Administrative Proceeding File No.: 3-16852 Case filed: September 30, 2015 Qualifying Judgment/Order: September 30, 2015	10/30/2015	01/28/2016
2015-110	SEC v. iShopNoMarkup.com, Inc., Scott W. Brockop, Anthony M. Knight, and Moussa Yeroushalmi a/k/a Mike Yeroush Case number: 04-cv-04057 (United States District Court for the Eastern District of New York) Case filed: September 20, 2004 Qualifying Judgment/Order: September 3, 2015	10/30/2015	01/28/2016
2015-109	SEC v. Efstratios "Elias" D. Argryropoulos and Prima Capital Group, Inc. Case number: 14-cv-09800 (United States District Court for the Central District of Florida) Case filed: December 23, 2014 Qualifying Judgment/Order: September 29, 2015	10/30/2015	01/28/2016
2015-108	SEC v. ABS Manager, LLC and George Charles Cody Price Case number: 13-cv-00319 (United States District Court for the Southern District of California) Case filed: February 8, 2013 Qualifying Judgment/Order: July 16, 2015	10/30/2015	01/28/2016
2015-107	In the Matter of Latour Trading LLC Administrative Proceeding File No.: 3-16851 Case filed: September 30, 2015 Qualifying Judgment/Order: September 30, 2015	10/30/2015	01/28/2016
2015-106	In the Matter of First Eagle Investment Management, LLC and FEF Distributors, LLC Administrative Proceeding File No.: 3-16823 Case filed: September 21, 2015 Qualifying Judgment/Order: September 21, 2015	10/30/2015	01/28/2016
2015-105	In the Matter of Edward T. Borg and Brian J. Mulkeen Administrative Proceeding File No.: 3-16875 Case filed: September 30, 2015 Qualifying Judgment/Order: September 30, 2015	10/30/2015	01/28/2016
2015-104	In the Matter of Bristol-Myers Squibb Company Administrative Proceeding File No.: 3-16881 Case filed: October 5, 2015 Qualifying Judgment/Order: October 5, 2015	10/30/2015	01/28/2016
2015-103	SEC v. Evolution Capital Advisors, LLC, Evolution Investment Group I, LLC, and Damian Omar Valdez Case number: 11-cv-02945 (United States District Court for the Southern District of Texas) Case filed: August 10, 2011 Qualifying Judgment/Order: September 17, 2015	10/30/2015	01/28/2016
2015-102	In the Matter of UBS Financial Services Incorporated of Puerto Rico Administrative Proceeding File No.: 3-16846 Case filed: September 29, 2015 Qualifying Judgment/Order: September 29, 2015	10/30/2015	01/28/2016
2015-101	SEC v. Bankatlantic Bancorp, Inc. and Alan B. Levan Case number: 12-cv-60082 (United States District Court for the Southern District of Florida) Case filed: January 18, 2012 Qualifying Judgment/Order: September 24, 2015	10/30/2015	01/28/2016
2015-100	SEC v. Xiaoyu Xia and Yanting Hu Case number: 15-cv-03320 (United States District Court for the Southern District of New York) Case filed: April 29, 2015 Qualifying Judgment/Order: September 10, 2015	10/30/2015	01/28/2016
2015-099	In the Matter of Trinity Capital Corporation Administrative Proceeding File No.: 3-16837 Case filed: September 28, 2015 Qualifying Judgment/Order: September 8, 2015	10/30/2015	01/28/2016
2015-098	In the Matter of Bankrate, Inc. Administrative Proceeding File No.: 3-16837 Case filed: September 8, 2015 Qualifying Judgment/Order: September 8, 2015	10/30/2015	01/28/2016
2015-097	SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc. and Hilbroy Advisory Inc. Case number: 12-cv-12334 (United States District Court for the District of Massachusetts) Case filed: December 17, 2012 Qualifying Judgment/Order: October 1, 2015	10/30/2015	01/28/2016
2015-096	SEC v. James A. Evans, Jr., d/b/a/ Cashflowbot.com, d/b/a Dollarmonster Case number: 15-cv-01118 (United States District Court for the Northern District of Georgia) Case filed: April 13, 2015 Qualifying Judgment/Order: September 30, 2015	10/30/2015	01/28/2016
2015-095	SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill Case number: 15-cv-02401 (United States District Court for the District of Maryland) Case filed: August 13, 2015 Qualifying Judgment/Order: August 21, 2015	09/30/2015	12/29/2015
2015-094	SEC v. David Craven and Alexander J. Craven Case number: 15-cv-01820 (United States District Court for the Southern District of New York) Case filed: March 11, 2015 Qualifying Judgment/Order: August 27, 2015	09/30/2015	12/29/2015
2015-093	In the Matter of BDO USA, LLP Administrative Proceeding File No.: 3-16800 Case filed: September 9, 2015 Qualifying Judgment/Order: September 9, 2015	09/30/2015	12/29/2015
2015-092	In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. Administrative Proceeding File No.: 3-16757 Case filed: August 17, 2015 Qualifying Judgment/Order: August 17, 2015	09/30/2015	12/29/2015
2015-091	SEC v. John Thornes Case number: 14-cv-06088 (United States District Court for the Central District of California) Case filed: August 4, 2014 Qualifying Judgment/Order: July 17, 2015	09/30/2015	12/29/2015
2015-090	In the Matter of Edward D. Jones & Co., L.P. Administrative Proceeding File No.: 3-16751 Case filed: August 13, 2015 Qualifying Judgment/Order: August 13, 2015	09/30/2015	12/29/2015
2015-089	In the Matter of Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed Administrative Proceeding File No.: 3-16755 Case filed: August 14, 2015 Qualifying Judgment/Order: August 14, 2015	09/30/2015	12/29/2015
2015-088	In the Matter of Taberna Capital Management, LLC, Michael Fralin and Raphael Licht Administrative Proceeding File No.: 3-16776 Case filed: September 2, 2015 Qualifying Judgment/Order: September 2, 2015	09/30/2015	12/29/2015
2015-087	In the Matter of Citigroup Global Markets, Inc. Administrative Proceeding File No.: 3-16764 Case filed: August 19, 2015 Qualifying Judgment/Order: August 19, 2015	09/30/2015	12/29/2015
2015-086	In the Matter of the Bank of New York Mellon Corporation Administrative Proceeding File No.: 3-16762 Case filed: August 18, 2015 Qualifying Judgment/Order: August 18, 2015	09/30/2015	12/29/2015
2015-085	In the Matter of Mead Johnson Nutrition Company Administrative Proceeding File No.: 3-16704 Case Filed: July 28, 2015 Qualifying Judgment/Order: July 28, 2015	08/31/2015	11/29/2015
2015-084	In the Matter of Wisteria Global, Inc. and Hiroshi Fujigami Administrative Proceeding File No.: 3-16675 Case Filed: July 6, 2015 Qualifying Judgment/Order: July 6, 2015	08/31/2015	11/29/2015
2015-083	In the Matter of ITG Inc. and AlterNet Securities, Inc. Administrative Proceeding File No.: 3-16742 Case Filed: August 12, 2015 Qualifying Judgment/Order: August 12, 2015	08/31/2015	11/29/2015
2015-082	In the Matter of OZ Management, LP Administrative Proceeding File No.: 3-16686 Case Filed: July 14, 2015 Qualifying Judgment/Order: July 14, 2015	08/31/2015	11/29/2015
2015-081	In the Matter of VERO Capital Management, LLC, Robert Geiger, George Barbaresi, Esq, and Steven Downey, CPA Administrative Proceeding File No.: 3-16328 Case Filed: December 29, 2014 Qualifying Judgment/Order: July 8, 2015	08/31/2015	11/29/2015
2015-080	SEC v. Mikhail Galas, Alexander Hawatmeh, Christopher Mwroca, and Tovy Pustovit Case Number: 14-cv-05621 (United States District Court for the Western District of Washington) Case Filed: August 5, 2014 Qualifying Judgment/Order: July 21, 2015	08/31/2015	11/29/2015
2015-079	In the Matter of Guggenheim Partners Investment Management, LLC Administrative Proceeding File No.: 3-16735 Case Filed: August 10, 2015 Qualifying Judgment/Order: August 10, 2015	08/31/2015	11/29/2015
2015-078	SEC v. Frank Tamayo Case Number: 14-cv-05844 (United States District Court for the District of New Jersey) Case Filed: September 19, 2014 Qualifying Judgment/Order: July 14, 2015	08/31/2015	11/29/2015
2015-077	SEC v. George G. Levin and Frank J. Preve Case Number: 12-cv-21917 (United States District Court for the Southern District of Florida) Case Filed: May 22, 2012 Qualifying Judgment/Order: August 3, 2015	08/31/2015	11/29/2015
2015-076	SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr. Case number: 12-cv-10692 (United States District Court for the Central District of California) Case filed: December 14, 2012 Qualifying Judgment/Order: May 11, 2015	07/31/2015	10/29/2015
2015-075	SEC v. Joshua A. Yudell Case number: 15-cv-04548 (United States District Court for the Southern District of New York) Case filed: June 11, 2015 Qualifying Judgment/Order: June 16, 2015	07/31/2015	10/29/2015
2015-074	SEC v. Andrew L. Evans Case number: 15-cv-02551 (United States District Court for the Northern District of California) Case filed: June 9, 2015 Qualifying Judgment/Order: June 10, 2015	07/31/2015	10/29/2015
2015-073	In the Matter of Kohlberg Kravis Roberts & Co. L.P. Administrative Proceeding File No.: 3-16656 Case filed: June 29, 2015 Qualifying Judgment/Order: June 29, 2015	07/31/2015	10/29/2015
2015-072	In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-16665 Case filed: June 30, 2015 Qualifying Judgment/Order: June 30, 2015	07/31/2015	10/29/2015
2015-071	In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton Administrative Proceeding File No.: 3-16672 Case filed: July 1, 2015 Qualifying Judgment/Order: July 1, 2015	07/31/2015	10/29/2015
2015-070	In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield Administrative Proceeding File No.: 3-16575 Case filed: June 5, 2015 Qualifying Judgment/Order: June 5, 2015	07/31/2015	10/29/2015
2015-069	SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller Case number: 10-cv-01235 (United States District Court for the Northern District of Ohio) Case filed: June 2, 2010 Qualifying Judgment/Order: May 26, 2015	07/31/2015	10/29/2015
2015-068	In the Matter of Helmut Anscheringer Administrative Proceeding File No.: 3-16589 Case filed: June 15, 2015 Qualifying Judgment/Order: June 15, 2015	07/31/2015	10/29/2015
2015-067	SEC v. Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner Case number: 14-cv-80823 (United States District Court for the Southern District of Florida) Case filed: June 23, 2014 Qualifying Judgment/Order: June 22, 2015	07/31/2015	10/29/2015
2015-066	In the Matter of Alphabridge Capital Management, LLC, Thomas T. Kutzen, and Michael J. Carino Administrative Proceeding File No.: 3-16670 Case filed: July 1, 2015 Qualifying Judgment/Order: July 1, 2015	07/31/2015	10/29/2015
2015-065	In the Matter of Nationwide Life Insurance Company Administrative Proceeding File No.: 3-16537 Case Filed: May 14, 2015 Qualifying Judgment/Order: May 14, 2015	06/30/2015	09/28/2015
2015-064	SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson Case Number: 15-cv-03528 (United States District Court for the District of New Jersey) Case Filed: May 26, 2015 Qualifying Judgment/Order: May 29, 2015	06/30/2015	09/28/2015
2015-063	In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation Administrative Proceeding File No.: 3-16567 Case Filed: June 1, 2015 Qualifying Judgment/Order: June 1, 2015	06/30/2015	09/28/2015
2015-062	SEC v. Luis Chang and Everbright Development Overseas Limited Case Number: 14-cv-04132 (United States District Court for the Southern District of New York Case Filed: July 24, 2014 Qualifying Judgment/Order: May 15, 2015	06/30/2015	09/28/2015
2015-061	In the Matter of Deutsche Bank AG Administrative Proceeding File No.: 3-16557 Case Filed: May 26, 2015 Qualifying Judgment/Order: May 26, 2015	06/30/2015	09/28/2015
2015-060	In the Matter of BHP Billiton Ltd. And BHP Billton Plc Administrative Proceeding File No.: 3-16546 Case Filed: May 20, 2015 Qualifying Judgment/Order: May 20, 2015	06/30/2015	09/28/2015
2015-059	SEC v. Radius Capital Corp. and Robert A. DiGiorgio Case Number: 11-cv-00116 (United States District Court for the Middle District of Florida) Case Filed: March 7, 2011 Qualifying Judgment/Order: April 23, 2015	06/30/2015	09/28/2015
2015-058	In the Matter of David B. Havanich, Jr., Carmine A. DellaSala, Matthew D. Welch, Richard Hampton Scurlock, III, RTAG Inc. d/b/a Retirement Tax Advisory Group, Jose F. Carrio, Dennis K. Karasik, Carrio, Karasik & Associates, LLP, and Michael J. Salovay Administrative Proceeding File No.: 3-16354 Case Filed: January 23, 2015 Qualifying Judgments/Orders: 33-9791, 33-9792, 33-9793 (May 26, 2015)	06/30/2015	09/28/2015
2015-057	SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. Case Number: 13-cv-24360 (United States District Court for the Southern District of Florida) Case Filed: December 3, 2013 Qualifying Judgment/Order: May 26, 2015	06/30/2015	09/28/2015
2015-056	SEC v. Robert A. Gist and Gist, Kennedy & Associates, Inc. Case Number: 13-cv-01833 (United States District Court for the Northen District of Georgia) Case Filed: May 31, 2013 Qualifying Judgment/Order: May 1, 2015	06/30/2015	09/28/2015
2015-055	SEC v. Charles H. Merchant, Sr. and Southern USA Resources, Inc. Case Number: 13-cv-03879 (United States District Court for the Northern District of Georgia) Case Filed: November 22, 2013 Qualifying Judgment/Order: May 6, 2015	06/30/2015	09/28/2015
2015-054	In the Matter of Spectrum Concepts, LLC, Donald James Worswick, Michael Nicholas Grosso, and Michael Patrick Brown Administrative Proceeding File No.: 3-16358 Case Filed: January 23, 2015 Initial Decision: April 7, 2015 Qualifying Judgment/Order: May 20, 2015	06/30/2015	09/28/2015
2015-053	In the Matter of Julieann Palmer Martin Administrative Proceeding File No.: 3-15613 Case filed: November 13, 2013 Initial Decision: March 9, 2015 Qualifying Judgment/Order: April 21, 2015	05/29/2015	08/27/2015
2015-052	SEC v. Guy M. Jean-Pierre, a/k/a "Marcelo Dominguez de Guerra" Case number: 12-cv-08886 (United States District Court for the Southern District of New York) Case filed: December 6, 2012 Qualifying Judgment/Order: April 16, 2015	05/29/2015	08/27/2015
2015-051	SEC v. Macquarie Capital (USA), Inc., Aaron Black and William Fang Case number: 15-cv-02304 (United States District Court for the Southern District of New York) Case filed: March 27, 2015 Qualifying Judgment/Order: April 1, 2015	05/29/2015	08/27/2015
2015-050	In the Matter of BlackRock Advisors, LLC and Bartholomew A. Battista Administrative Proceeding File No.: 3-16501 Case filed: April 20, 2015 Qualifying Judgment/Order: April 20, 2015	05/29/2015	08/27/2015
2015-049	SEC v. Rudolf Pameijer, Lindsay R. Sayer, Ryan W. Koester, Rykoworks Capital Group, LLC Case number: 12-cv-01364 (United States District Court for the Southern District of Indiana) Case filed: September 24, 2012 Qualifying Judgment/Order: April 29, 2015	05/29/2015	08/27/2015
2015-048	In the Matter of Jonathan Fortenberry (A/K/A S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) Administrative Proceeding File No.: 3-15858 Case filed: April 28, 2014 Initial Decision: March 2, 2015 Qualifying Judgment/Order: April 7, 2015	05/29/2015	08/27/2015
2015-047	SEC v. Frank Perkins Hixon, Jr. Case number: 14-cv-00158 (United States District Court for the Western District of Texas) Case filed: February 20, 2014 Qualifying Judgment/Order: April 20, 2015	05/29/2015	08/27/2015
2015-046	In the Matter of Larry C. Grossman and Gregory J. Adams Administrative Proceeding File No.: 3-15617 Case filed: April 7, 2014 Initial Decision: December 23, 2014 Qualifying Judgment/Order: April 22, 2015	05/29/2015	08/27/2015
2015-045	SEC v. Eric William Johnson Case number: 14-cv-08825 (United States District Court for the Northern District of Illinois) Case filed: November 5, 2014 Qualifying Judgment/Order: April 13, 2015	05/29/2015	08/27/2015
2015-044	In the Matter of FLIR Systems, Inc. Administrative Proceeding File No.: 3-16478 Case Filed: April 8, 2015 Qualifying Judgment/Order: April 8, 2015	04/30/2015	07/29/2015
2015-043	SEC vs. Ronald Feldstein, Mara Capital Management LLC, and Vita Health of America, LLC Case Number: 13-cv-06168 (United States District Court for the Southern District of New York) Case Filed: September 3, 2013 Qualifying Judgment/Order: March 16, 2015	04/30/2015	07/29/2015
2015-042	In the Matter of Global Fixed Income, LLC, Charles Perlitz Kempf, AGS Capital Group, LLC, Allen Gabriel Silberstein, Banes Capital Management, LLC, Joel Leigh Banes, Michael Warner Kochman, Big Star Capital, LLC, Ryan Patrick Mcguinness, Esso Ventures, LLC, Mark Leonard Lechler, Etek Investment Management, Inc., Kevin Gregory Haley, Finmark Resources, LLC, Peter Eric Baker, Joseph Michael Araiz, Parker Paschal & Company, LLC, Andrew Parker Shook, PMK Capital Management, LLC, Roger Kumar, Jr., RLJ Fixed Income, LLC, and Corey Antwuan Printup Administrative Proceeding File No.: 3-16460 Case Filed: March 26, 2015 Qualifying Judgment/Order: March 26, 2015	04/30/2015	07/29/2015
2015-041	SEC vs. StratoComm Corporation, Roger D. Shearer, and Craig Danzig Case Number: 11-cv-01188 (United States District Court for the Northern District of New York) Case Filed: October 4, 2011 Qualifying Judgment/Order: March 26, 2015	04/30/2015	07/29/2015
2015-040	SEC vs. Charles R. Kokesh Case Number: 09-cv-01021 (United States District Court for the District of New Mexico) Case Filed: October 27, 2009 Qualifying Judgment/Order: March 30, 2015	04/30/2015	07/29/2015
2015-039	SEC v. Robert D. Falor Case Number: 09-cv-05644 (United States District Court for the Northern District of Illinois) Case Filed: September 11, 2009 Qualifying Judgment/Order: March 9, 2015	04/30/2015	07/29/2015
2015-038	SEC v. BioChemics, Inc., John J. Masiz, Craig Medoff and Gregory Kroning Case Number: 12-cv-12324 (United States District Court for the District of Massachusetts) Case Filed: December 14, 2012 Qualifying Judgment/Order: March 25, 2015	04/30/2015	07/29/2015
2015-037	SEC v. 8000, Inc., Johnathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan Case Number: 12-cv-07261 (United States District Court for the Southern District of New York) Case Filed: September 27, 2012 Qualifying Judgment/Order: April 7, 2015	04/30/2015	07/29/2015

Last Reviewed or Updated: March 17, 2025

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