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
2015-036	SEC v. Life Partners Holdings, Inc., Brian Pardo, R. Scott Peden, and David M. Martin Case Number: 12-cv-00033 (United States District Court for the Western District of Texas) Case Filed: January 3, 2012 Qualifying Judgment/Order: January 16, 2015	04/01/2015	06/30/2015
2015-035	SEC v. Lawrence "Lee" Loomis, Loomis Wealth Solutions, LLC, John Hagener, and Lismar Financial Services, LLC Case Number: 10-cv-00458 (United States District Court for the Eastern District of California) Case Filed: February 23, 2010 Qualifying Judgment/Order: January 21, 2015	03/31/2015	06/29/2015
2015-034	SEC v. Steven Scoppetuolo, Robert Tocci, Sarang Ahuja, Richard White and Eric Gordon Case Number: 10-cv-20475 (United States District Court for the Southern District of Florida) Case Filed: February 16, 2010 Qualifying Judgment/Order: March 27, 2013	03/31/2015	06/29/2015
2015-033	SEC v. Robert A Walker, Dennis L. DeSender, and DLD Financial, LTD Case Number: 11-cv-03655 (United States District Court for the District of Minnesota) Case Filed: December 21, 2011 Qualifying Judgment/Order: January 30, 2015	03/31/2015	06/29/2015
2015-032	SEC vs. Mark F. Spangler and The Spangler Group, Inc. Case Number: 12-cv-00856 (United States District Court for the Western District of Washington) Case Filed: May 17, 2012 Qualifying Judgment/Order: November 13, 2014	03/31/2015	06/29/2015
2015-031	SEC v. John Gray, Christian Keller, Kyle Martin, and Aaron Shepard Case Number: 15-cv-00551 (United States District Court for the Northern District of California) Case Filed: February 5, 2015 Qualifying Judgment/Order: March 2, 2015	03/31/2015	06/29/2015
2015-030	SEC v. World Capital Market Inc.; WCM777 Inc.; WCM777 Ltd. d/b/a WCM777 Enterprises, Inc.; and Ming Xu a/k/a Phil Ming Xu Case Number: 14-cv-02334 (United States District Court for the Central District of California) Case Filed: March 27, 2014 Qualifying Judgment/Order: February 20, 2015	03/31/2015	06/29/2015
2015-029	SEC v. China Sky One Medical, Inc., and Yan-Qing Liu Case Number: 12-cv-07543 (United States District Court for the Central District of California) Case Filed: September 4, 2012 Qualifying Judgment/Order: March 4, 2015	03/31/2015	06/29/2015
2015-028	In the Matter of Sandra Dyche Administrative Proceeding File No.: 3-16398 Case Filed: February 20, 2015 Qualifying Judgment/Order: February 20, 2015	03/31/2015	06/29/2015
2015-027	SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc. Case Number: 13-cv-01658 (United States District Court for the District of Nevada) Case Filed: September 11, 2013 Qualifying Judgment/Order: January 27, 2015	03/31/2015	06/29/2015
2015-026	In the Matter of The Goodyear Tire & Rubber Company Administrative Proceeding File No.: 3-16400 Case Filed: February 24, 2015 Qualifying Judgment/Order: February 24, 2015	03/31/2015	06/29/2015
2015-025	In the Matter of BDO China Dahua CPA Co., Ltd.; Deloitte Touche Tohmatsu Certified Public Accountants Ltd.; Ernst & Young Hua Ming LLP; KPMG Huazhen (Special General Partnership); PricewaterhouseCoopers Zhong Tian CPAs Limited Administrative Proceeding File Nos.: 3-14872, 3-15116 Case Filed: February 6, 2015 Qualifying Judgment/Order: February 6, 2015	03/31/2015	06/29/2015
2015-024	SEC v. Lee Chi Ling Case Number: 13-cv-05364 (United States District Court for the Eastern District of New York) Case Filed: September 26, 2013 Qualifying Judgment/Order: February 11, 2015	03/31/2015	06/29/2015
2015-023	SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner Case Number: 15-cv-01142 (United States District Court for the Northern District of Illinois) Case Filed: February 5, 2015 Qualifying Judgment/Order: February 18, 2015	03/31/2015	06/29/2015
2015-022	In the Matter of VCAP Securities, LLC, and Brett Thomas Graham Administrative Proceeding File No.: 3-16389 Case filed: February 19, 2015 Qualifying Judgment/Order: February 19, 2015	02/27/2015	05/28/2015
2015-021	SEC v. GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, and John A. Geringer Case number: 12-cv-02663 (United States District Court for the Northern District of California) Case filed: May 24, 2012 Qualifying Judgment/Order: February 3, 2015	02/27/2015	05/28/2015
2015-020	SEC v. Chan Tze Ngon and Jiang Xiangyuan Case number: 13-cv-06828 (United States District Court for the Southern District of New York) Case filed: September 26, 2013 Qualifying Judgment/Order: January 16, 2015	02/27/2015	05/28/2015
2015-019	In the Matter of UBS Securities LLC Administrative Proceeding File No.: 3-16338 Case filed: January 15, 2015 Qualifying Judgment/Order: January 15, 2015	02/27/2015	05/28/2015
2015-018	SEC v. Wwebnet, Inc. and Robert L. Kelly Case number: 12-cv-06581 (United States District Court for the Southern District of New York) Case filed: August 28, 2012 Qualifying Judgment/Order: January 16, 2015	02/27/2015	05/28/2015
2015-017	SEC v. Magdalena Tavella, Andres Horacio Ficicchia, Gonzalo Garcia Blaya, Lucia Mariana Hernando, Cecilia de Lorenzo, Adriana Rosa Bagattin, Daniella Patricia Goldman, Mariano Pablo Ferrari, Mariano Graciarena, and Fernando Loureyro Case number: 13-cv-04609 (United States District Court for the Southern District of New York) Case filed: July 3, 2013 Qualifying Judgment/Order: January 9, 2015	02/27/2015	05/28/2015
2015-016	In the Matter of Oppenheimer & Co. Inc. Administrative Proceeding File No.: 3-16361 Case filed: January 27, 2015 Qualifying Judgment/Order: January 27, 2015	02/27/2015	05/28/2015
2015-015	SEC v. Avon Products, Inc. Case number: 14-cv-09956 (United States District Court for the Southern District of New York) Case filed: December 17, 2014 Qualifying Judgment/Order: January 8, 2015	02/27/2015	05/28/2015
2015-014	SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter D. Kirschner, and Stuart M. Rubens Case number: 13-cv-62100 (United States District Court for the Southern District of Florida) Case filed: September 26, 2013 Qualifying Judgment/Order: December 9, 2014	02/27/2015	05/28/2015
2015-013	In the Matter of International Capital Group, LLC, Brian R. Nord, Larry Russell, Jr., and Todd J. Bergeron Administrative Proceeding File No.: 3-16366 Case filed: January 29, 2015 Qualifying Judgment/Order: January 29, 2015	02/27/2015	05/28/2015
2015-012	In the Matter of Standard & Poor's Rating Services Administrative Proceeding File No.: 3-16348 Case Filed: January 21, 2015 Qualifying Judgment/Order: January 21, 2015	01/27/2015	04/27/2015
2015-011	In the Matter of Standard & Poor's Rating Services Administrative Proceeding File No.: 3-16346 Case Filed: January 21, 2015 Qualifying Judgment/Order: January 21, 2015	01/27/2015	04/27/2015
2015-010	In the Matter of EDGA Exchange, Inc., and EDGX Exchange, Inc. Administrative Proceeding File No.: 3-16332 Case Filed: January 12, 2015 Qualifying Judgment/Order: January 12, 2015	01/27/2015	04/27/2015
2015-009	SEC v. Michael B. Ferguson and Transactions Unlimited Case Number: 14-cv-04188 (United States District Court for the Northern District of California) Case Filed: September 29, 2014 Qualifying Judgment/Order: November 13, 2014	01/27/2015	04/27/2015
2015-008	SEC v. John N. Irwin, CPA and Jacklin Associates, Inc. Case Number: 11-cv-04429 (United States District Court for the Eastern District of Pennsylvania) Case Filed: July 11, 2011 Qualifying Judgment/Order: December 19, 2014	01/27/2015	04/27/2015
2015-007	SEC v. Alternative Green Technologies, Inc., Mitchell Segal, Belmont Partners, LLC, Joseph Meuse, Howard Borg, David Ryan, Vikram Khanna, and Panascope Capital Inc. Case Number: 11-cv-09056 (United States District Court for the Southern District of New York) Case Filed: December 12, 2011 Qualifying Judgment/Order: December 15, 2014	01/27/2015	04/27/2015
2015-006	SEC v. Larry R. Polhill Case Number: 13-cv-01729 (United States District Court for the Central District of California) Case Filed: September 24, 2013 Qualifying Judgment/Order: December 6, 2014	01/27/2015	04/27/2015
2015-005	SEC v. Bill C. (Billy) Crafton, Jr. Case Number: 14-cv-02916 (United States District Court for the Southern District of California) Case Filed: December 10, 2014 Qualifying Judgment/Order: December 17, 2014	01/27/2015	04/27/2015
2015-004	SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch Case Number: 11-cv-01962 (United States District Court for the Central District of California) Case Filed: December 21, 2011 Qualifying Judgment/Order: December 10, 2014	01/27/2015	04/27/2015
2015-003	SEC vs. Brian N. Hollnagel and BCI Aircraft Leasing, Inc. Case Number: 07-cv-04538 (United States District Court for the Northern District of Illinois) Case filed: August 13, 2007 Qualifying judgment/order: December 18, 2014	01/27/2015	04/27/2015
2015-002	In the Matter of Morgan Stanley & Co. LLC Administrative Proceeding File No.: 3-16310 Case Filed: December 10, 2014 Qualifying Judgment/Order: December 10, 2014	01/27/2015	04/27/2015
2015-001	In the Matter of Bruker Corporation Administrative Proceeding File No.: 3-16314 Case Filed: December 15, 2014 Qualifying Judgment/Order: December 15, 2014	01/27/2015	04/27/2015
2014-146	In the Matter of F-Squared Investments, Inc. Administrative Proceeding File No.: 3-16325 Case filed: December 22, 2014 Qualifying Judgment/Order: December 22, 2014	12/29/2014	03/29/2015
2014-145	SEC vs. Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. Burks Case number: 12-cv-00519 (United States District Court for the Western District of North Carolina) Case filed: August 17, 2012 Qualifying judgment/order: August 17, 2012 In the Matter of Adam Troy Dooly Administrative Proceeding File No.: 3-15540 Case filed: September 30, 2013 Qualifying judgment/order: September 30, 2013	12/22/2014	03/22/2015
2014-144	SEC vs. Garfield Taylor, Incorporated, Gibraltar Asset Management Group, LLC, Garfield M. Taylor, Benjamin C. Dalley, Jeffrey A. King, Randolph M. Taylor, Maurice G. Taylor, and William B. Mitchell Case number: 11-cv-02054 (United States District Court for the District of Columbia) Case filed: November 18, 2011 Qualifying judgment/order: March 28, 2013	12/22/2014	03/22/2015
2014-143	In the Matter of Wedbush Securities Inc., Jeffrey Bell, and Christina Fillhart Administrative Proceeding File No.: 3-15913 Case filed: November 20, 2014 Qualifying judgment/order: November 20, 2014	12/22/2014	03/22/2015
2014-142	In the Matter of Alan Gavornik, Nicholas Mariniello and Lee Argush Administrative Proceeding File No.: 3-16286 Case filed: November 24, 2014 Qualifying judgment/order: November 24, 2014	12/22/2014	03/22/2015
2014-141	In the Matter of HSBC Private Bank (Suisse), SA Administrative Proceeding File No.: 3-16288 Case filed: November 25, 2014 Qualifying judgment/order: November 25, 2014	12/22/2014	03/22/2015
2014-140	SEC vs. Larry J. Dearman, Sr. and Marya Gray Case number: 13-cv-00553 (United States District Court for the Northern District of Oklahoma) Case filed: August 27, 2013 Qualifying judgment/order: November 14, 2014	12/20/2014	03/20/2015
2014-139	SEC vs. Matthew O. Madison, Dwight McGhee, and Infinity Exploration, LLC Case number: 13-cv-02499 (United States District Court for the Northern District of Texas) Case filed: June 28, 2013 Qualifying judgment/order: November 18, 2014	12/22/2014	03/22/2015
2014-138	SEC vs. John K. Marcum and Guaranty Reserves Trust, LLC Case number: 13-cv-01361 (United States District Court for the Southern District of Indiana) Case filed: August 26, 2013 Qualifying judgment/order: November 18, 2014	12/22/2014	03/22/2015
2014-137	SEC vs. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group, PLC, and Aetius Group, LLC Case number: 12-cv-11489 (United States District Court for the District of Massachusetts) Case filed: August 10, 2012 Qualifying judgment/order: November 24, 2014	12/22/2014	03/22/2015
2014-136	SEC vs. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC Case number: 13-cv-00447 (United States District Court for the Western District of North Carolina) Case filed: August 6, 2013 Qualifying judgment/order: November 25, 2014	12/22/2014	03/22/2015
2014-135	In the Matter of China Ruitai International Holdings Co., LTD., Dian Min Ma, Gang Ma, and Jin Tian Administrative Proceeding File No.: 3-15544 Case filed: September 30, 2013 Qualifying Judgment/Order: October 2, 2014	11/26/2014	02/24/2015
2014-134	SEC v. Dennis F. Wright Case number: 14-cv-01896 (United States District Court for the Middle District of Pennsylvania) Case filed: September 30, 2014 Qualifying Judgment/Order: October 9, 2014	11/26/2014	02/24/2015
2014-133	SEC v. Lee Cole, Linden Boyne, Kevin B. Donovan, and Timothy Quintanilla Case number: 12-cv-08167 (United States District Court for the Southern District Court of New York) Case filed: November 8, 2012 Qualifying Judgment/Order: October 8, 2014	11/26/2014	02/24/2015
2014-132	SEC v. Christopher Wheeler and OTCStockExchange.com Case number: 11-cv-06169 (United States District Court for the Southern District of New York) Case filed: January 14, 2011 Qualifying Judgment/Order: September 29, 2014	11/26/2014	02/24/2015
2014-131	In the Matter of Clean Energy Capital, LLC and Scott A. Brittenham Administrative Proceeding File No.: 3-15766 Case filed: October 17, 2014 Qualifying Judgment/Order: October 17, 2014	11/26/2014	02/24/2015
2014-130	In the Matter of Bio-Rad Laboratories, Inc. Administrative Proceeding File No.: 3-16231 Case filed: November 3, 2014 Qualifying Judgment/Order: November 3, 2014	11/26/2014	02/24/2015
2014-129	SEC v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, James C. Warras, Joseph N. Micelli, M.Y. Consultants, Inc., Anthony B. Brandel, M. Dwyer, LLC, and Sean P. Finn Case number: 13-cv-02280 (United States District Court for the District of Nevada) Case filed: December 16, 2013 Qualifying Judgment/Order: September 15, 2014	11/26/2014	02/24/2015
2014-128	SEC v. Timothy J. Coughlin, OICU LTD., and OICU Investments Corp. (both d/b/a "Oxford International Credit Union" and/or "Oxford International Cooperative Union") Case number: 14-cv-00562 (United States District Court for the Southern District of Indiana) Case filed: April 11, 2014 Qualifying Judgment/Order: October 29, 2014	11/26/2014	02/24/2015
2014-127	In the Matter of ETrade Securities, LLC, and G1 Execution Services, LLC Administrative Proceeding File No.:* 3-16192 Case filed: October 9, 2014 Qualifying Judgment/Order: October 9, 2014	11/26/2014	02/24/2015
2014-126	In the Matter of Layne Christensen Company Administrative Proceeding File No.: 3-16216 Case filed: October 27, 2014 Qualifying Judgment/Order: October 27, 2014	11/26/2014	02/24/2015
2014-125	SEC v. Abatement Corp. Holding Company Limited Case number: 14-cv-23336 (United States District Court for the Southern District of Florida) Case filed: September 10, 2014 Qualifying Judgment/Order: October 29, 2014	11/26/2014	02/24/2015
2014-124	SEC v. Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle), and Jilapuhn, Inc. (d/b/a Her Majesty's Credit Union) Case number: 12-cv-02939 (United States District Court for the District of Colorado) Case filed: November 8, 2012 Qualifying Judgment/Order: October 9, 2014	11/26/2014	02/24/2015
2014-123	SEC v. Agfeed Industries, Inc., Junhong Xiong, Selina Jin, Songyan Li, Shaobo Ouyang, Edward J. Pazdro, K. Ivan Gothner Case number: 14-cv-00663 (United States District Court for the Middle District of Tennessee) Case filed: March 11, 2014 Qualifying judgment/order: October 6, 2014 In the Matter of John A. Stadler Administrative Proceeding File No.: 3-15782 Case filed: March 11, 2014 Qualifying judgment/order: March 11, 2014 In the Matter of Clayton T. Marshall Administrative Proceeding File No.: 3-15783 Case filed: March 11, 2014 Qualifying judgment/order: March 11, 2014	11/26/2014	02/24/2015
2014-122	SEC v. Nikolai S. Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage Case number: 12-cv-07125 (United States District Court for the Northern District of Illinois) Case filed: September 6, 2012 Qualifying Judgment/Order: September 30, 2014	11/26/2014	02/24/2015
2014-121	SEC vs. Resources Planning Group, Inc., and Joseph J. Hennessy Case number: 12-cv-09509 (United States District Court for the Northern District of Illinois) Case filed: November 29, 2012 Qualifying Judgment/Order: September 29, 2014	11/26/2014	02/24/2015
2014-120	SEC vs. Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC Case number: 11-cv-00723 (United States District Court for the District of Minnesota) Case filed: March 24, 2011 Qualifying Judgment/Order: September 22, 2014	11/26/2014	02/24/2015
2014-119	In the Matter of Wells Fargo Advisors, LLC Administrative Proceeding File No.: 3-16153 Case filed: September 22, 2014 Qualifying Judgment/Order: September 22, 2014	10/23/2014	01/21/2015
2014-118	In the Matter of Babak ("Bobby") Yazdani Administrative Proceeding File No.: 3-16160 Case filed: September 24, 2014 Qualifying Judgment/Order: September 24, 2014	10/23/2014	01/21/2015
2014-117	In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon Administrative Proceeding File No.: 3-16159 Case filed: September 24, 2014 Qualifying Judgment/Order: September 24, 2014	10/23/2014	01/21/2015
2014-116	In the Matter of Bank of America Corporation Administrative Proceeding File No.: 3-16177 Case filed: September 29, 2014 Qualifying Judgment/Order: September 29, 2014	10/23/2014	01/21/2015
2014-115	In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-16154 Case filed: September 23, 2014 Qualifying Judgment/Order: September 23, 2014	10/23/2014	01/21/2015
2014-114	In the Matter of Latour Trading LLC and Nicolas Niquet Administrative Proceeding File No.: 3-16128 Case filed: September 17, 2014 Qualifying Judgment/Order: September 17, 2014	10/23/2014	01/21/2015
2014-113	In the Matter of Wilmington Trust Corporation Administrative Proceeding File No.: 3-16098 Case filed: September 11, 2014 Qualifying Judgment/Order: September 11, 2014	10/23/2014	01/21/2015
2014-112	In the Matter of Whitebox Advisors LLC Administrative Proceeding File No.: 3-16117 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014	10/23/2014	01/21/2015
2014-111	In the Matter of BlackRock Institutional Trust Company, N.A. Administrative Proceeding File No.: 3-16120 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014	10/23/2014	01/21/2015
2014-110	In the Matter of Lincolnshire Management, Inc. Administrative Proceeding File No.: 3-16139 Case filed: September 22, 2014 Qualifying Judgment/Order: September 22, 2014	10/23/2014	01/21/2015
2014-109	SEC v. Tyrone L. Gilliams, Jr. and TL Gilliams, LLC Case number: 11-cv-08201 (United States District Court for the Southern District of New York) Case filed: November 14, 2011 Qualifying Judgment/Order: September 16, 2014	10/23/2014	01/21/2015
2014-108	SEC v. AIC, Inc., Community Bankers Securities, LLC, Nicholas D. Skaltsounis, John B. Guyette, and John R. Graves Case number: 11-cv-00176 (United States District Court for the Eastern District of Tennessee) Case filed: April 15, 2011 Qualifying Judgment/Order: August 1, 2014	10/23/2014	01/21/2015
2014-107	SEC v. Trendon T. Shavers and Bitcoin Savings and Trust Case number: 13-cv-00416 (United States District Court for the Eastern District of Texas) Case filed: July 23, 2013 Qualifying Judgment/Order: September 18, 2014	10/23/2014	01/21/2015
2014-106	SEC v. Gordon A. Driver and Axcess Automation, LLC Case number: 09-cv-03410 (United States District Court for the Central District of California) Case filed: May 14, 2009 Qualifying Judgment/Order: September 23, 2014	10/23/2014	01/21/2015
2014-105	SEC v. Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, and Susana Gomez Case number: 13-cv-01865 (United States District Court for the Central District of California) (originally filed as 12-cv-00505 (United States District Court for the Eastern District of Texas) Case filed: August 13, 2012 Qualifying Judgment/Order: August 14, 2014	10/23/2014	01/21/2015
2014-104	In the Matter of RA Capital Management, LLC Administrative Proceeding File No.: 3-16109 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014	10/23/2014	01/21/2015
2014-103	SEC v. Paul Marshall, Bridge Securities, LLC a/k/a/ Bridge Financial, Bridge Equity, Inc., and FOGfuels, Inc. Case number: 13-cv-3032 (United States District Court for the Northern District of Georgia) Case filed: September 11, 2013 Qualifying Judgment/Order: September 16, 2014	10/23/2014	01/21/2015
2014-102	SEC v. Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, Aluma Holdings LLC, Azure Trading LLC, Coastal Group Holdings, Inc., Greyhawk Equities LLC, Leonidas Group Holdings LLC, The Leonidas Group LLC, Nismic Sales Corp., The OGP Group LLC, Perlinda Enterprises LLC, Rio Sterling Holdings LLC, Slow Train Holdings LLC, and Spartan Group Holdings LLC Case number: 12-cv-09339 (United States District Court for the Southern District of New York) Case filed: December 21, 2012 Qualifying Judgment/Order: August 12, 2014	09/24/2014	12/23/2014
2014-101	SEC v. Troy Lyndon and Ronald Zaucha Case number: 13-cv-00486 (United States District Court for the District of Hawaii) Case filed: September 24, 2013 Qualifying Judgment/Order: August 21, 2014	09/24/2014	12/23/2014
2014-100	SEC v. Fleet Mutual Wealth Limited, and MWF Financial Limited, d/b/a Mutual Wealth Case number: 14-cv-01409 (United States District Court for the Central District of California) Case filed: February 25, 2014 Qualifying Judgment/Order: August 21, 2014	09/24/2014	12/23/2014
2014-099	SEC v. James M. Peister and Northstar International Group Inc. Case number: 11-cv-03386 (United States District Court for the Eastern District of New York) Case filed: July 14, 2011 Qualifying Judgment/Order: August 19, 2014	09/24/2014	12/23/2014
2014-098	In the Matter of Keith MacDonald Summers Administrative Proceeding File No.: 3-16014 Case filed: August 13, 2014 Qualifying Judgment/Order: August 13, 2014	09/24/2014	12/23/2014
2014-097	In the Matter of Bank of America Corporation Administrative Proceeding File No.: 3-16028 Case filed: August 21, 2014 Qualifying Judgment/Order: August 21, 2014	09/24/2014	12/23/2014
2014-096	SEC v. Blake B. Richards Case number: 13-cv-01729 (United States District Court for the Northern District of Georgia) Case filed: May 23, 2013 Qualifying Judgment/Order: August 26, 2014	09/24/2014	12/23/2014
2014-095	SEC v. Universal Travel Group, Jiangping Jiang and Jing Xie Case number: 13-cv-01492 (United States District Court for the District of Columbia) Case filed: September 27, 2013 Qualifying Judgment/Order: September 30, 2013 In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA Administrative Proceeding File No.: 3-15952 Case filed: July 1, 2014 Qualifying judgment/order: July 1, 2014	09/05/2014	12/04/2014
2014-094	SEC v. Rajat K. Gupta and Raj Rajaratnam Case number: 11-cv-7566 (United States District Court for the Southern District of New York) Case filed: October 26, 2011 Qualifying Judgment/Order: December 26, 2012	09/05/2014	12/04/2014
2014-093	In the Matter of Linkbrokers Derivatives LLC Administrative Proceeding File No.: 3-16017 Case filed: August 14, 2014 Qualifying Judgment/Order: August 14, 2014	08/21/2014	11/19/2014
2014-092	In the Matter of LavaFlow, Inc. Administrative Proceeding File No.: 3-15985 Case filed: July 25, 2014 Qualifying Judgment/Order: July 25, 2014	08/21/2014	11/19/2014
2014-091	In the Matter of Ernst & Young LLP Administrative Proceeding File No.: 3-15970 Case filed: July 14, 2014 Qualifying Judgment/Order: July 14, 2014	08/21/2014	11/19/2014
2014-090	In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC Administrative Proceeding File No.: 3-15982 Case filed: July 24, 2014 Qualifying Judgment/Order: July 24, 2014	08/21/2014	11/19/2014
2014-089	In the Matter of Smith & Wesson Holding Corporation Administrative Proceeding File No.: 3-15986 Case filed: July 28, 2014 Qualifying Judgment/Order: July 28, 2014	08/21/2014	11/19/2014
2014-088	SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC Case number: 13-cv-00895 (United States District Court for the Northern District of California) Case filed: February 28, 2013 Qualifying Judgment/Order: August 1, 2014	08/21/2014	11/19/2014
2014-087	SEC v. John Babikian Case number: 14-cv-1740 (United States District Court for the Southern District of New York) Case filed: March 13, 2014 Qualifying Judgment/Order: July 8, 2014	08/21/2014	11/19/2014
2014-086	SEC v. Bryan S. Behrens and National Investments, Inc. Case number: 08-cv-00013 (United States District Court for the District of Nebraska) Case filed: January 10, 2008 Qualifying Judgment/Order: July 17, 2014	08/21/2014	11/19/2014
2014-085	SEC v. Citigroup Global Markets Inc. Case number: 11-cv-07387 (United States District Court for the Southern District of New York) Case filed: October 19, 2011 Qualifying Judgment/Order: August 5, 2014	08/21/2014	11/19/2014
2014-084	SEC v. Scott Ashton Riggs, Darrell Parlee, Steven Manderfeld, Ashton Oilfield Services, LLC, Ashton Equipment, LLC, AOS 1-A, L.P., and AOS 1-B, L.P. Case number: 13-cv-04403 (United States District Court for the Northern District of Texas) Case filed: November 1, 2013 Qualifying Judgment/Order: July 11, 2014	08/21/2014	11/19/2014
2014-083	SEC v. DDBO Consulting, Inc., DBBG Consulting, Inc., Dean R. Baker, and Bret A. Grove Case number: 14-cv-61685 (United States District Court for the Southern District of Florida) Case filed: July 24, 2014 Qualifying Judgment/Order: July 31, 2014	08/21/2014	11/19/2014

Last Reviewed or Updated: March 17, 2025

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