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
2012-050	SEC v. Halek Energy, LLC, CBO Energy, Inc., Jason A. Halek, and Christopher Chad Wilbourn Case number: 10-cv-01719 (United States District Court for the Northern District of Texas) Case filed: August 31, 2010 Qualifying Judgment/Order: March 29, 2012	06/04/2012	09/02/2012
2012-049	SEC v. Option One Mortgage Corporation n/k/a Sand Canyon Corporation Case number: 12-cv-00633 (United States District Court for the Central District of California) Case filed: April 24, 2012 Qualifying Judgment/Order: May 2, 2012	06/04/2012	09/02/2012
2012-048	SEC v. Kenneth A. Dachman, Scott A. Wolf, and Stone Lion Management, Inc. Case number: 12-cv-00821 (United States District Court for the Northern District of Illinois) Case filed: February 6, 2012 Qualifying Judgment/Order: April 4, 2012	06/04/2012	09/02/2012
2012-047	In the Matter of GMB Capital Management LLC n/k/a Clearstream Investments LLC, GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran Administrative Proceeding File No.: 3-14854 Case filed: April 20, 2012 Qualifying Judgment/Order: April 20, 2012	06/04/2012	09/02/2012
2012-046	In the Matter of UBS Financial Services Inc. of Puerto Rico Administrative Proceeding File No.: 3-14863 Case filed: May 1, 2012 Qualifying Judgment/Order: May 1, 2012	06/04/2012	09/02/2012
2012-045	SEC v. United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony "Tony" J. Oliva Case number: 10-cv-00568 (United States District Court for the District of New Mexico) Case filed: June 14, 2010 Qualifying Judgment/Order: March 2, 2012	05/02/2012	07/31/2012
2012-044	SEC v. Petroleum Unlimited LLC, Petroleum Unlimited II LLC, Roger A. Kimmel, Jr., Harry Nyce, Michel-Jean Geraud, Robert Rossi, Joseph Valko, and Morgan Kimmel, n/k/a Morgan Petitti Case number: 11-cv-80038 (United States District Court for the Southern District of Florida) Case filed: January 12, 2011 Qualifying Judgment/Order: March 19, 2012	05/02/2012	07/31/2012
2012-043	SEC v. Pentagon Capital Management PLC and Lewis Chester Case number: 08-cv-03324 (United States District Court of the Southern District of New York) Case filed: April 3, 2008 Qualifying Judgment/Order: March 28, 2012	05/02/2012	07/31/2012
2012-042	SEC v. Raymond P. Morris; E & R Holdings, LLC; Wise Financial Holdings, LLC; Momentum Leasing, LLC; James L. Haley; Cornerstone Capital Fund, LLC; Vantage Point Capital, LLC; Jay J. Linford; Freedom Group, LLC; and Luc D. Nguyen Case number: 11-cv-00021 (United States District Court for the District of Utah) Case filed: January 6, 2011 Qualifying Judgment/Order: March 21, 2012	05/02/2012	07/31/2012
2012-041	SEC v. Timothy J. McGee, Michael W. Zirinsky, Robert L. Zirinsky, Paulo Lam, a/k/a Paul Lam, and Marianna Sze Wan Ho Case number: 12-cv-01296 (United States District Court for the Eastern District of Pennsylvania) Case filed: March 13, 2012 Qualifying Judgment/Order: March 16, 2012	05/02/2012	07/31/2012
2012-040	SEC v. Neal R. Greenberg Case number: 11-cv-00313 (United States District Court for the District of Colorado) Case filed: February 7, 2011 Qualifying Judgment/Order: March 13, 2012	05/02/2012	07/31/2012
2012-039	SEC v. Matthew J. Gagnon Case number: 10-cv-11891 (United States District Court for the Eastern District of Michigan) Case filed: May 11, 2010 Qualifying Judgment/Order: March 22, 2012	05/02/2012	07/31/2012
2012-038	SEC v. Brenda A. Eschbach Case number: 12-cv-00244 (United States District Court for the Central District of California) Case filed: February 14, 2012 Qualifying Judgment/Order: March 16, 2012	05/02/2012	07/31/2012
2012-037	SEC v. Laurence M. Brown a/k/a Lawrence M. Brown and Ronald J. Mangini Case number: 10-cv-05564 (United States District Court for the Southern District of New York) Case filed: July 22, 2010 Qualifying Judgment/Order: March 22, 2012	05/02/2012	07/31/2012
2012-036	SEC v. Biomet, Inc. Case number: 12-cv-00454 (United States District Court for the District of Columbia) Case filed: March 26, 2012 Qualifying Judgment/Order: March 27, 2012	05/02/2012	07/31/2012
2012-035	SEC v. Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P. Case number: 12-cv-00409 (United States District Court for the Southern District of New York) Case filed: January 18, 2012 Qualifying Judgment/Order: April 6, 2012	05/02/2012	07/31/2012
2012-034	SEC v. mUrgent Corporation, Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski Case number: 11-cv-00626 (United States District Court for the Central District of California) Case filed: April 21, 2011 Qualifying Judgment/Order: March 1, 2012	04/03/2012	07/02/2012
2012-033	In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh And Mark W. Wells Administrative Proceeding File No.: 3-13532 Case filed: June 30, 2009 Qualifying Judgment/Order: February 27, 2012	04/03/2012	07/02/2012
2012-032	SEC v. Nicos Achilleas Stephanou, Ramesh Chakrapania, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis, and Joseph Contorinis Case number: 09-cv-1043 (United States District Court for the Southern District of New York) Case filed: February 5, 2009 Qualifying Judgment/Order: February 29, 2012	04/03/2012	07/02/2012
2012-031	SEC v. Robert C. Butler Case number: 11-cv-03792 (United States District Court for the Central District of California) Case filed: May 3, 2011 Qualifying Judgment/Order: March 6, 2012	04/03/2012	07/02/2012
2012-030	SEC v. Smith & Nephew PLC Case number: 12-cv-00187 (United States District Court for the District of Columbia) Case filed: February 6, 2012 Qualifying Judgment/Order: March 6, 2012	04/03/2012	07/02/2012
2012-029	SEC v. Magnum d'Or Resources, Inc., Joseph J. Glusic, Shannon Allen, Dwight Flatt, and David Della Sciucca, Jr. Case number: 11-cv-60920 (United States District Court for the Southern District of Florida) Case filed: April 29, 2011 Qualifying Judgment/Order: February 13, 2012	04/03/2012	07/02/2012
2012-028	SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Kozlowski, and Frank T. Noyes Case number: 05-cv-00480 (United States District Court for the District of Colorado) Case filed: March 15, 2005 Qualifying Judgment/Order: February 3, 2012	04/03/2012	07/02/2012
2012-027	SEC v. Andrey C. Hicks and Locust Offshore Management, LLC Case number: 11-cv-11888 (United States District Court for the District of Massachusetts) Case filed: October 26, 2011 Qualifying Judgment/Order: March 20, 2012	04/03/2012	07/02/2012
2012-026	SEC v. Christopher T. Vulliez and Amphor Advisors, LLC Case number: 11-cv-03458 (United States District Court for the Southern District of New York) Case filed: May 20, 2011 Qualifying Judgment/Order: January 30, 2012	03/05/2012	06/03/2012
2012-025	SEC v. Symbol Technologies, Inc., Tomo Razmilovic, Kenneth Jaeggi, Leonard Goldner, Brian Burke, Michael Degennaro, Frank Borghese, Christopher Desantis, James Heuschneider, Gregory Mortenson, James Dean, and Robert Donlon Case number: 04-cv-02276 (United States District Court for the Eastern District of New York) Case filed: June 3, 2004 Qualifying Judgment/Order: January 24, 2012	03/05/2012	06/03/2012
2012-024	SEC v. Daniel E. Ruettiger, Rocco Brandonisio, Stephen Decesare, Pawel P. Dynkowski, Kevin S. Kaplan, Gregg R. Mulholland, Mehmet Mustafoglu, Joseph A. Padilla, Angelo R. Panetta, Kevin J. Quinn, Andrea M. Ritchie, Chad P. Smanjak, and Gary J. Yocom Case number: 11-cv-02011 (United States District Court for the District of Nevada) Case filed: December 16, 2011 Qualifying Judgment/Order: January 19, 2012	03/05/2012	06/03/2012
2012-023	SEC. v. Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC Case number: 11-cv-01143 (United States District Court for the Central District of California) Case filed: February 7, 2011 Qualifying Judgment/Order: January 25, 2012	03/05/2012	06/03/2012
2012-022	SEC v. Magyar Telekom, PLC and Deutsche Telekom, AG Case number: 11-cv-09646 (United States District Court for the Southern District of New York) Case filed: December 29, 2011 Qualifying Judgment/Order: January 3, 2012	03/05/2012	06/03/2012
2012-021	SEC v. James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt Case number: 11-cv-01712 (United States District Court for the District of Arizona) Case filed: August 30, 2011 Qualifying Judgment/Order: January 12, 2012	03/05/2012	06/03/2012
2012-020	SEC v. GE Funding Capital Market Services, Inc. Case number: 11-cv-07465 (United States District Court for the District of New Jersey) Case filed: December 23, 2011 Qualifying Judgment/Order: January 23, 2012	03/05/2012	06/03/2012
2012-019	SEC v. Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation Case number: 11-cv-02976 (United States District Court for the Central District of California) Case filed: April 8, 2011 Qualifying Judgment/Order: January 25, 2012	03/05/2012	06/03/2012
2012-018	SEC v. CytoCore, Inc., Daniel J. Burns, and Robert F. McCullough, Jr. Case number: 11-cv-00246 (United States District Court for the Northern District of Illinois) Case filed: January 13, 2011 Qualifying Judgment/Order: January 31, 2012	03/05/2012	06/03/2012
2012-017	SEC v. Carlo G. Chiaese and C.G.C. Advisors, LLC Case number: 10-cv-05110 (United States District Court for the District of New Jersey) Case filed: October 5, 2010 Qualifying Judgment/Order: January 19, 2012	03/05/2012	06/03/2012
2012-016	SEC v. Christopher Love Blackwell, AV Bar Reg, Inc., and Millers A Game, LLC Case number: 11-cv-00234 (United States District Court for the Northern District of Texas) Case filed: February 7, 2011 Qualifying Judgment/Order: January 4, 2012	03/05/2012	06/03/2012
2012-015	SEC v. Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser Case number: 11-cv-01564 (United States District Court for the Central District of California) Case filed: October 11, 2011 Qualifying Judgment/Order: February 3, 2012	03/05/2012	06/03/2012
2012-014	SEC v. Eric J. Aronson; Vincent J. Buonauro, Jr.; Robert S. Kondratick; Fredric H. Aaron; PermaPave Industries, LLC; PermaPave USA Corp.; PermaPave Distributions, Inc.; Permeable Solutions, Inc.; Verigreen, LLC; and Interlink-US-Network, Ltd. Case number: 11-cv-07033 (United States District Court for the Southern District of New York) Case filed: October 6, 2011 Qualifying Judgment/Order: January 19, 2012	03/05/2012	06/03/2012
2012-013	SEC v. Wachovia Bank, N.A. (n/k/a Wells Fargo Bank, N.A.) Case number: 11-cv-07135 (United States District Court for the District of New Jersey) Case filed: December 8, 2011 Qualifying Judgment/Order: December 9, 2011	02/01/2012	05/01/2012
2012-012	In the Matter of Gary S. Bell Administrative Proceeding File No.: 3-14660 Case filed: December 13, 2011 Qualifying Judgment/Order: December 13, 2011	02/01/2012	05/01/2012
2012-011	SEC v. Mark Anthony Longoria, Daniel L. Devore, James Fleishman Bob Nguyen, Winifred Jiau, Walter Shimoon, Samir Barai, Jason Pflaum, Bakai Capital Management, Noah Freeman, and Donald Longueuil Case number: 11-cv-00753 (United States District Court for the Southern District of New York) Case filed: February 3, 2011 Qualifying Judgment/Order: December 23, 2011	02/01/2012	05/01/2012
2012-010	SEC v. Alfred S. Teo, Sr., Teren Seto Handelman, MAAA Trust FBO Mark, Andrew, Alan, and Alfred Teo, Jr., John D. Reier, Charles D. Fortune, Jerrold J. Johnston, Mark J. Lauzon, Philip Sacks, Mitchell L. Sacks, Richard A. Herron, Lawrence L. Rosen, and David M. Ross Case number: 04-cv-01815 (United States District Court for the District of New Jersey) Case filed: April 22, 2004 Qualifying Judgment/Order: December 20, 2011	02/01/2012	05/01/2012
2012-009	In the Matter of Investment Placement Group and Adolfo Gonzalez-Rubio Administrative Proceeding File No.: 3-14677 Case filed: December 23, 2011 Qualifying Judgment/Order: December 23, 2011	02/01/2012	05/01/2012
2012-008	In the Matter of Touradji Capital Management, L.P., Respondent Administrative Proceeding File No.: 3-14658 Case filed: December 9, 2011 Qualifying Judgment/Order: December 9, 2011	02/01/2012	05/01/2012
2012-007	SEC v. Myron Weiner Case number: 11-cv-05731 (United States District Court for the Eastern District of New York Case filed: November 22, 2011 Qualifying Judgment/Order: December 19, 2011	02/01/2012	05/01/2012
2012-006	SEC v. Advanced Optics Electronics, Inc.; Leslie S. Robins; JDC Swan, Inc., and Jason Claffey Case number: 11-cv-01321 (United States District Court for the Southern District of New York) Case filed: February 25, 2011 Qualifying Judgment/Order: December 19, 2011	02/01/2012	05/01/2012
2012-005	SEC v. David Ronald Allen; William F. Burbank IV; Alex Dowlatshahi; Ilya Drapkin; Christopher Mills; Gerald Patera; Robert Wilson; Associates Capital Leasing Joint Venture; Associates Funding Group, Inc.; Capital Bankers Group, Ltd.; China Voice Holding Corp.; D-Cap Associates Joint Venture; Development Capital Associates Joint Venture; Integrity Driven Network Corp.; Lucrative Enterprises, Corp.; MG TK Corp.; Silver Summit Holdings, LLC; Sleeping Bear, LLC; Strategic Capital; Synergetic Solutions, LLC; Third Securities Corp., and Townhome Communities Corp. Case number: 11-cv-00882 (United States District Court for the Northern District of Texas) Case filed: April 28, 2011 Qualifying Judgment/Order: December 2, 2011	02/01/2012	05/01/2012
2012-004	SEC v. Aon Corporation Case number: 11-cv-02256 (United States District Court for the District of Columbia) Case filed: December 20, 2011 Qualifying Judgment/Order: December 22, 2011	02/01/2012	05/01/2012
2012-003	SEC v. Richard Dalton and Universal Consulting Resources LLC Case number: 10-cv-02794 (United States District Court for the District of Colorado) Case filed: November 16, 2010 Qualifying Judgment/Order: December 7, 2011	02/01/2012	05/01/2012
2012-002	SEC v. Market Street Advisors; Shawn R. Merriman; LLC-1; LLC-2; Marque LLC-3, and LLC-4 Case number: 09-cv-00786 (United States District Court for the District of Colorado) Case filed: April 7, 2009 Qualifying Judgment/Order: December 23, 2011	02/01/2012	05/01/2012
2012-001	SEC v. LandOak Securities, LLC; Patrick L. Martin; and Michael A. Atkins Case number: 08-cv-00209 (United States District Court for the Eastern District of Tennessee) Case filed: May 22, 2008 Qualifying Judgment/Order: December 1, 2011	02/01/2012	05/01/2012
2011-217	In the Matter of UBS Securities LLC Administrative Proceeding File No.: 3-14620 Case filed: November 10, 2011	01/09/2012	04/08/2012
2011-216	SEC v. Dr. Joseph F. "Chip" Skowron III and Dr. Yves M. Benhamou Case number: 10-cv-08266 (United States District Court for the Southern District of New York) Case filed: November 2, 2010	01/09/2012	04/08/2012
2011-215	SEC v. Seisma Oil Research, LLC, a/k/a Seisma Energy Research, LLC, Seisma Energy Research, AVV, a/k/a Seisma Oil Research, AVV, Permian Asset Management, AVV, and Justin Solomon Case number: 10-cv-00095 (United States District Court for the Northern District of Texas) Case filed: June 16, 2010	01/09/2012	04/08/2012
2011-214	SEC v. Seaforth Meridian, Ltd., Seaforth Meridian Advisors, LLC, Seaforth Meridian Management, LLC, Alaln A. Assemi, Timothy J. Clyman, John D. Friedrich, Scott F. Klion, a/k/a James S. Tucker, and David Tanner Case number: 06-cv-4107 (United States District Court for the District of Kansas) Case filed: September 14, 2006	01/09/2012	04/08/2012
2011-213	SEC v. The Regency Group, LLC, Scott F. Gelbard, Jeffrey S. Koslosky, Aaron S. Lamkin, John J. Coutris, Michael J. Coutris, J. Coutris Partners, LP, Joseph S. Fernando, Wellington Capital Enterprises, Inc., James J. Coutris, and Dimitrios I. Gountis Case number: 09-cv-00497 (United States District Court for the District of Colorado) Case filed: March 9, 2009	01/09/2012	04/08/2012
2011-212	SEC v. Par Three Financial, Inc. and Melvin D. Ruth Case number: 05-cv-80779 (United States District Court for the Southern District of Florida) Case filed: August 25, 2005	01/09/2012	04/08/2012
2011-211	In the Matter of Morgan Stanley Investment Management Inc. Administrative Proceeding File No.: 3-14628 Case filed: November 16, 2011	01/09/2012	04/08/2012
2011-210	SEC v. Cheng Yi Liang Case number: 11-cv-00819 (United States District Court for the District of Maryland) Case filed: March 29, 2011	01/09/2012	04/08/2012
2011-209	SEC v. Thomas S. Labry and Cherokee Gas Systems, Inc. Case number: 10-cv-00018 (United States District Court for the Central District of California) Case filed: January 7, 2010	01/09/2012	04/08/2012
2011-208	SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman Case number: 11-cv-60432 (United States District Court for the Southern District of Florida) Case filed: February 28, 2011	01/09/2012	04/08/2012
2011-207	SEC v. Maynard L. Jenkins Case number: 09-cv-01510 (United States District Court for the District of Arizona) Case filed: July 22, 2009	01/09/2012	04/08/2012
2011-206	SEC v. George Wesley Harris, and Giant Operating, LLC Case number: 09-cv-01809 (United States District Court for the Northern District of Texas) Case filed: September 28, 2009	01/09/2012	04/08/2012
2011-205	In the Matter of FTN Financial Securities Corp. Administrative Proceeding File No.: 3-14632 Case filed: November 17, 2010	01/09/2012	04/08/2012
2011-204	SEC v. Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal, Schotenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman Case number: 09-cv-09208 (United States District Court for the Southern District of New York) Case filed: November 5, 2009	01/09/2012	04/08/2012
2011-203	SEC v. Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, Younger America, Inc. f/k/a Infinity Acquisition Corp., and James E. Pratt Case number: 09-cv-80524 (United States District Court for the Southern District of Florida) Case filed: April 2, 2009	01/09/2012	04/08/2012
2011-202	SEC v. America's Hedge Fund, L.P., Worldwide Partners LLC, and Christian Kuretski Case number: 04-cv-04640 (United States District Court for the Eastern District of New York) Case filed: October 28, 2004	12/01/2011	02/29/2012
2011-201	In the Matter of Banco Espirito Santo S.A. Administrative Proceeding File No.: 3-14599 Case filed: October 24, 2011	12/01/2011	02/29/2012
2011-200	In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management LLC, and Samir H. Bhatt Administrative Proceeding File No.: 3-14594 Case filed: October 19, 2011	12/01/2011	02/29/2012
2011-199	SEC v. Drake Asset Management LLC, and Oliver R. Grace, Jr. Case number: 11-cv-01905 (United States District Court for the District of Columbia) Case filed: October 31, 2011	12/01/2011	02/29/2012
2011-198	SEC v. Norman Forrest Germany, Germany Energy Company, and Eb Germany & Sons, LLC Case number: 11-cv-01252 (United States District Court for the Northern District of Texas) Case filed: June 10, 2011	12/01/2011	02/29/2012
2011-197	SEC v. Integrity Financial AZ LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller Case number: 10-cv-00782 (United States District Court for the Northern District of Ohio) Case filed: April 14, 2010	12/01/2011	02/29/2012
2011-196	SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton Case number: 07-cv-03444 (United States District Court for the Northern District of California) Case filed: July 2, 2007	12/01/2011	02/29/2012
2011-195	SEC v. Gregory N. McKnight, and Legisi Holdings, LLC Case number: 08-cv-11887 (United States District Court for the Eastern District of Michigan) Case filed: May 5, 2008	12/01/2011	02/29/2012
2011-194	In the Matter of Pipeline Trading Systems LLC, Fred J. Federspiel, and Alfred R. Berkeley III Administrative Proceeding File No.: 3-14600 Case filed: October 24, 2011	12/01/2011	02/29/2012
2011-193	SEC v. Trade-LLC, Philip W. Milton, and William H. Center Case number: 10-cv-80737 (United States District Court for the Southern District of Florida) Case filed: June 22, 2010	12/01/2011	02/29/2012
2011-192	In the Matter of Watts Water Technologies, Inc. and Leesen Chang Administrative Proceeding File No.: 3-14585 Case filed: October 13, 2011	12/01/2011	02/29/2012
2011-191	In the Matter of RBC Capital Markets, LLC Administrative Proceeding File No.: 3-14564 Case filed: September 27, 2011	11/01/2011	01/30/2012
2011-190	SEC v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy Case number: 09-cv-02676 (United States District Court for the District of Colorado) Case filed: November 16, 2009	11/01/2011	01/30/2012
2011-189	SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC Case number: 11-cv-00056 (United States District Court for the Northern District of Georgia) Case filed: January 6, 2011	11/01/2011	01/30/2012
2011-188	SEC v. James O'Leary, CPA Case number: 11-cv-2901 (United States District Court for the Northern District of Georgia) Case filed: August 30, 2011	11/01/2011	01/30/2012
2011-187	In the Matter of Hector Gallardo, Michael Zurita, and Orion Trading, LLC Administrative Proceeding File No.: 3-14139 Case filed: September 28, 2011	11/01/2011	01/30/2012
2011-186	In the Matter of Barr M. Rosenberg Administrative Proceeding File No.: 3-14559 Case filed: September 22, 2011	11/01/2011	01/30/2012
2011-185	SEC v. Anthony J. Scolaro, Jr. Case number: 11-cv-06112 (United States District Court for the Southern District of New York) Case filed: August 31, 2011	10/05/2011	01/03/2012
2011-184	SEC v. Striker Petroleum, LLC, Mark S. Roberts, and Christopher E. Pippin Case number: 09-cv-02304 (United States District Court for the Northern District of Texas) Case filed: December 3, 2009	10/05/2011	01/03/2012
2011-183	SEC v. Pharma Holdings, Inc., Edward Klapp IV, and Edward Klapp Jr. Case number: 10-cv-81615 (United States District Court for the Southern District of Florida) Case filed: December 22, 2010	10/05/2011	01/03/2012
2011-182	SEC v. Wellco Energy LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White Case number: 09-cv-01114 (United States District Court for the District of Colorado) Case filed: May 14, 2009	10/05/2011	01/03/2012
2011-181	SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc. Case number: 09-cv-07594 (United States District Court for the Southern District of New York) Case filed: September 1, 2009	10/05/2011	01/03/2012
2011-180	SEC v. Nova Gen Corporation, Margaret Grey, and Paul Randall Fraley Case number: 09-cv-02711 (United States District Court for the Southern District of California) Case filed: December 3, 2009	10/05/2011	01/03/2012
2011-179	SEC v. Joseph R. Porche, Larry R Crowder, Konrad Kafarski, Carlton L. Williams, Gary K. Juncker, and Dale J. Engelhardt Case number: 10-cv-01165 (United State District Court for the Central District of California) Case filed: August 4, 2010	10/05/2011	01/03/2012
2011-178	SEC v. Eagle Development Enterprises, Inc., a Nevada corporation; Eagle Storage & Development, LLC, an Arizona limited liability company; Eagle Aviation Sales & Leasing, LLC, a California limited liability company; and Michael J. Bowen Case number: 09-cv-01470 (United States District Court for the Central District of California) Case filed: December 14, 2009	10/05/2011	01/03/2012
2011-177	SEC v. John Clement and Edgefund Capital, LLC Case number: 11-cv-01034 (United States District Court for the Southern District of California) Case filed: May 11, 2011	10/05/2011	01/03/2012
2011-176	SEC v. LADP Acquisition, Inc., William A. Goldstein, and Marc E. Bercoon Case number: 10-cv-06835 (United States District Court for the Central District of California) Case filed: September 14, 2010	10/05/2011	01/03/2012
2011-175	SEC v. Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson, and Roger A. Wittenbach Case number: 11-cv-01168 (United States District Court for the Central District of California) Case filed: August 4, 2011	10/05/2011	01/03/2012
2011-174	SEC v. Gregory L. Reyes, Antonio Canova, and Stephanie Jensen Case number: 06-cv-04435 (United States District Court for the Northern District of California) Case filed: July 20, 2006	10/05/2011	01/03/2012
2011-173	SEC v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland Case number: 09-cv-02302 (United States District Court for the District of Northern California) Case filed: May 26, 2009	10/05/2011	01/03/2012
2011-172	SEC v. David A. Souza and D.A. Souza Investments, LLC Case number: 09-cv-02421(United States District Court for the Eastern District of California) Case filed: August 28, 2009	10/05/2011	01/03/2012
2011-171	SEC v. Provident Royalties, LLC, Provident Asset Management, LLC, Provident Energy 1, LP, Provident Resources 1, LP, Provident Energy 2, LP, Provident Energy 3, LP, Shale Royalties II, Inc., Shale Royalties 3, LLC, Shale Royalties 4, Inc., Shale Royalties 5, Inc., Shale Royalties 6, Inc., Shale Royalties 7, Inc., Shale Royalties 8, Inc., Shale Royalties 9, Inc., Shale Royalties 10, Inc., Shale Royalties 12, Inc., Shale Royalties 14, Inc., Shale Royalties 15, Inc., Shale Royalties 16, Inc., Shale Royalties 17, Inc., Shale Royalties 18, Inc., Shale Royalties 19, Inc., Shale Royalties 20, Inc., Paul R. Melbye, Brendan W. Coughlin, and Henry D. Harrison, defendants and Shale Royalties 21, Inc., Shale Royalties 22, Inc., Provident Operating Company, LLC, Somerset Lease Holdings, Inc., and Somerset Development, Inc. Case number: 09-cv-01238 (United States District Court for the Northern District of Texas) Case filed: July 2, 2009	10/05/2011	01/03/2012
2011-170	SEC v. ZNext Mining Corporation, Inc. and Elvira G. Gamboa Case number: 09-cv-02611 (United States District Court for the Northern District of California) Case filed: June 12, 2009	08/12/2011	11/10/2011
2011-169	SEC v. Louis W. Zehil, Strong Branch Ventures IV LP, and Chestnut Capital Partners II, LLC Case number: 07-cv-01439 (United States District Court for the Southern District of New York) Case filed: February 28, 2007	08/12/2011	11/10/2011
2011-168	SEC v. Travis L. Wright Case number: 10-cv-00602 (United States District Court for the District of Utah) Case filed: July 2, 2010	08/12/2011	11/10/2011

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