SEC Notices of Covered Actions Aug & Sept 2017
The SEC Office of the Whistleblower posts Notices of Covered 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. Subject to the Final Rules, individuals who voluntarily provided the Commission 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 by the SEC, individuals have 90 calendar days to apply for an award.
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| SEPTEMBER 2017 | |||
| 2017-145New | SEC v. Wensheng Lin and Sheng Li Chen Case Number: 17-cv-03054 (United States District Court for the Southern District of New York) Date Filed: April 26, 2017 Date of Qualifying Judgment/Order: August 25, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-144New | In the Matter of Banca IMI Securities Corp. Administrative Proceeding File No.: 3-18118 Date Filed: August 18, 2017 Date of Qualifying Judgment/Order: August 18, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-143New | SEC v. Jay Belson, Smarte Real Estate Investments, Inc., Jack Rockman, LLC, John Blackstone LLC, Residence at St. Ives, LLC, and Bellagio Place Residence, LLC Case Number: 17-cv-05953(United States District Court for the Central District of California) Date Filed: August 10, 2017 Date of Qualifying Judgment/Order: August 15, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-142New | SEC v. Hui Feng and Law Offices of Feng & Associates P.C. Case Number: 15-cv-09420 (United States District Court for the Central District of California) Date Filed: December 7, 2015 Date of Qualifying Judgment/Order: August 11, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-141New | In the Matter of Vertical Capital Asset Management, LLC, Vertical Fund Group, Inc., Vertical Recovery Management, LLC, Gustavo A. Altuzarra, and Christopher R. Chase Administrative Proceeding File No.: 3-18125 Date Filed: August 22, 2017 Date of Qualifying Judgment/Order: August 22, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-140New | In the Matter of Deerfield Management Company, L.P. Administrative Proceeding File No.: 3-18120 Date Filed: August 21, 2017 Date of Qualifying Judgment/Order: August 21, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-139New | SEC v. Inteligentry, Ltd., PlasmERG, Inc., and John P. Rohner Case Number: 13-cv-00344 (United States District Court for the District of Nevada) Date Filed: February 28, 2013 Date of Qualifying Judgment/Order: July 17, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-138New | SEC v. Darrell Glenn Hardaway and Hardaway Net-Works, Inc. Case Number: 17-cv-00529 (United States District Court for the Southern District of Texas) Date Filed: February 17, 2017 Date of Qualifying Judgment/Order: August 11, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-137New | SEC v. Hidalgo Mining Corp., John W. Boyer, and Joshua F. McAlees Case Number: 17-cv-80916 (United States District Court for the Southern District of Florida) Date Filed: August 4, 2017 Date of Qualifying Judgment/Order: August 15, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-136New | In the Matter of Allen Chi Administrative Proceeding File No.: 3-18121 Date Filed: August 21, 2017 Date of Qualifying Judgment/Order: August 21, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-135New | In the Matter of Coachman Energy Partners LLC and Randall D. Kenworthy Administrative Proceeding File No.: 3-18109 Date Filed: August 14, 2017 Date of Qualifying Judgment/Order: August 14, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-134New | SEC v. Donald J. Lester, Rubicon Alliance, LLC, CFI Fund, LLC, and NuPower, LLC Case Number: 15-cv-02301 (United States District Court for the District of Colorado) Date Filed: October 16, 2015 Date of Qualifying Judgment/Order: July 26, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-133New | SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino “Dino” Paolucci, Jr., and Don L. Rose Case Number: 16-cv-05176 (United States District Court for the Eastern District of Pennsylvania) Date Filed: September 29, 2016 Date of Qualifying Judgment/Order: August 10, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-132New | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-18158 Date Filed: September 7, 2017 Date of Qualifying Judgment/Order: September 7, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-131New | In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC, and State Street Bank and Trust Company Administrative Proceeding File No.: 3-18159 Date Filed: September 7, 2017 Date of Qualifying Judgment/Order: September 7, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-130New | SEC v. Southridge Capital Management LLC, Southridge Advisors LLC, and Stephen M. Hicks Case Number: 10-cv-01685 (United States District Court for the District of Connecticut) Date Filed: October 25, 2010 Date of Qualifying Judgment/Order: August 3, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-129New | In the Matter of Ironridge Global Partners, LLC, and Ironridge Global IV, Ltd. Administrative Proceeding File No.: 3-16649 Date Filed: August 21, 2017 Date of Qualifying Judgment/Order: August 21, 2017 |
09/29/2017 | 12/28/2017 |
| 2017-128New | In the Matter of KPMG LLP and John Riordan, CPA Administrative Proceeding File No.: 3-18110 Date Filed: August 15, 2017 Date of Qualifying Judgment/Order: August 15, 2017 |
09/29/2017 | 12/28/2017 |
| AUGUST 2017 | |||
| 2017-127 | In the Matter of Cadaret, Grant & Co., Inc. Administrative Proceeding File No.: 3-18087 Date Filed: August 1, 2017 Date of Qualifying Judgment/Order: August 1, 2017 |
08/31/2017 | 11/29/2017 |
| 2017-126 | SEC v. Marcus A Luna, Norrell L. Walker, Paul L. Gomez, and Dustin S. Smith Case Number: 16-cv-07333 (United States District Court for the Central District of California) Date Filed: September 29, 2016 Date of Qualifying Judgment/Order: July 19, 2017 |
08/31/2017 | 11/29/2017 |
| 2017-125 | In the Matter of Halliburton Company and Jeannot Lorenz Administrative Proceeding File No.: 3-18080 Date Filed: July 27, 2017 Date of Qualifying Judgment/Order: July 27, 2017 |
08/31/2017 | 11/29/2017 |
| 2017-124 | SEC v. Christopher J. Hall Case Number: 15-cv-23489 (United States District Court for the Southern District of Florida) Date Filed: September 17, 2015 Date of Qualifying Judgment/Order: June 29, 2017 |
08/31/2017 | 11/29/2017 |
| 2017-123 | SEC v. Trudy R. Gilmond Case Number: 15-cv-00591 (United States District Court for the Western District of North Carolina) Date Filed: December 4, 2015 Date of Qualifying Judgment/Order: June 21, 2017 |
08/31/2017 | 11/29/2017 |
| 2017-122 | SEC v. Andrew I. Farmer, Charles E. Grob, Jr., Carolyn Austin, Baldemar P. Rios, and Chimera Energy Corp. Case Number: 14-cv-02345 (United States District Court for the Southern District of Texas) Date Filed: August 14, 2014 Date of Qualifying Judgment/Order: July 18, 2017 |
08/31/2017 | 11/29/2017 |
| 2017-121 | SEC v. Joey Stanton Dodson Case Number: 17-cv-05520 (United States District Court for the Central District of California) Date Filed: July 26, 2017 Date of Qualifying Judgment/Order: July 27, 2017 |
08/31/2017 | 11/29/2017 |
| 2017-120 | SEC v. Thomas J. Lawler and Freedom Foundation USA LLC dba Freedom Club USA Case Number: 14-cv-02468 (United States District Court for the Northern District of Georgia) Date Filed: July 31, 2014 Date of Qualifying Judgment/Order: June 29, 2017 |
08/31/2017 | 11/29/2017 |
