SEC Notices of Covered Actions Aug & Sept 2017

Published On: October 2nd, 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
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