SEC Notices of Covered Actions Dec 2017-Feb 2018

Mary Jane Wilmoth

Published On: March 16th, 2018

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
FEBRUARY 2018

2018-22New	SEC v. Michael L. Hudson Case Number: 17-cv-00520 (United Stated District Court for the Southern District of Ohio) Date Filed: August 4, 2017 Date of Qualifying Judgment/Order: January 9, 2018	02/28/2018	05/29/2018
2018-21New	SEC v. Thomas Edward Andrews and Scott Walter Christensen Case Number: 17-cv-00256 (United Stated District Court for the District of Utah) Date Filed: April 5, 2017 Date of Qualifying Judgment/Order: January 29, 2018	02/28/2018	05/29/2018
2018-20New	SEC v. Marquis Properties, LLC, Chad Deucher, and Richard Clatfelter Case Number: 16-cv-00040 (United States District Court for the District of Utah) Date Filed: January 19, 2016 Date of Qualifying Judgment/Order: January 30, 2018	02/28/2018	05/29/2018
2018-19New	SEC v. Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc. Case Number: 16-cv-05143 (United States District Court for the Eastern District of Pennsylvania) Date Filed: September 28, 2016 Date of Qualifying Judgment/Order: November 30, 2017	02/28/2018	05/29/2018
2018-18New	SEC v. Brian A. Bjork; Estate of Joel David Salinas; J. David Group of Companies, Inc.; J. David Financial Group, L.P.; Select Asset Management, LLC; Select Capital Management, LLC; Select Asset Fund I, LLC; and Select Asset Prime Index Fund, LLC Case Number: 11-cv-02830 (United States District Court for the Southern District of Texas) Date Filed: August 1, 2011 Date of Qualifying Judgment/Order: January 8, 2018	02/28/2018	05/29/2018
2018-17New	SEC v. U.S. EB-5 Investments LLC, Oakland Office Holdings LLC, B.X Wok Construction LLC, US Investment LLC d/b/a US Investment FL LLC, Top Sun Energy LLC, Ocean Blvd. Family Limited Partnership, Ltd., B.X Property Management LLC, US1 Real Estate Developments, LLC, and Investor Asset Protection, LLC Case Number: 15-cv-62323 (United States District Court for the Southern District of Florida) Date Filed: November 3, 2015 Date of Qualifying Judgment/Order: January 22, 2018	02/28/2018	05/29/2018
2018-16New	In the Matter of Industrial and Commercial Bank of China Financial Services LLC Administrative Proceeding File No.: 3-18341 Date Filed: January 18, 2018 Date of Qualifying Judgment/Order: January 18, 2018	02/28/2018	05/29/2018
2018-15New	SEC v. David B. Kaplan, Esq., Synchronized Organizational Solutions, LLC, Synchronized Organizational Solutions International, Ltd., and Manna International Enterprises, Inc. Case Number: 16-cv-00270 (United States District Court for the District of Nevada) Date Filed: May 19, 2016 Date of Qualifying Judgment/Order: January 9, 2018	02/28/2018	05/29/2018
2018-14New	SEC v. Hadsell Chemical Processing, LLC and Robert Walton, Jr. Case Number: 17-cv-00432 (United States District Court for the Southern District of Ohio) Date Filed: May 17, 2017 Date of Qualifying Judgment/Order: February 1, 2018	02/28/2018	05/29/2018
2018-13New	SEC v. Geoffrey H. Lunn, Darlene A. Bishop, and Vincent G. Curry Case Number: 12-cv-02767 (United States District Court for the District of Colorado) Date Filed: October 18, 2012 Date of Qualifying Judgment/Order: January 31, 2018	02/28/2018	05/29/2018
2018-12New	SEC v. David S. Haddad, Trafalgar Square Risk Management, LLC, and New England RE, LLC Case Number: 18-cv-00055 (United States District Court for the District of Connecticut) Date Filed: January 11, 2018 Date of Qualifying Judgment/Order: January 18, 2018	02/28/2018	05/29/2018
2018-11New	SEC v. Eric J. McPhail, Douglas A. Parigian, John J. Gilmartin, Douglas Clapp, James A. Drohen, John C. Drohen, and Jamie A. Meadows Case Number: 14-cv-12958 (United States District Court for the District of Massachusetts) Date Filed: July 11, 2014 Date of Qualifying Judgment/Order: January 11, 2018	02/28/2018	05/29/2018
JANUARY 2018
2018-10	SEC v. John V. Bivona; Saddle River Advisors, LLC; SRA Management Associates, LLC; Frank Gregory Mazzola Case Number: 16-cv-01386 (United States District Court for the Northern District of California) Date Filed: March 22, 2016 Date of Qualifying Judgment/Order: December 22, 2017	01/31/2018	05/01/2018
2018-9	In the Matter of Train, Babcock Advisors LLC Administrative Proceeding File No.: 3-18324 Date Filed: December 22, 2017 Date of Qualifying Judgment/Order: December 22, 2017	01/31/2018	05/01/2018
2018-8	SEC v. Enviro Board Corporation, Glenn B. Camp, William J. Peiffer, and Joshua D. Mosshart Case Number: 16-cv-06427 (United States District Court for the Central District of California) Date Filed: August 26, 2016 Date of Qualifying Judgment/Order: December 6, 2017	01/31/2018	05/01/2018
2018-7	In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Administrative Proceeding File No.: 3-18318 Date Filed: December 21, 2017 Date of Qualifying Judgment/Order: December 21, 2017	01/31/2018	05/01/2018
2018-6	In the Matter of Ameriprise Financial Services, Inc. Administrative Proceeding File No.: 3-18301 Date Filed: December 8, 2017 Date of Qualifying Judgment/Order: December 8, 2017	01/31/2018	05/01/2018
2018-5	In the Matter of TPG Capital Advisors, LLC Administrative Proceeding File No.: 3-18317 Date Filed: December 21, 2017 Date of Qualifying Judgment/Order: December 21, 2017	01/31/2018	05/01/2018
2018-4	SEC v. Jason A. Halek, Joshua D. Spivey, Patrick J. Booths, and Steven J. Little Case Number: 14-cv-01106 (United States District Court for the Northern District of Texas) Date Filed: March 28, 2014 Date of Qualifying Judgment/Order: November 30, 2017	01/31/2018	05/01/2018
2018-3	SEC v. Team Resources, Inc., Fossil Energy Corporation, Kevin A. Boyles, Philip A. Dressner, Michael Eppy, Andrew Stitt, and John Olivia Case Number: 15-cv-01045 (United States District Court for the Northern District of Texas) Date Filed: April 6, 2015 Date of Qualifying Judgment/Order: November 20, 2017	01/31/2018	05/01/2018
2018-2	SEC v. Thomas J. Buck Case Number: 17-cv-03984 (United States District Court for the Southern District of Indiana) Date Filed: October 31, 2017 Date of Qualifying Judgment/Order: December 21, 2017	01/31/2018	05/01/2018
2018-1	SEC v. Boston Trading and Research, LLC, Ahmet Devrim Akyil, and Craig Karlis Case Number: 10-cv-11841 (United States District Court for the District of Massachusetts) Date Filed: October 28, 2010 Date of Qualifying Judgment/Order: December 12, 2017	01/31/2018	05/01/2018

Notice No.	Action	Notice Date	Claim Due Date
DECEMBER 2017

2017-175	SEC v. Naris Chamroonrat, Yaniv Avnon, Ran Armon, G Six Trading Y.R. Ltd., and Adam L. Plumer, and NKO Holdings Co. Ltd. Case Number: 16-cv-09403 (United States District Court for the District of New Jersey) Date Filed: December 21, 2016 (amended May 11, 2017) Date of Qualifying Judgment/Order: November 21, 2017	12/29/2017	03/29/2018
2017-174	SEC v. Ming Zhao and Liping Zhu Case Number: 12-cv-01316 (United States District Court for the Southern District of New York) Date Filed: February 22, 2012 Date of Qualifying Judgment/Order: July 24, 2015	12/29/2017	03/29/2018
2017-173	SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab Case Number: 17-cv-04866 (United States District Court for the Southern District of New York) Date Filed: June 28, 2017 Date of Qualifying Judgment/Order: November 20, 2017	12/29/2017	03/29/2018
2017-172	SEC v. Osiris Therapeutics, Inc., Philip R. Jacoby, Jr., Gregory I. Law, Lode B. Debrabandere, Bobby Dwayne Montgomery Case Number: 17-cv-03230 (United States District Court for the District of Maryland) Date Filed: November 2, 2017 Date of Qualifying Judgment/Order: November 7, 2017	12/29/2017	03/29/2018
2017-171	In the Matter of Wells Fargo Advisors, LLC Administrative Proceeding File No.: 3-18279 Date Filed: November 13, 2017 Date of Qualifying Judgment/Order: November 13, 2017	12/29/2017	03/29/2018
2017-170	SEC v. Imperial Petroleum, Inc., Jeffrey Wilson, Craig Ducey, Chad Ducey, Brian Carmichael, Joseph Furando, Evelyn Katirina Pattison (a/k/a Katirina Tracy), Caravan Trading, LLC, CIMA Green, LLC, and CIMA Energy Group Case Number: 13-cv-01489 (United States District Court for the Southern District of Indiana) Date Filed: September 18, 2013 Date of Qualifying Judgment/Order: November 28, 2017	12/29/2017	03/29/2018
2017-169	SEC v. Capital Financial Partners, LLC, Capital Financial Holdings, LLC, Capital Financial Partners Enterprises, LLC, William D. Allen and Susan C. Daub Case Number: 15-cv-11447 (United States District Court for the District of Massachusetts) Date Filed: April 1, 2015 Date of Qualifying Judgment/Order: November 17, 2017	12/29/2017	03/29/2018