SEC Whistleblower Awards List –April & May 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 |
|---|---|---|---|
| 2017-96 | In the Matter of MagnaChip Semiconductor Corporation and Maragret Hye-Ryoung Sakai, CPA Administative Proceeding File No.: 3-17956 Date Filed: May 1, 2017 Date of Qualifying Judgment/Order: May 1, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-95 | In the Matter of BlackRock Fund Advisors Administative Proceeding File No.: 3-17942 Date Filed: April 25, 2017 Date of Qualifying Judgment/Order: April 25, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-94 | In the Matter of Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. Administrative Proceeding File No.: 3-17964 Date Filed: May 2, 2017 Date of Qualifying Judgment/Order: May 2, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-93 | SEC v. McGinn Smith & Co., Inc., McGinn Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes LLC, Third Albany Income Notes, LLC, Timothy M. McGinn, David L. Smith, Lynn A. Smith, Geoffrey R. Smith, Lauren T. Smith, and Nancy McGinn Case Number: 10-cv-00457 (United States District Court for the Northern District of New York) Date Filed: April 20, 2010 Date of Qualifying Judgment/Order: July 8, 2015 |
05/31/2017 | 08/29/2017 |
| 2017-92 | SEC v. Scott Allen and John Michael Bennett Case Number: 11-cv-06443 (United States District Court for the Southern District of New York) Date Filed: September 15, 2011 Date of Qualifying Judgment/Order: April 4, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-91 | SEC v. Janus Spectrum LLC; David Alcorn; Kent Maerki; Dominion Private Client Group, LLC; Janus Spectrum Group, LLC; Spectrum Management, LLC; Spectrum 100, LLC; Spectrum 100 Management, LLC; Prime Spectrum, LLC; Prime Spectrum Management, LLC; Daryl G. Bank; Premier Spectrum Group, PMA; Bobby D. Jones; Innovative Group, PMA; Premier Group, PMA; Prosperity Group, PMA; Terry W. Johnson; and Raymon G. Chadwick, Jr. Case Number: 15-cv-00609 (United States District Court for the District of Arizona) Date Filed: April 9, 2015 Date of Qualifying Judgment/Order: April 27, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-90 | SEC v. Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese Case Number: 03-cv-01514 (United States District Court for the District of Arizona) Date Filed: December 4, 2003 Date of Qualifying Judgment/Order: February 14, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-89 | SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler Case Number: 17-cv-00243 (United States District Court for the District of South Carolina) Date Filed: January 26, 2017 Date of Qualifying Judgment/Order: April 24, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-88 |
In the Matter of Credit Suisse Securities (USA) LLC In the Matter of Sanford Michael Katz |
05/31/2017 | 08/29/2017 |
| 2017-87 | SEC v. Michael Andre Jones Case Number: 17-cv-02413 (United States District Court for the Central District of California) Date Filed: March 29, 2017 Date of Qualifying Judgment/Order: April 5, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-86 | SEC v. Provident Capital Indemnity, LTD., Minor Vargas Calvo, and Jorge L. Castillo Case Number: 11-cv-00045 (United States District Court for the Eastern District of Virginia) Date Filed: January 19, 2011 Date of Qualifying Judgment/Order: July 10, 2012 |
05/31/2017 | 08/29/2017 |
| 2017-85 | SEC v. Todd Farha, Paul Behrens, and Thaddeus Bereday Case Number: 12-cv-00047 (United States District Court for the Middle District of Florida) Date Filed: January 09, 2012 Date of Qualifying Judgment/Order: April 17, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-84 | SEC v. Mercury Interactive, LLC (F/K/A Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer Case Number: 07-cv-02822 (United States District Court for the Northern District of California) Date Filed: May 31, 2007 Date of Qualifying Judgment/Order: February 21, 2013 |
05/31/2017 | 08/29/2017 |
| 2017-83 | SEC v. Jeffrey A. McCollum and JNL Oilfield Instruments, LLC Case Number: 16-cv-00282 (United States District Court for the Western District of Texas) Date Filed: July 27, 2016 Date of Qualifying Judgment/Order: April 11, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-82 | SEC v. Marco A. Ramirez; Bebe Ramirez; USA Now, LLC, USA Now Energy Capital Group, LP; and Now Co. Loan Services LLC Case Number: 13-cv-00531 (United States District Court for the Southern District of Texas) Date Filed: September 30, 2013 Date of Qualifying Judgment/Order: March 31, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-81 | In the Matter of William Blair & Company, LLC Administrative Proceeding File No.: 3-17960 Date Filed: May 1, 2017 Date of Qualifying Judgment/Order: May 1, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-80 | SEC v. Thomas J. Connerton and Safety Technologies, LLC Case Number: 16-cv-00882 (United States District Court for the District of Connecticut) Date Filed: June 8, 2016 Date of Qualifying Judgment/Order: April 4, 2017 |
05/31/2017 | 08/29/2017 |
| 2017-79 | In the Matter of Voya Financial Advisors, Inc. Administative Proceeding File No.: 3-17870 Date Filed: March 8, 2017 Date of Qualifying Judgment/Order: March 8, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-78 | SEC v. Path America, LLC; Path America SnoCo LLC; Path America Farmer’s Market, LP; Path America KingCo LLC; Path America Tower, LP; Path Tower Seattle, LP; Potala Tower Seattle, LLC; and Lobsang Dargey Case Number: 15-cv-01350 (United States District Court for the Western District of Washington) Date Filed: August 24, 2015 Date of Qualifying Judgment/Order: March 3, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-77 | In the Matter of Bennett Group Financial Services, LLC, and Dawn J. Bennett Adminstrative Proceeding File No.: 3-16801 Date Filed: September 9, 2015 Date of Qualifying Judgment/Order: March 30, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-76 | In the Matter of Louis Capital Markets, LP Adminstrative Proceeding File No.: 3-17890 Date Filed: March 29, 2017 Date of Qualifying Judgment/Order: March 29, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-75 | SEC vs. Gregory W. Gray, Jr., Archipel Capital LLC, BIM Management LP Case Number: 15-cv-01465 (United States District Court for the Southern District of New York) Date Filed: Feburary 27, 2015 Date of Qualifying Judgment/Order: January 10, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-74 | SEC vs. Harold Bailey “B.J.” Gallison, II (A.K.A. Bart Williams, Moneyline Brokers, Bastille Advisors, Inc., Club Consultants Inc., Jurojin, Inc., Sandias Azucaradas CR, S.A., Vanilla Sky, S.A., Roger G. Coleman, Sr., Ann “Anna” M. Hiskey, Robin M. Rushing, David K. Rushing, Michael J. Randles, Warrior Girl Corp., Carl H. Kruse, Sr., Carl H. Kruse Jr., (A.K.A. Carl Kruse-Velasquez), Allan M. Migdall, Nature’s Peak F.K.A. Everock, Inc., Frank J. Zangara, Mark S. Dresner, Charles “Chuck” S. Moeller, Robert S. Oppenheimer, Antonio (“Tony” or “Anthony”) J. Katz, Richard S. Roon, Fryn Canyon Corporation, L.F. Technology Group LLC, Starburst Innovations LLC, Tachion Projects, Inc., B.H.I. Group, Inc., U D F Consulting Inc., Digital Edge Marketing LLC, Core Business One, Inc., Spectrum Research Group Inc., Oceanic Consulting LLC, and Akat Global LLC Case Number: 15-cv-05456 (United States District Court for the Southern District of New York) Date Filed: July 15, 2015 Date of Qualifying Judgment/Order: March 10, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-73 | SEC v. Warren D. Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC Case Number: 11-cv-00215 (United States District Court for the Eastern District of New York) Date Filed: January 14, 2011 Date of Qualifying Judgment/Order: January 20, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-72 | SEC v. Steve Chen, USFIA, Inc., Alliance Financial Group, Inc., Amauction, Inc., Aborell MGMT I, LLC, Aborell Advisors I, LLC, Aborell REIT II, LLC, Ahome Real Estate, LLC, Alliance NGN, Inc., Apollo REIT I, Inc., Apollo REIT II, LLC, Amkey Inc., US China Consultation Association, and Quail Ranch Golf Course, LLC Case Number: 15-cv-07425 (United States District Court for the Central District of California) Date Filed: September 29, 2015 Date of Qualifying Judgment/Order: March 16, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-71 | SEC v. Notis Global, Inc. (f/k/a MedBox, Inc.), Vincent Mehdizadeh, Bruce Bedrick, Yocelin Legaspi, and New-Age Investment Consulting, Inc. Case Number: 17-cv-01905 (United States District Court for the Central District of California) Date Filed: March 9, 2017 Date of Qualifying Judgment/Order: March 22, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-70 | SEC v. Nathan Halsey and TexStar Oil Co., Ltd. Case Number: 16-cv-00450 (United States District Court for the Northern District of Texas) Date Filed: February 17, 2016 Date of Qualifying Judgment/Order: March 20, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-69 | SEC v. Arcturus Corporation, Aschere Energy, LLC, Leon Ali Parvizian a/k/a Alex Parvizian, Alfredo Gonzalez, AMG Energy, LLC, Robert J. Balunas, and R. Thomas & Co., LLC Case Number: 13-cv-04861 (United States District Court for the Northern District of Texas) Date Filed: December 12, 2013 Date of Qualifying Judgment/Order: March 2, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-68 | In the Matter of Sheldon Rose and MKJJ Consulting LLC Administrative Proceeding File No.: 3-17559 Date Filed: March 23, 2017 Date of Qualifying Judgment/Order: March 23, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-67 | SEC v. Clayton A. Cohn and Marketaction Advisors, LLC Case Number: 13-cv-05586 (United States District Court for the Northern District of Illinois) Date Filed: August 6, 2013 Date of Qualifying Judgment/Order: March 30, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-66 | SEC v. Oscar F. Villarreal Case Number: 14-cv-01891 (United States District Court for the Northern District of Ohio) Date Filed: August 26, 2014 Date of Qualifying Judgment/Order: March 16, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-65 | SEC v. Mark A. Jones Case Number: 16-cv-10524 (United States District Court for the District of Massachusetts) Date Filed: March 15, 2016 Date of Qualifying Judgment/Order: March 28, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-64 | SEC v. Matthew E. White, Rodney A. Zehner, Daniel J. Merandi, White Investment Groups and Equities, LLC, the Grand Empire Palace and Resort, LLC, GEPR Investments Trust No. 1, GEPR Investments, LLC, M&M Financial, LLC, and Mountaineer Development & Construction Group, LLC Case Number: 16-cv-02715 (United States District Court for the Northern District of Georgia) Date Filed: July 27, 2016 Date of Qualifying Judgment/Order: March 21, 2017 |
04/28/2017 | 07/27/2017 |
| 2017-63 | SEC v. Lonny S. Bernath Case number: 15-cv-00485 (United States District Court for the Western District of North Carolina) Date Filed: October 13, 2015 Date of Qualifying Judgment/Order: March 8, 2017 |
04/28/2017 |
