SEC Whistleblower Awards List – January 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.
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| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
2017-23 | SEC v. Randal Kent Hansen, RAHFCO Management Group, LLC, Vincent Puma, and Hudson Capital Partners Corporation Case number: 13-cv-01403 (United States District Court for the Southern District of New York) Case filed: March 4, 2013 Qualifying Judgment/Order: May 19, 2016 | 01/31/2017 | 05/01/2017 |
2017-22 | In the Matter of Morgan Stanley & Co. LLC Administrative Proceeding File No.: 3-17737 Case filed: December 20, 2016 Qualifying Judgment/Order: December 20, 2016 | 01/31/2017 | 05/01/2017 |
2017-21 | In the Matter of United Continental Holdings, Inc. Administrative Proceeding File No.: 3-17705 Case filed: December 2, 2016 Qualifying Judgment/Order: December 2, 2016 | 01/31/2017 | 05/01/2017 |
2017-20 | SEC v. David L. Fleet Case number: 14-cv-06695 (United States District Court for the Western District of New York) Case filed: December 12, 2014 Qualifying Judgment/Order: December 12, 2016 | 01/31/2017 | 05/01/2017 |
2017-19 | In the Matter of Harold D. Garrison Administrative Proceeding File No.: 3-17713 Case filed: December 7, 2016 Qualifying Judgment/Order: December 7, 2016 | 01/31/2017 | 05/01/2017 |
2017-18 | SEC v. Patrick S. Carter, 808 Renewable Energy Corporation, 808 Investments, LLC, Martin J. Kinchloe, Peter Kirkbride, West Coast Commodities, LLC, Thomas A. Flowers, and T.A. Flowers LLC Case number: 16-cv-02070 (United States District Court for the Central District of California) Case filed: November 17, 2016 Qualifying Judgment/Order: November 21, 2016 | 01/31/2017 | 05/01/2017 |
2017-17 | SEC v. Diverse Financial Corporation, Roy Dekel, and David Kandell Case number: 15-cv-01746 (United States District Court for the Central District of California) Case filed: October 28, 2015 Qualifying Judgment/Order: December 9, 2016 | 01/31/2017 | 05/01/2017 |
2017-16 | In the Matter of Pacific Investment Management Company, LLC Administrative Proceeding File No.: 3-17701 Case filed: December 1, 2016 Qualifying Judgment/Order: December 1, 2016 | 01/31/2017 | 05/01/2017 |
2017-15 | SEC v. Yin Nan “Michael” Wang, Wendy Ko, Velocity Investment Group, Inc., Bio Profit Series I, LLC, Bio Profit Series II, LLC, Bio Profit Series III, LLC, Bio Profit Series V, LLC, and Rockwell Realty Management, Inc. Case number: 13-cv-07553 (United States District Court for the Central District of California) Case filed: October 15, 2013 Qualifying Judgment/Order: November 30, 2016 | 01/31/2017 | 05/01/2017 |
2017-14 | In the Matter of Deutsche Bank Securities Inc. Administrative Proceeding File No.: 3-17730 Case filed: December 16, 2016 Qualifying Judgment/Order: December 16, 2016 | 01/31/2017 | 05/01/2017 |
2017-13 | SEC v. Edward F. Panos Case number: 16-cv-02473 (United States District Court for the District of District of Columbia) Case filed: December 19, 2016 Qualifying Judgment/Order: December 21, 2016 | 01/31/2017 | 05/01/2017 |
2017-12 | SEC v. Caledonian Bank, LTD., Caledonian Securities LTD., Clear Water Securities, Inc., Legacy Global Markets S.A., and Verdmont Capital, S.A. Case number: 15-cv-00894 (United States District Court for the Southern District of New York) Case filed: February 9, 2015 Qualifying Judgment/Order: November 9, 2016 | 01/31/2017 | 05/01/2017 |
2017-11 | In the Matter of General Cable Corporation Administrative Proceeding File No.: 3-17755 Case filed: December 29, 2016 Qualifying Judgment/Order: December 29, 2016 | 01/31/2017 | 05/01/2017 |
2017-10 | In the Matter of General Cable Corporation Administrative Proceeding File No.: 3-17754 Case filed: December 29, 2016 Qualifying Judgment/Order: December 29, 2016 | 01/31/2017 | 05/01/2017 |
2017-9 | In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited Administrative Proceeding File No.: 3-17746 Case filed: December 22, 2016 Qualifying Judgment/Order: December 22, 2016 In the Matter of Alok Saraf, CA Administrative Proceeding File No.: 3-17745 Case filed: December 22, 2016 Qualifying Judgment/Order: December 22, 2016 | 01/31/2017 | 05/01/2017 |
2017-8 | In the Matter of Dennis Ira Ringer Administrative Proceeding File No.: 3-17697 Case filed: November 23, 2016 Qualifying Judgment/Order: November 23, 2016 | 01/31/2017 | 05/01/2017 |
2017-7 | SEC v. Ash Narayan, The Ticket Reserve Inc. a/k/a/ Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky Case number: 16-cv-01417 (United States District Court for the Northern District of Texas) Case filed: May 24, 2016 Qualifying Judgment/Order: November 22, 2016 | 01/31/2017 | 05/01/2017 |
2017-6 | In the Matter of SandRidge Energy, Inc. Administrative Proceeding File No.: 3-17739 Case filed: December 20, 2016 Qualifying Judgment/Order: December 20, 2016 | 01/31/2017 | 05/01/2017 |
2017-5 | SEC v. Teva Pharmaceuticals, LTD. Case number: 16-cv-25298 (United States District Court for the Southern District of Florida) Case filed: December 22, 2016 Qualifying Judgment/Order: December 29, 2016 | 01/31/2017 | 05/01/2017 |
2017-4 | SEC v. City of Miami, Florida and Michael Boudreaux Case number: 13-cv-22600 (United States District Court for the Southern District of Florida) Case filed: July 19, 2013 Qualifying Judgment/Order: December 6, 2016 | 01/31/2017 | 05/01/2017 |
2017-3 | SEC v. Interinvest Corporation, Inc., and Hans Peter Black Case number: 15-cv-12350 (United States District Court for the District of Massachusetts) Case filed: June 16, 2015 Qualifying Judgment/Order: December 27, 2016 | 01/31/2017 | 05/01/2017 |
2017-2 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17720 Case filed: December 12, 2016 Qualifying Judgment/Order: December 12, 2016 | 01/31/2017 | 05/01/2017 |
2017-1 | SEC v. John W. Femenia, Shawn C. Hegedus, Danielle C. Laurenti, Coram Real Estate Holding, Inc., Goldstar P.S. Inc., Roger A. Williams, Kenneth M. Raby, Frank M. Burgess, James A. Hayes, Matthew J. Musante, Anthony C. Musante, and Aaron M. Wens Case number: 12-cv-00803 (United States District Court for the Western District of North Carolina) Case filed: December 5, 2012 Qualifying Judgment/Order: November 17, 2016 | 01/31/2017 | 05/01/2017 |
| 2016-172 | In the Matter of EZTD Inc. Administrative Proceeding File No.: 3-17673 Case filed: November 10, 2016 Qualifying Judgment/Order: November 10, 2016 | 12/31/2016 | 03/31/2017 |
| 2016-171 | SEC v. Southlake Resources Group, LLC, Cody M. Winters, and Nicholas R. Hamilton Case number: 16-cv-00992 (United States District Court for the Northern District of Texas) Case filed: October 24, 2016 Qualifying Judgment/Order: October 27, 2016 | 12/31/2016 | 03/31/2017 |
| 2016-170 | SEC v. Embraer, S.A. Case number: 16-cv-62501 (United States District Court for the Southern District of Florida) Case filed: October 24, 2016 Qualifying Judgment/Order: October 31, 2016 | 12/31/2016 | 03/31/2017 |
| 2016-169 | In the Matter of Ronald D. Morley and The New Wealth, LLC Administrative Proceeding File No.: 3-17658 Case filed: November 1, 2016 Qualifying Judgment/Order: November 1, 2016 | 12/31/2016 | 03/31/2017 |
| 2016-168 | In the Matter of Michael L. Reger Administrative Proceeding File No.: 3-17653 Case filed: October 31, 2016 Qualifying Judgment/Order: October 31, 2016 | 12/31/2016 | 03/31/2017 |
| 2016-167 | In the Matter of JP Morgan Chase & Co., Administrative Proceeding File No.: 3-17684 Case filed: November 17, 2016 Qualifying Judgment/Order: November 17, 2016 | 12/31/2016 | 03/31/2017 |
| 2016-166 | In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Administrative Proceeding File No.: 3-17628 Case filed: October 18, 2016 Qualifying Judgment/Order: October 18, 2016 | 12/31/2016 | 03/31/2017 |
| 2016-165 | SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack Case number: 11-cv-00755 (United States District Court for the Eastern District of Wisconsin) Case filed: August 10, 2011 Qualifying Judgment/Order: December 6, 2016 | 12/31/2016 | 03/31/2017 |
| 2016-164 | In the Matter of Credit Suisse AG, Inc. Administrative Proceeding File No.: 3-17617 Case filed: October 5, 2016 Qualifying Judgment/Order: October 5, 2016 | 12/31/2016 | 03/31/2017 |
