SEC Whistleblower Awards List July 2016

Mary Jane Wilmoth

Published On: September 19th, 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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View the updated list below:

NOTICE NO.	ACTION	NOTICE DATE	CLAIM DUE DATE
2016-98	SEC v. Keith Greenberg Case Number: 00-cv-09109 (United States District Court for the Southern District of Florida) Date Filed: November 26, 2013 Qualifying Judgment/Order: March 16, 2016	7/29/2016	10/27/2016
2016-97	SEC v. Andrew K. Proctor and Atlas JG, LLC Case Number: 16-cv-00437 (United States District Court for the District of Delaware) Date Filed: June 14, 2016Qualifying Judgment/Order: June 16, 2016	7/29/2016	10/27/2016
2016-96	SEC v. Wilfred T. Azar, III, Joseph A. Giordano, and Empire Corporation Case Number: 14-cv-03598 (United States District Court for the District of Maryland)Date Filed: November 14, 2014 Qualifying Judgment/Order: June 7, 2016	7/29/2016	10/27/2016
2016-95	SEC v. Daryl M. Payton, and Benjamin Durant, III Case Number: 14-cv-04644 (United States District Court for the Sourthern District of New York) Date Filed:June 25, 2014 Qualifying Judgment/Order: May 16, 2016	7/29/2016	10/27/2016
2016-94	In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. Administrative Proceeding File No.: 3-17312Date Filed: June 23, 2016 Qualifying Judgment/Order: June 23, 2016	7/29/2016	10/27/2016
2016-93	SEC v. Paul Mata, David Kayatta, Mario Pincheira, Secured Capital Investments, LLC., Logos Real Estate Holdings, LLC., Logos Wealth Advisors, Inc., Lifetime Enterprises, LLC (dba Logos Lifetime University) Case Number: 15-cv-01792 (United States District Court for the Central District of California) Date Filed:September 3, 2015 Qualifying Judgment: Order: June 17, 2016	7/29/2016	10/27/2016
2016-92	In the Matter of J.S. Oliver Capital Management, L.P., and Ian O. MausnerAdministrative Proceeding File No.: 3-15446 Initial Decision: August 5, 2014Qualifying Judgment/Order: June 17, 2016	7/29/2016	10/27/2016
2016-91	In the Matter of Behruz Afshar, Shahryar Afshar, Richard F. Kenny, IV, Fineline Trading Group LLC, and Makin Capital LLC Administrative Proceeding File No.: 3-16978 Date Filed: December 3, 2015 Qualifying Judgment/Order: June 13, 2016	7/29/2016	10/27/2016
2016-90	In the Matter of 2 West, Inc., Mijust, Inc., KAKids, Inc., Alton Partners, Inc., Old Farm, Inc., Bloomfield, Inc., Katz Imports, Inc., and Todd B. Katz Administrative Proceeding File No.: 3-17290 Date Filed: June 14, 2016 Qualifying Judgment/Order: June 14, 2016	7/29/2016	10/27/2016
2016-89	In the Matter of Ethiopian Electric Power Administrative Proceeding File No.: 3-17281 Date Filed: June 8, 2016 Qualifying Judgment/Order: June 8, 2016	7/29/2016	10/27/2016
2016-88	In the Matter of American Life, Inc. and Henry Liebman Administrative Proceeding File No.: 3-17285 Date Filed: June 13, 2016 Qualifying Judgment/Order: June 13, 2016	7/29/2016	10/27/2016
2016-87	In the Matter of Merrill Lynch, Pierce, Fenner & Smith IncorporatedAdministrative Proceeding File No.: 3-17314 Date Filed: June 23, 2016Qualifying Judgment/Order: June 23, 2016	7/29/2016	10/27/2016
2016-86	In the Matter of Bank of New York Mellon Administrative Proceeding File No.: 3-17286 Date Filed: June 13, 2016 Qualifying Judgment/Order: June 13, 2016	7/29/2016	10/27/2016
2016-85	In the Matter of Analogic Corporation and Lars Frost Administrative Proceeding File No.: 3-17305 Date Filed: June 21, 2016 Qualifying Judgment/Order: June 21, 2016	7/29/2016	10/27/2016