SEC Whistleblower Awards List –July 2017

Mary Jane Wilmoth

Published On: August 8th, 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
2017-119	In the Matter of Joel Corenman Administrative Proceeding File No.:3-17910 Date of Qualifying Judgment/Order:April 10, 2017 In the Matter of Galena Biopharma, Inc. and Mark J. Ahn Administative Proceeding File No.:3-17911 Date of Qualifying Judgment/Order:April 10, 2017 In the Matter of Craig Keolanui Administrative Proceeding File No.:3-17913 Date of Qualifying Judgment/Order:April 10, 2017 In the Matter of Lion Biotechnologies, Inc. Administative Proceeding File No.:3-17914 Date of Qualifying Judgment/Order:April 10, 2017 In the Matter of Edward Borrelli and Dunedin, Inc. Administrative Proceeding File No.:3-17915 Date of Qualifying Judgment/Order:April 10, 2017 In the Matter of Stephen Ramey Administrative Proceeding File No.:3-17916 Date of Qualifying Judgment/Order:April 10, 2017 In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC Administative Proceeding File No.:3-17917 Date of Qualifying Judgment/Order:April 10, 2017 In the Matter of Ciaran Thornton Administrative Proceeding File No.:3-17918 Date of Qualifying Judgment/Order:April 10, 2017 In the Matter of Manish Singh and Lavos, LLC Administative Proceeding File No.:3-17920 Date of Qualifying Judgment/Order:April 10, 2017 In the Matter of Christopher French Administative Proceeding File No.:3-17921 Date of Qualifying Judgment/Order:April 10, 2017	07/31/2017	10/29/2017
2017-118	SEC v. Broidy Wealth Advisors, LLC Case Number:16-cv-05960 (United States District Court for the Eastern District of New York) Date Filed:October 27, 2016 Date of Qualifying Judgment/Order:May 30, 2017	07/31/2017	10/29/2017
2017-117	SEC v. Sigma Capital Management, LLC Case Number:13-cv-01740 (United States District Court for the Southern District of New York) Date Filed:March 19, 2013 Date of Qualifying Judgment/Order:March 29, 2013	07/31/2017	10/29/2017
2017-116	SEC v. Renato Rodriguez and Gutemberg Dos Santos Case Number:17-cv-00375 (United States District Court for the Central District of California) Date Filed:March 2, 2017 Date of Qualifying Judgment/Order:June 8, 2017	07/31/2017	10/29/2017
2017-115	SEC v. Yu-Cheng Lin, a/k/a Believe Lin Case Number:17-cv-00875 (United States District Court for the District of New Jersey) Date Filed:February 9, 2017 Date of Qualifying Judgment/Order:June 14, 2017	07/31/2017	10/29/2017
2017-114	SEC v. Ascenergy LLC and Joseph (a/k/a Joey) Gabaldon Case Number:15-cv-01974 (United States District Court for the District of Nevada) Date Filed:October 13, 2015 Date of Qualifying Judgment/Order:May 23, 2017	07/31/2017	10/29/2017
2017-113	SEC v. Kingdom Legacy General Partner, LLC and Mark C. Northrop Case Number:16-cv-00441 (United States District Court for the Middle District of Florida) Date Filed:June 7, 2016 Date of Qualifying Judgment/Order:June 6, 2017	07/31/2017	10/29/2017
2017-112	SEC v. Thomas D. Melvin, Michael S. Cain, Joel C. Jinks and Peter C. Doffing Case Number:12-cv-02984 (United States District Court for the Northern District of Georgia) Date Filed:August 30, 2012 Date of Qualifying Judgment/Order:June 22, 2017	07/31/2017	10/29/2017