SEC Whistleblower Awards List –July 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 In the Matter of Galena Biopharma, Inc. and Mark J. Ahn In the Matter of Craig Keolanui In the Matter of Lion Biotechnologies, Inc. In the Matter of Edward Borrelli and Dunedin, Inc. In the Matter of Stephen Ramey In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC In the Matter of Ciaran Thornton In the Matter of Manish Singh and Lavos, LLC In the Matter of Christopher French |
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 |
