SEC Whistleblower Awards List – March 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. Click “Continue Reading” to view the list.
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| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2017-62 | Paul A. Garcia, Caliber Capital Management, LLC, Partner Medical Solutions, LLC, Richard T. Woods, and Caliber Partnership I, LLC Case Number:17-cv-00174 (United States District Court for the Central District of California) Date Filed:February 1, 2017 Date of Qualifying Judgment/Order:February 8, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-61 | SEC v. Raymond H. Barton, William G. Goode, Mathew Charles Briggs, Kenneth Manzo, and Justin Sindelman Case Number:17-cv-00403 (United States District Court for the Eastern District of New York) Date Filed:January 25, 2017 Date of Qualifying Judgment/Order:February 6, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-60 | SEC v. Jason Cope, Izak Zirk de Maison (F/K/A Izak Zirk Engelbrecht), Gregory Goldstein, Stephen Wilshinsky, Talman Harris, William Scholander, Jack Tagliaferro, Victor Alfaya, Kona Jones Barbera, Louis Mastromatteo, Angelique de Maison, Trish Malone, Kieran T. Kuhn, Peter Voutsas, Ronald Loshin, Gepco, Ltd., Sunatco Ltd., Suprafin Ltd., Worldbridge Partners, Traverse International, and Small Cap Resource Corp. Case Number:14-cv-07575 (United States District Court for the Southern District of New York) Date Filed:September 18, 2014 (amended complaint filed June 15, 2015) Date of Qualifying Judgment/Order:February 7, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-59 | SEC v. Robert Seibert, a.k.a. John Grey Case Number:15-cv-09331 (United States District Court for the Central District of California) Date Filed:December 2, 2015 Date of Qualifying Judgment/Order:February 6, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-58 | SEC v. Bruce A. Cole Case Number:12-cv-08024 (United States District Court for the Central District of California) Date Filed:September 18, 2012 Date of Qualifying Judgment/Order:February 10, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-57 | In the Matter of SLRA Inc. as successor entity to Liquid Realty Advisors III, LLC and Scott M. Landress Administrative Proceeding File No.:3-17826 Date Filed:February 7, 2017 Date of Qualifying Judgment/Order:February 7, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-56 | In the Matter of Morgan Stanley Smith Barney, LLC Administrative Proceeding File No.:3-17845 Date Filed:February 14, 2017 Date of Qualifying Judgment/Order:February 14, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-55 | In the Matter of Angel Oak Capital Partners, LLC, Peraza Capital & Investment, LLC, Sreeniwas Prabhu, and David W. Wells Administrative Proceeding File No.:3-17849 Date Filed:February 16, 2017 Date of Qualifying Judgment/Order:February 16, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-54 | In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin Administrative Proceeding File No.:3-17807 Date Filed:January 23, 2017 Date of Qualifying Judgment/Order:January 23,2017 |
03/31/2017 | 06/29/2017 |
| 2017-53 | SEC v. Harrison Schumacher; Paul Mysyk; Quaneco, LLC; and Quantum Energy, LLC Case Number:15-cv-06388 (United States District Court for the Central District of California) Date Filed:August 25, 2015 Date of Qualifying Judgment/Order:February 21, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-52 | In the Matter of Jay T. Comeaux Administrative Proceeding File No.:3-15002 Date Filed:August 31, 2012 Date of Qualifying Judgment/Order:February 17, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-51 | SEC v. Braskem S.A. Case Number:16-cv-02488 (United States District Court for the District of Columbia) Date Filed:December 21, 2016 Date of Qualifying Judgment/Order:February 28, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-50 | SEC v. Brian S. Hudnall and JBH Consulting Group LLC Case Number:17-cv-00059 (United States District Court for the Western District of Missouri) Date Filed:January, 27, 2017 Date of Qualifying Judgment/Order:February 9, 2017 |
03/31/2017 | 06/29/2017 |
| 2017-49 | In the Matter of Thomas R. Stanley, II Administrative Proceeding File No.:3-17844 Date Filed:February 13, 2017 Date of Qualifying Judgment/Order:February 13, 2017 |
03/31/2017 | 06/29/2017 |
