SEC Whistleblower Awards List November 2016
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 here for SEC whistleblower Resources.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| | In the Matter of Calvert Investment Management, Inc. Administrative Proceeding File No.: 3-17630 Case filed: October 18, 2016 Qualifying Judgment/Order: October 18, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of Artis Capital Management, L.P. and Michael W. Harden Administrative Proceeding File No.: 3-17624 Case filed: October 13, 2016 Qualifying Judgment/Order: October 13, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Charles P. Copeland, Copeland Wealth Management, a Financial Advisory Corporation, and Copeland Wealth Management, a Real Estate Corporation Case number: 11-cv-08607 (United States District Court for the Central District of California) Case filed: October 20, 2011 Qualifying Judgment/Order: October 5, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of Bank Leumi le-Israel B.M., Leumi Private Bank, and Bank Leumi (Luxembourg) S.A. Administrative Proceeding File No.: 3-17631 Case filed: October 18, 2016 Qualifying Judgment/Order: October 18, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of GlaxoSmithKline plc Administrative Proceeding File No.: 3-17606 Case filed: September 30, 2016 Qualifying Judgment/Order: September 30, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA Administrative Proceeding File No.: 3-17639 Case filed: October 20, 2016 Qualifying Judgment/Order: October 20, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of Deutsche Bank Securities Inc. Administrative Proceeding File No.: 3-17622 Case filed: October 12, 2016 Qualifying Judgment/Order: October 12, 2016In the Matter of Charles P. Grom Administrative Proceeding File No.: 3-17119 Case filed: February 17, 2016 Qualifying Judgment/Order: February 17, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina Case number: 16-cv-08088 (United States District Court for the Southern District of New York) Case filed: October 17, 2016 Qualifying Judgment/Order: October 18, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Anthony C. Zufelt, Joseph A. Nelson, David M. Decker, Jr., Cache D. Decker, Zufelt Business Services, Inc. (d/b/a Zufelt, Inc.), Silver Leaf Investments, Inc. JCN, Inc., JCN Capital, LLC, and JCN International, LLC Case number: 10-cv-00574 (United States District Court for the District of Utah) Case filed: June 23, 2010 Qualifying Judgment/Order: October 7, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Paul R. Downey, Jeffry P. Downey, and John M. Leonard Case number: 14-cv-00185 (United States District Court for the Northern District of Texas) Case filed: November 20, 2014 Qualifying Judgment/Order: September 29, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Aegis Oil, LLC, and Patrick Reagan Beason Case number: 16-cv-62335 (United States District Court for the Southern District of Florida) Case filed: September 29, 2016 Qualifying Judgment/Order: October 11, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. JCS Enterprises, Inc. d/b/a JCS Enterprises Services, Inc., T.B.T.I. Inc., Joseph Signore, and Paul L. Schumack, II Case number: 14-cv-80468 (United States District Court for the Southern District of Florida) Case filed: April 7, 2014 Qualifying Judgment/Order: October 18, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Zenergy International, Inc., Bosko R. Gasich, Robert J. Luiten, Scott H. Wilding, Skyline Capital, Inc., Ronald Martino, and Diane D. Dalmy Case number: 13-cv-05511 (United States District Court for the Northern District of Illinois) Case filed: August 1, 2013 Qualifying Judgment/Order: October 12, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Yossef Kahlon, a/k/a Jossef Kahlon, and TJ Management Group, LLC Case number: 12-cv-00517 (United States District Court for the Eastern District of Texas) Case filed: August 14, 2012 Qualifying Judgment/Order: September 30, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Richard Weed, Thomas Brazil and Coleman Flaherty III Case number: 14-cv-14099 (United States District Court for the District of Massachusetts) Case filed: November 6, 2014 Qualifying Judgment/Order: October 4, 2016 | 11/30/2016 | 02/28/2017 |
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 here for SEC whistleblower Resources.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| | In the Matter of Calvert Investment Management, Inc. Administrative Proceeding File No.: 3-17630 Case filed: October 18, 2016 Qualifying Judgment/Order: October 18, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of Artis Capital Management, L.P. and Michael W. Harden Administrative Proceeding File No.: 3-17624 Case filed: October 13, 2016 Qualifying Judgment/Order: October 13, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Charles P. Copeland, Copeland Wealth Management, a Financial Advisory Corporation, and Copeland Wealth Management, a Real Estate Corporation Case number: 11-cv-08607 (United States District Court for the Central District of California) Case filed: October 20, 2011 Qualifying Judgment/Order: October 5, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of Bank Leumi le-Israel B.M., Leumi Private Bank, and Bank Leumi (Luxembourg) S.A. Administrative Proceeding File No.: 3-17631 Case filed: October 18, 2016 Qualifying Judgment/Order: October 18, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of GlaxoSmithKline plc Administrative Proceeding File No.: 3-17606 Case filed: September 30, 2016 Qualifying Judgment/Order: September 30, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA Administrative Proceeding File No.: 3-17639 Case filed: October 20, 2016 Qualifying Judgment/Order: October 20, 2016 | 11/30/2016 | 02/28/2017 |
| | In the Matter of Deutsche Bank Securities Inc. Administrative Proceeding File No.: 3-17622 Case filed: October 12, 2016 Qualifying Judgment/Order: October 12, 2016In the Matter of Charles P. Grom Administrative Proceeding File No.: 3-17119 Case filed: February 17, 2016 Qualifying Judgment/Order: February 17, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina Case number: 16-cv-08088 (United States District Court for the Southern District of New York) Case filed: October 17, 2016 Qualifying Judgment/Order: October 18, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Anthony C. Zufelt, Joseph A. Nelson, David M. Decker, Jr., Cache D. Decker, Zufelt Business Services, Inc. (d/b/a Zufelt, Inc.), Silver Leaf Investments, Inc. JCN, Inc., JCN Capital, LLC, and JCN International, LLC Case number: 10-cv-00574 (United States District Court for the District of Utah) Case filed: June 23, 2010 Qualifying Judgment/Order: October 7, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Paul R. Downey, Jeffry P. Downey, and John M. Leonard Case number: 14-cv-00185 (United States District Court for the Northern District of Texas) Case filed: November 20, 2014 Qualifying Judgment/Order: September 29, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Aegis Oil, LLC, and Patrick Reagan Beason Case number: 16-cv-62335 (United States District Court for the Southern District of Florida) Case filed: September 29, 2016 Qualifying Judgment/Order: October 11, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. JCS Enterprises, Inc. d/b/a JCS Enterprises Services, Inc., T.B.T.I. Inc., Joseph Signore, and Paul L. Schumack, II Case number: 14-cv-80468 (United States District Court for the Southern District of Florida) Case filed: April 7, 2014 Qualifying Judgment/Order: October 18, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Zenergy International, Inc., Bosko R. Gasich, Robert J. Luiten, Scott H. Wilding, Skyline Capital, Inc., Ronald Martino, and Diane D. Dalmy Case number: 13-cv-05511 (United States District Court for the Northern District of Illinois) Case filed: August 1, 2013 Qualifying Judgment/Order: October 12, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Yossef Kahlon, a/k/a Jossef Kahlon, and TJ Management Group, LLC Case number: 12-cv-00517 (United States District Court for the Eastern District of Texas) Case filed: August 14, 2012 Qualifying Judgment/Order: September 30, 2016 | 11/30/2016 | 02/28/2017 |
| | SEC v. Richard Weed, Thomas Brazil and Coleman Flaherty III Case number: 14-cv-14099 (United States District Court for the District of Massachusetts) Case filed: November 6, 2014 Qualifying Judgment/Order: October 4, 2016 | 11/30/2016 | 02/28/2017 |
