The Securities and Exchange Commission (SEC) Office of the Whistleblower has today issued seven (7) new Notices of Covered Actions. Each of these notices is an opportunity for any whistleblowers to file a claim. If a whistleblower believes that his or her information contributed to the SEC’s collection in the action, then they have ninety (90) days to file a Form WB-APP with the SEC Office of the Whistleblower. For the notices issued today, the deadline to file Form WB-APP is December 31, 2012. The corporations and individuals from whom the SEC recovered the new available funds are Oracle Corporation, Wyeth LLC, Pfizer Inc., Wells Fargo Brokerage Services LLC, SJL Investment Management LLC, Irwin Boock, Stanton B. J. DeFreitas, Nicolette D. Loisel, Roger L. Shoss, Jason C. Wong, Nancy Shao Wen Chu, Elizabeth Tsang, aka Yuen Yee Tsang, Eric Jon Strasser, Shawn Patrick McMurty, and Stanley J. Kowalewski. If you submitted information about any of these penalty payers, now is the time to consult your lawyer about filing SEC Form WB-APP.
By the way, tomorrow is the last day to file claims for awards against Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino, James Roland Dial, Evan Nicolas Jarvis, and Alexander W. Ellerman, James Clements and Zeina Smidi, Conrad M. Black, F. David Radler and Hollinger, Inc., New Futures Trading International Corporation and Henry Roche, U.S. Sustainable Energy Corp. and John H. Rivera.
The full list of currently open award opportunities is available in the continuation of this blog post.
<!– ITEM TEMPLATE FOR LITIGATION RELEASE-RELATED CASES–> <!– ITEM TEMPLATE FOR ADMINISTRATIVE PROCEEDING-RELATED CASES–>
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| 2012-# | xxxxx Case number: xxxxx Case filed: Month DD, YYYY Qualifying Judgment/Order: Month DD, YYYY |
MM/DD/YYYY | MM/DD/YYYY |
| 2012-# | xxxxx Administrative Proceeding File No.: #-##### Case filed: Month DD, YYYY Qualifying Judgment/Order: Month DD, YYYY |
MM/DD/YYYY | MM/DD/YYYY |
| 2012-103 | SEC v. Oracle Corporation Case number: 12-cv-4310 (United States District Court for the Northern District of California) Case filed: August 16, 2012 Qualifying Judgment/Order: August 27, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-102 | SEC v. Irwin Boock, Stanton B. J. DeFreitas, Nicolette D. Loisel, Roger L. Shoss, and Jason C. Wong Case number: 09-cv-8261 (United States District Court for the Southern District of New York) Case filed: September 29, 2009 Qualifying Judgment/Order: August 2, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-101 | SEC. v. Wyeth LLC Case number: 12-cv-1304 (United States District Court for the District of Columbia) Case filed: August 7, 2012 Qualifying Judgment/Order: August 29, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-100 | SEC v. Pfizer Inc. Case number: 12-cv-1303 (United States District Court for the District of Columbia) Case filed: August 7, 2012 Qualifying Judgment/Order: August 28, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-99 | SEC. v Nancy Shao Wen Chu, Elizabeth Tsang, aka Yuen Yee Tsang, and Eric Jon Strasser Case number: 11-cv-09859 (United States District Court for the Central District of California) Case filed: November 29, 2011 Qualifying Judgment/Order: August 8, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-98 | In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Well Fargo Securities, LLC and Shawn Patrick McMurtry Administrative Proceeding File No.: 3-14982 Case filed: August 14, 2012 Qualifying Judgment/Order: August 14, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-97 | SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC Case number: 11-cv-0056 (United States District Court for the Northern District of Georgia) Case filed: January 6, 2011 Qualifying Judgment/Order: August 28, 2012 |
10/02/2012 | 12/31/2012 |
| 2012-96 | In the Matter of Jeffrey A. Wolfson, Robert A. Wolfson, and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC) Administrative Proceeding File No.: 3-14726 Case filed: July 17, 2012 Qualifying Judgment/Order: July 17, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-95 | SEC v. Titan Wealth Management, LLC, Point West Partners, LLC, and Thomas Lester Irby II Case number: 09-cv-00418 (United States District Court for the Eastern District of Texas) Case filed: August 25, 2009 Qualifying Judgment/Order: July 6, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-94 | SEC v. Omar Ali Rizvi, Bellwether Venture Capital Fund I, Inc., and Strategy Partners, LLC Case number: 10-cv-1632 (United States for the Eastern District of Texas) Case filed: July 31, 2009 Qualifying Judgment/Order: July 24, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-93 | SEC v. Mizuho Securities USA Inc. Case number: 12-cv-5550 (United States District Court for the Southern District of New York) Case filed: July 18, 2012 Qualifying Judgment/Order: July 26, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-92 | SEC v. Jeffrey Alan Lowrance and First Capital Savings & Loan, Ltd. Case number: 11-cv-3451 (United States District Court for the Northern District of California) Case filed: July 14, 2011 Qualifying Judgment/Order: July 19, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-91 | In the Matter of Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA Administrative Proceeding File No.: 3-14958 Case filed: July 19, 2012 Qualifying Judgment/Order: July 19, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-90 | SEC v. William K. Harrison and Eddie W. Sawyers Case number: 10-cv-634 (United States District Court for the Western District of North Carolina) Case filed: December 15, 2010 Qualifying Judgment/Order: July 24, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-89 | SEC v. Harbert Management Corporation, HMC-New York Inc., and HMC Investors, LLC Case number: 12-cv-5029 (United States District Court for the Southern District of New York) Case filed: June 27, 2012 Qualifying Judgment/Order: July 3, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-88 | SEC v. Falconstor Software, Inc. Case number: 12-cv-3200 (United States District Court for the Eastern District of New York) Case filed: June 27, 2012 Qualifying Judgment/Order: July 9, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-87 | SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates Inc. Case number: 09-cv-7594 (United States District Court for the Southern District of New York) Case filed: September 1, 2009 Qualifying Judgment/Order: July 26, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-86 | In the Matter of Delaware Asset Advisers and Wei (Alex) Wei Administrative Proceeding File No.: 3-14952 Case filed: July 18, 2012 Qualifying Judgment/Order: July 18, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-85 | SEC v. Manuel M. Bello, Ayuda Equity Funding LLC, and Amerifund Capital Holdings, LLC Case number: 12-cv-3794 (United States District Court for the District of New Jersey) Case filed: June 25, 2012 Qualifying Judgment/Order: July 5, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-84 | SEC v. Armor Holdings, Inc. Case number: 11-cv-1271 (United States District Court for the District of Columbia) Case filed: July 13, 2011 Qualifying Judgment/Order: July 23, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-83 | SEC v. AMMB Consultant Sendirian Berhad Case number: 12-cv-1052 (United States District Court for the District of Columbia) Case filed: June 26, 2012 Qualifying Judgment/Order: July 13, 2012 |
09/04/2012 | 12/03/2012 |
| 2012-82 | SEC v. Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori Case number: 12-cv-3960 (United States District Court for the Central District of California) Case filed: May 8, 2012 Qualifying Judgment/Order: June 1, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-81 | In the Matter of Harbinger Capital Partners, LLC Administrative Proceeding File No.: 3-14928 Case filed: June 27, 2012 Qualifying Judgment/Order: June 27, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-80 | In the Matter of Howard L. Blum Administrative Proceeding File No.: 3-14924 Case filed: June 21, 2012 Qualifying Judgment/Order: June 21, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-79 | SEC v. Ralph R. Cioffi and Matthew M. Tannin Case number: 08-cv-2457 (United States District Court for the Eastern District of New York) Case filed: June 19, 2008 Qualifying Judgment/Order: June 18, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-78 | SEC v. Kevan D. Acord, Philip C. Growney, Alberto J. Perez, Jose G. Perez, Sebastian De La Maza, and Thomas L. Borell Case number: 09-cv-21977 (United States District Court for the Southern District of Florida) Case filed: July 15, 2009 Qualifying Judgment/Order: June 19, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-77 | SEC v. Spyglass Equity Systems, Inc., Richard L. Carter, Preston L. Sjoblom, Tyson D. Elliott, Flatiron Capital Partners, LLC, Flatiron Systems, LLC, and David E. Howard II Case number: 11-cv-02371 (United States District Court for the Central District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: April 5, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-76 | In the Matter of OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc. Administrative Proceeding File No.: 3-14909 Case filed: June 6, 2012 Qualifying Judgment/Order: June 6, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-75 | SEC v. Phillip R. Trujillo, Wealth Management Resources, LLC, PTV 22, LLC, PTV 33, LLC, and PTV 44, LLC. Case number: 09-cv-00403 (United States District Court for the District of Colorado) Case filed: February 26, 2009 Qualifying Judgment/Order: June 21, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-74 | SEC v. Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas Case number: 11-cv-2251 (United States District Court for the District of Kansas) Case filed: May 4, 2011 Qualifying Judgment/Order: May 22, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-73 | SEC v. Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett Case number: 09-cv-00786 (United States District Court for the District of Utah) Case filed: September 2, 2009 Qualifying Judgment/Order: June 15, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-72 | SEC v. Phillip W. Offill, Jr., David B. Stocker, Curtis-Case, Inc., Shane A. Mullholand, Ryan M. Reynolds, Timothy T. Page, Steven P. Fischer, RSMR Capital Group, Inc., Dissemination Services, L.L.C., Page Properties, L.P., and ATN Enterprises, L.L.C. Case number: 07-cv-1643 (United States District Court for the Northern District of Texas) Case filed: September 26, 2007 Qualifying Judgment/Order: April 10, 2012 |
08/01/2012 | 10/30/2012 |
| 2012-71 | SEC v. Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group Case number: 11-cv-4741 (United States District Court for the Northern District of California) Case filed: September 26, 2011 Qualifying Judgment/Order: May 16, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-70 | SEC v. Robert Glenn Bard and Vision Specialist Group, LLC Case number: 09-cv-1473 (United States District Court for the Middle District of Pennsylvania) Case filed: July 30, 2009 Qualifying Judgment/Order: May 23, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-69 | SEC v. H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC Case number: 11-cv-5448 (United States District Court for the Southern District of New York) Case filed: August 8, 2011 (amended complaint filed October 25, 2011) Qualifying Judgment/Order: June 1, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-68 | SEC v. Strategic Management & Opportunity Corporation; Robert J. Pratt, and Jeffrey A. Brommer Case number: 08-cv-00197 (United States District Court for the Western District of Washington) Case filed: February 6, 2008 Qualifying Judgment/Order: May 25, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-67 | In the Matter of Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino Administrative Proceeding File No.: 3-14893 Case filed: May 29, 2012 Qualifying Judgment/Order: May 29, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-66 | SEC v. James Roland Dial, Evan Nicolas Jarvis, and Alexander W. Ellerman Case number: 12-cv-01654 (United States District Court for the Southern District of Texas) Case filed: June 1, 2012 Qualifying Judgment/Order: June 5, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-65 | SEC v. James Clements and Zeina Smidi Case number: 11-cv-60673 (United States District Court for the Southern District of Florida) Case filed: March 30, 2011 Qualifying Judgment/Order: May 21, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-64 | SEC v. Wealth Management LLC; James Putman; and Simone Fevola Case number: 09-cv-506 (United States District Court for the Eastern District of Wisconsin) Case filed: May 20, 2009 Qualifying Judgment/Order: May 21, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-63 | SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc. Case number: 04-cv-7377 (United States District Court for the Northern District of Illinois) Case filed: November 16, 2004 Qualifying Judgment/Order: April 24, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-62 | SEC v. New Futures Trading International Corporation and Henry Roche Case number: 11-cv-00532 (United States District Court for the District of New Hampshire) Case filed: November 16, 2011 Qualifying Judgment/Order: May 25, 2012 |
07/05/2012 | 10/03/2012 |
| 2012-61 | SEC v. U.S. Sustainable Energy Corp., John H. Rivera Case number: 08-cv-245 (United States District Court for the Southern District of Mississippi) Case filed: July 17, 2008 Qualifying Judgment/Order: May 21, 2012 |
07/05/2012 | 10/03/2012 |
