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Home Corporate

March-May 2016 SEC Whistleblower Awards List

Mary Jane WilmothbyMary Jane Wilmoth
June 2, 2016
in Corporate, News, SEC
Reading Time: 11 mins read
SEC Says Employees Protected For Internal Whistleblowing

U.S. Securities and Exchange Commission building in Washington, D.C. September 4, 2014. Photo by Diego M. Radzinschi/THE NATIONAL LAW JOURNAL.

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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.

View the updated list below:

 

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NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE

2016-75
SEC v. Roger S. Bliss, an individual and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, a Utah Limited Liability Company, d/b/a Roger Bliss and Associates Club LLC, d/b/a Bliss Club LLC
Case number: 15-cv-00098 (United States District Court for the District of Utah)
Case filed: February 11, 2015
Qualifying Judgment/Order: April 19, 2016
5/31/2016 8/29/2016

2016-74
SEC v. American Pension Services, Inc., and Curtis L. De Young
Case number: 14-cv-00309 (United States District Court for the District of Utah)
Case filed: April 24, 2014
Qualifying Judgment/Order: April 21, 2016
5/31/2016 8/29/2016

2016-73
SEC v. Tomas Alberto Clarke Bethancourt, Jose Alejandro Hurtado, Haydee Leticia Pabon, Iuri Rodolfo Bethancourt, Ernesto Lujan, Benito Chinea and Joseph Flores Demeneses Jr.
Case number: 13-cv-03074 (United States District Court for the Southern District of New York)
Case filed: May 9, 2013
Qualifying Judgment/Order: April 7, 2016
5/31/2016 8/29/2016

2016-72
SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek
Case number: 13-cv-03837 (United States District Court for the Southern District of New York)
Case filed: June 5, 2013
Qualifying Judgment/Order: April 12, 2016
5/31/2016 8/29/2016

2016-71
In the Matter of Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA
Administrative Proceeding File No.: 3-17212
Case filed: April 19, 2016
Qualifying Judgment/Order: April 19, 2016
5/31/2016 8/29/2016

2016-70
In the Matter of L & L Energy, Inc.
Administrative Proceeding File No.: 3-15815
Case filed: March 27, 2014
Initial Decision: February 17, 2016
Qualifying Judgment/Order: April 13, 2016
5/31/2016 8/29/2016

2016-69
SEC v. Frederic Elm f/k/a Frederic Elmaleh, Elm Tree Investment Advisors LLC, Elm Tree Investment Fund LP, Elm Tree ‘e’Conomy Fund LP, and Elm Tree Motion Opportunity LP
Case number: 15-cv-60082 (United States District Court for the Southern District of Florida)
Case filed: January 15, 2015
Qualifying Judgment/Order: April 12, 2016
5/31/2016 8/29/2016

2016-68
In the Matter of Cabela’s Incorporated and Ralph W. Castner, CPA
Administrative Proceeding File No.: 3-17227
Case filed: April 26, 2016
Qualifying Judgment/Order: April 26, 2016
5/31/2016 8/29/2016

2016-67
SEC v. Steven R. Maruksen, Jay C. Cope, Archer Advisors LLC
Case number: 14-cv-03395 (United States District Court for the District of Minnesota)
Case filed: September 8, 2014
Qualifying Judgment/Order: April 27, 2016
5/31/2016 8/29/2016

2016-66
SEC v. Inter Reef Ltd dba Profitable Sunrise
Case number: 13-cv-01104 (United States District Court for the Northern District of Georgia)
Case filed: April 4, 2013
Qualifying Judgment/Order: April 15, 2016
5/31/2016 8/29/2016
2016-65 SEC v. Marrone Bio Innovations, Inc.
Case Number: 16-cv-00321 (United States District Court for the Eastern District of California)
Date Filed: February 17, 2016
Date of Qualifying Order/Judgment: March 8, 2016
4/29/2016 7/28/2016
2016-64 In the Matter of Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert Esq.; and Helena C. Sen, CPA
Administrative Proceeding File No.: 3-17186
Date Filed: March 30, 2016
Date of Qualifying Order/Judgment: March 30, 2016
4/29/2016 7/28/2016
2016-63 In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation
Administrative Proceeding File No.: 3-17169
Date Filed: March 14, 2016
Date of Qualifying Order/Judgment: March 14, 2016
4/29/2016 7/28/2016
2016-62 SEC v. Banc de Binary Ltd, Oren Shabat Laurent (f/k/a Oren Shabat), Et Binary Options Ltd., Bo Systes Ltd., Seychelles and BDB Services Ltd. Seychelles
Case Number: 13-cv-00993 (United States District Court for the District of Nevada)
Date Filed: June 5, 2013
Date of Qualifying Order/Judgment: February 25, 2016
4/29/2016 7/28/2016
2016-61 SEC v. Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello
Case Number: 09-cv-00818 (United States District Court for the Central District of California)
Date Filed: July 16, 2009
Date of Qualifying Order/Judgment: February 23, 2016
4/29/2016 7/28/2016
2016-60 SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane Properties Inc.
Case Number: 16-cv-01636 (United States District Court for the District of New Jersey)
Date Filed: March 24, 2016
Date of Qualifying Order/Judgment: March 28, 2016
4/29/2016 7/28/2016
2016-59 In the Matter of Novartis AG
Administrative Proceeding File No.: 3-17177
Date Filed: March 23, 2016
Date of Qualifying Order/Judgment: March 23, 2016
4/29/2016 7/28/2016
2016-58 In the Matter of Las Vegas Sands Corp.
Administrative Proceeding File No.: 3-17204
Date Filed: April 7, 2016
Date of Qualifying Order/Judgment: April 7, 2016
4/29/2016 7/28/2016
2016-57 SEC v. Gregory G. Jones
Case Number: 15-cv-00438 (United States District Court for the Northern District of Texas)
Date Filed: June 10, 2015
Date of Qualifying Order/Judgment: March 21, 2016
4/29/2016 7/28/2016
2016-56 SEC v. eCareer Holding, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks
Case Number: 15-cv-80446 (United States District Court for the Southern District of Florida)
Date Filed: April 7, 2015
Date of Qualifying Order/Judgment: March 2, 2016
4/29/2016 7/28/2016
2016-55 SEC v. Neal V. Goyal, Caldera Advisors, LLC, and Blue Horizon Asset Management, LLC
Case Number: 14-cv-03900 (United States District Court for the Northern District of Illinois)
Date Filed: May 28, 2014
Date of Qualifying Order/Judgment: March 9, 2016
4/29/2016 7/28/2016
2016-54 In the Matter of Navistar International Corporation
Administrative Proceeding File No.: 3-17190
Date Filed: March 31, 2016
Date of Qualifying Order/Judgment: March 31, 2016
4/29/2016 7/28/2016
2016-53 SEC v. Aveo Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer
Case Number: 16-cv-10607 (United States District Court for the District of Massachusetts)
Date Filed: March 29, 2016
Date of Qualifying Order/Judgment: April 1, 2016
4/29/2016 7/28/2016
2016-52 In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable
Administrative Proceeding File No: 3-17171
Date Filed: March 15, 2016
Date of Qualifying Order/Judgment: March 15, 2016
4/29/2016 7/28/2016
2016-51 SEC v. Bruce D. Strebinger, Brent Howard Chapman, and Muskateer Investments, Inc.
Case Number: 14-cv-03533 (United States District Court for the Northern District of Georgia)
Date Filed: November 3, 2014
Date of Qualifying Order/Judgment: March 15, 2016
4/29/2016 7/28/2016
2016-50 In the Matter of Peter Kuperman and QED Benchmark Management, L.L.C.
Administrative Proceeding File No.: 3-17075
Case filed: January 28, 2016
Qualifying Judgment/Order: January 28, 2016
3/31/2016 6/29/2016
2016-49 SEC v. eAdGear, Inc., eAdGear Holdings Limited, Charles S. Wang, Francis Y. Yuen, and Qian Cathy Zhang
Case number: 14-cv-04294 (United States District Court for the Northern District of California)
Case filed: September 24, 2014
Qualifying Judgment/Order: February 1, 2016
3/31/2016 6/29/2016
2016-48 SEC v. Scott Valente and The Eliv Group, LLC
Case number: 14-cv-03974 (United States District Court for the Southern District of New York)
Case filed: June 3, 2014
Qualifying Judgment/Order: February 17, 2016
3/31/2016 6/29/2016
2016-47 SEC v. Moazzam “Mark” Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
Case number: 15-cv-01025 (United States District Court for the Southern District of New York)
Case filed: February 13, 2015
Qualifying Judgment/Order: February 9, 2016
3/31/2016 6/29/2016
2016-46 In the Matter of Qualcomm Incorporated
Administrative Proceeding File No.: 3-17145
Case filed: March 1, 2016
Qualifying Judgment/Order: March 1, 2016
3/31/2016 6/29/2016
2016-45 SEC v. Newpoint Financial Services, Inc.; John Farahi; Gissou Rastegar Farahi; and Elaheh Amouei
Case number: 10-cv-00124 (United States District Court for the Central District of California)
Case filed: January 8, 2010
Qualifying Judgment/Order: February 29, 2016
3/31/2016 6/29/2016
2016-44 SEC v. VimpelCom Ltd
Case number: 16-cv-01266 (United States District Court for the Southern District of New York)
Case filed: February 18, 2016
Qualifying Judgment/Order: February 22, 2016
3/31/2016 6/29/2016
2016-43 In the Matter of George N. Krinos, Krinos Holdings, Inc., and Fordgate Acquisition Corp.
Administrative Proceeding File No.: 3-16202
Case filed: October 16, 2014
Initial Decision: December 21, 2015
Qualifying Judgment/Order: February 3, 2016
3/31/2016 6/29/2016
2016-42 SEC v. Trevor G. Cook, Patrick J. Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLC
Case number: 09-cv-03333 (United States District Court for the District of Minnesota)
Case filed: November 23, 2009
Qualifying Judgment/Order: January 12, 2016
3/31/2016 6/29/2016
2016-41 In the Matter of PTC Inc.
Administrative Proceeding File No.: 3-17118
Case filed: February 16, 2016
Qualifying Judgment/Order: February 16, 2016
3/31/2016 6/29/2016
2016-40 In the Matter of IBC Funds, LLC
Administrative Proceeding File No.: 3-17125
Case filed: February 19, 2016
Qualifying Judgment/Order: February 19, 2016
3/31/2016 6/29/2016

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Mary Jane Wilmoth

Mary Jane Wilmoth

Mary Jane Wilmoth is the publisher of Whistleblower Network News, where she heads the editorial staff. She writes about breaking whistleblower news, and False Claims Act whistleblowers, SEC whistleblowers, IRS whistleblowers, FCPA whistleblowers, and CFTC whistleblowers. Mary Jane is the managing partner at the whistleblower law firm Kohn, Kohn & Colapinto, and a frequent contributor to The Whistleblower and Qui Tam Blog. She is a licensed attorney in the District of Columbia and a graduate of the University of New Hampshire School of Law (formerly Franklin Pierce Law Center).

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