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Home News

November 2014 SEC Whistleblower Award List

Mary Jane WilmothbyMary Jane Wilmoth
November 28, 2014
in News, SEC
Reading Time: 6 mins read
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The SEC Office of the Whistleblower post 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, individuals have 90 calendar days to apply for an award.

View the updated list below: 

The previous SEC award postings.

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NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE

2014-135
In the Matter of China Ruitai International Holdings Co., LTD., Dian Min Ma, Gang Ma, and Jin Tian
Administrative Proceeding File No.: 3-15544
Case filed: September 30, 2013
Qualifying Judgment/Order: October 2, 2014
11/26/2014 02/24/2015

2014-134
SEC v. Dennis F. Wright
Case number: 14-cv-01896 (United States District Court for the Middle District of Pennsylvania)
Case filed: September 30, 2014
Qualifying Judgment/Order: October 9, 2014
11/26/2014 02/24/2015

2014-133
SEC v. Lee Cole, Linden Boyne, Kevin B. Donovan, and Timothy Quintanilla
Case number: 12-cv-08167 (United States District Court for the Southern District Court of New York)
Case filed: November 8, 2012
Qualifying Judgment/Order: October 8, 2014
11/26/2014 02/24/2015

2014-132
SEC v. Christopher Wheeler and OTCStockExchange.com
Case number: 11-cv-06169 (United States District Court for the Southern District of New York)
Case filed: January 14, 2011
Qualifying Judgment/Order: September 29, 2014
11/26/2014 02/24/2015

2014-131
In the Matter of Clean Energy Capital, LLC and Scott A. Brittenham
Administrative Proceeding File No.: 3-15766
Case filed: October 17, 2014
Qualifying Judgment/Order: October 17, 2014
11/26/2014 02/24/2015

2014-130
In the Matter of Bio-Rad Laboratories, Inc.
Administrative Proceeding File No.: 3-16231
Case filed: November 3, 2014
Qualifying Judgment/Order: November 3, 2014
11/26/2014 02/24/2015

2014-129
SEC v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, James C. Warras, Joseph N. Micelli, M.Y. Consultants, Inc., Anthony B. Brandel, M. Dwyer, LLC, and Sean P. Finn
Case number: 13-cv-02280 (United States District Court for the District of Nevada)
Case filed: December 16, 2013
Qualifying Judgment/Order: September 15, 2014
11/26/2014 02/24/2015

2014-128
SEC v. Timothy J. Coughlin, OICU LTD., and OICU Investments Corp. (both d/b/a “Oxford International Credit Union” and/or “Oxford International Cooperative Union”)
Case number: 14-cv-00562 (United States District Court for the Southern District of Indiana)
Case filed: April 11, 2014
Qualifying Judgment/Order: October 29, 2014
11/26/2014 02/24/2015

2014-127
In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC
Administrative Proceeding File No.: 3-16192
Case filed: October 9, 2014
Qualifying Judgment/Order: October 9, 2014
11/26/2014 02/24/2015

2014-126
In the Matter of Layne Christensen Company
Administrative Proceeding File No.: 3-16216
Case filed: October 27, 2014
Qualifying Judgment/Order: October 27, 2014
11/26/2014 02/24/2015

2014-125
SEC v. Abatement Corp. Holding Company Limited
Case number: 14-cv-23336 (United States District Court for the Southern District of Florida)
Case filed: September 10, 2014
Qualifying Judgment/Order: October 29, 2014
11/26/2014 02/24/2015

2014-124
Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle), and Jilapuhn, Inc. (d/b/a Her Majesty’s Credit Union)
Case number: 12-cv-02939 (United States District Court for the District of Colorado)
Case filed: November 8, 2012
Qualifying Judgment/Order: October 9, 2014
11/26/2014 02/24/2015

2014-123
SEC v. Agfeed Industries, Inc., Junhong Xiong, Selina Jin, Songyan Li, Shaobo Ouyang, Edward J. Pazdro, K. Ivan Gothner
Case number: 14-cv-00663 (United States District Court for the Middle District of Tennessee)
Case filed: March 11, 2014
Qualifying Judgment/Order: October 6, 2014
11/26/2014 02/24/2015

2014-122
SEC v. Nikolai S. Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage
Case number: 12-cv-07125 (United States District Court for the Northern District of Illinois)
Case filed: September 6, 2012
Qualifying Judgment/Order: September 30, 2014
11/26/2014 02/24/2015

2014-121
SEC vs. Resources Planning Group, Inc., and Joseph J. Hennessy
Case number: 12-cv-09509 (United States District Court for the Northern District of Illinois)
Case filed: November 29, 2012
Qualifying Judgment/Order: September 29, 2014
11/26/2014 02/24/2015

2014-120
SEC vs. Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC
Case number: 11-cv-00723 (United States District Court for the District of Minnesota)
Case filed: March 24, 2011
Qualifying Judgment/Order: September 22, 2014
11/26/2014 02/24/2015

Tags: Corporate WhistleblowersSECSecurities and Exchange CommissionWhistleblower Rewards
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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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