SEC.gov | Whistleblower Program: Notices of Covered Action

Claim an Award

We post Notices of Covered Action for each SEC 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.

The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the SEC opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case.

Subject to the Whistleblower Amended Rules, individuals who voluntarily provided the SEC 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 by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action.

NOTE: On July 2, 2024, the Commission posted a new Form WB-APP for individuals seeking to apply for an award for a Covered Action. You may continue to use the prior version of the form for the 30-day period following the posting of the new form. Starting on August 1, 2024, please use the new Form WB-APP to apply for an award.

We strongly encourage Form WB-APPs to be submitted by email to FormWB-APPSubmission@SEC.GOV. Duplicate submissions of a Form WB-APP by multiple methods (e.g., fax, email, and mail) are discouraged as they may cause delays. Generally, submissions are acknowledged within 60 days.

Whistleblower Award Applications submitted by mail or fax should be sent to:

SEC Office of the Whistleblower (c/o ENF-CPU)

14420 Albemarle Point Place Suite 102 Chantilly, VA 20151-1750

Fax: 703-813-9322


Notice No.	Action	Notice Date	Claim Due Date
2012-073	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
2012-072	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: 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
2012-071	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
2012-070	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
2012-069	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
2012-068	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
2012-067	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
2012-066	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
2012-065	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
2012-064	SEC v. Wealth Management LLC; James Putman; and Simone Fevola Case number: 09-cv-00506 (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
2012-063	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
2012-062	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
2012-061	SEC v. U.S. Sustainable Energy Corp., John H. Rivera Case number: 08-cv-00245 (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
2012-060	SEC v. Paul R. Beckwith Case number: 10-cv-00162 (United States District Court for the District of Utah) Case filed: September 27, 2010 Qualifying Judgment/Order: May 9, 2012	06/04/2012	09/02/2012
2012-059	SEC v. Matthew H. Kluger and Garrett D. Bauer Case number: 11-cv-01936 (United States District Court for the District of New Jersey) Case filed: April 6, 2011 Qualifying Judgment/Order: May 2, 2012	06/04/2012	09/02/2012
2012-058	In the Matter of Gualario & Co., LLC and Ronald Gualario Administrative Proceeding File No.: 3-14340 Case filed: April 8, 2011 Qualifying Judgment/Order: February 14, 2012	06/04/2012	09/02/2012
2012-057	SEC v. Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla Case number: 00-cv-07898 (United States District Court for the Southern District of New York) Case filed: October 17, 2000 Qualifying Judgment/Order: April 5, 2012	06/04/2012	09/02/2012
2012-056	SEC v. Francois E. Durmaz (aka Mahmut E. Durmaz), Robert C. Pribilski, USA Retirement Management Services (aka USA Financial Management Services, Inc.) Case number: 10-cv-01689 (United States District Court for the Central District of California) Case filed: March 9, 2010 Qualifying Judgment/Order: April 12, 2012	06/04/2012	09/02/2012
2012-055	SEC v. Marco Glisson Case number: 09-cv-00104 (United States District Court for the District of Nevada) Case filed: January 15, 2009 Qualifying Judgment/Order: April 11, 2012	06/04/2012	09/02/2012
2012-054	In the Matter of Martin Currie Inc., and Martin Currie Investment Management Ltd. Administrative Proceeding File No.: 3-14873 Case filed: May 10, 2012 Qualifying Judgment/Order: May 10, 2012	06/04/2012	09/02/2012
2012-053	In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-14845 Case filed: April 12, 2012 Qualifying Judgment/Order: April 12, 2012	06/04/2012	09/02/2012
2012-052	SEC v. Garth Ronald Peterson Case number: 12-cv-02033 (United States District Court for the Eastern District of New York) Case filed: April 25, 2012 Qualifying Judgment/Order: May 3, 2012	06/04/2012	09/02/2012
2012-051	SEC v. Usee, Inc., Terry E. Wiese, and Scott A. Wiese Case number: 12-cv-01325 (United States District Court for the Northern District of Texas) Case filed: April 30, 2012 Qualifying Judgment/Order: May 7, 2012	06/04/2012	09/02/2012
2012-050	SEC v. Halek Energy, LLC, CBO Energy, Inc., Jason A. Halek, and Christopher Chad Wilbourn Case number: 10-cv-01719 (United States District Court for the Northern District of Texas) Case filed: August 31, 2010 Qualifying Judgment/Order: March 29, 2012	06/04/2012	09/02/2012
2012-049	SEC v. Option One Mortgage Corporation n/k/a Sand Canyon Corporation Case number: 12-cv-00633 (United States District Court for the Central District of California) Case filed: April 24, 2012 Qualifying Judgment/Order: May 2, 2012	06/04/2012	09/02/2012
2012-048	SEC v. Kenneth A. Dachman, Scott A. Wolf, and Stone Lion Management, Inc. Case number: 12-cv-00821 (United States District Court for the Northern District of Illinois) Case filed: February 6, 2012 Qualifying Judgment/Order: April 4, 2012	06/04/2012	09/02/2012
2012-047	In the Matter of GMB Capital Management LLC n/k/a Clearstream Investments LLC, GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran Administrative Proceeding File No.: 3-14854 Case filed: April 20, 2012 Qualifying Judgment/Order: April 20, 2012	06/04/2012	09/02/2012
2012-046	In the Matter of UBS Financial Services Inc. of Puerto Rico Administrative Proceeding File No.: 3-14863 Case filed: May 1, 2012 Qualifying Judgment/Order: May 1, 2012	06/04/2012	09/02/2012
2012-045	SEC v. United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony "Tony" J. Oliva Case number: 10-cv-00568 (United States District Court for the District of New Mexico) Case filed: June 14, 2010 Qualifying Judgment/Order: March 2, 2012	05/02/2012	07/31/2012
2012-044	SEC v. Petroleum Unlimited LLC, Petroleum Unlimited II LLC, Roger A. Kimmel, Jr., Harry Nyce, Michel-Jean Geraud, Robert Rossi, Joseph Valko, and Morgan Kimmel, n/k/a Morgan Petitti Case number: 11-cv-80038 (United States District Court for the Southern District of Florida) Case filed: January 12, 2011 Qualifying Judgment/Order: March 19, 2012	05/02/2012	07/31/2012
2012-043	SEC v. Pentagon Capital Management PLC and Lewis Chester Case number: 08-cv-03324 (United States District Court of the Southern District of New York) Case filed: April 3, 2008 Qualifying Judgment/Order: March 28, 2012	05/02/2012	07/31/2012
2012-042	SEC v. Raymond P. Morris; E & R Holdings, LLC; Wise Financial Holdings, LLC; Momentum Leasing, LLC; James L. Haley; Cornerstone Capital Fund, LLC; Vantage Point Capital, LLC; Jay J. Linford; Freedom Group, LLC; and Luc D. Nguyen Case number: 11-cv-00021 (United States District Court for the District of Utah) Case filed: January 6, 2011 Qualifying Judgment/Order: March 21, 2012	05/02/2012	07/31/2012
2012-041	SEC v. Timothy J. McGee, Michael W. Zirinsky, Robert L. Zirinsky, Paulo Lam, a/k/a Paul Lam, and Marianna Sze Wan Ho Case number: 12-cv-01296 (United States District Court for the Eastern District of Pennsylvania) Case filed: March 13, 2012 Qualifying Judgment/Order: March 16, 2012	05/02/2012	07/31/2012
2012-040	SEC v. Neal R. Greenberg Case number: 11-cv-00313 (United States District Court for the District of Colorado) Case filed: February 7, 2011 Qualifying Judgment/Order: March 13, 2012	05/02/2012	07/31/2012
2012-039	SEC v. Matthew J. Gagnon Case number: 10-cv-11891 (United States District Court for the Eastern District of Michigan) Case filed: May 11, 2010 Qualifying Judgment/Order: March 22, 2012	05/02/2012	07/31/2012
2012-038	SEC v. Brenda A. Eschbach Case number: 12-cv-00244 (United States District Court for the Central District of California) Case filed: February 14, 2012 Qualifying Judgment/Order: March 16, 2012	05/02/2012	07/31/2012
2012-037	SEC v. Laurence M. Brown a/k/a Lawrence M. Brown and Ronald J. Mangini Case number: 10-cv-05564 (United States District Court for the Southern District of New York) Case filed: July 22, 2010 Qualifying Judgment/Order: March 22, 2012	05/02/2012	07/31/2012
2012-036	SEC v. Biomet, Inc. Case number: 12-cv-00454 (United States District Court for the District of Columbia) Case filed: March 26, 2012 Qualifying Judgment/Order: March 27, 2012	05/02/2012	07/31/2012
2012-035	SEC v. Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P. Case number: 12-cv-00409 (United States District Court for the Southern District of New York) Case filed: January 18, 2012 Qualifying Judgment/Order: April 6, 2012	05/02/2012	07/31/2012
2012-034	SEC v. mUrgent Corporation, Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski Case number: 11-cv-00626 (United States District Court for the Central District of California) Case filed: April 21, 2011 Qualifying Judgment/Order: March 1, 2012	04/03/2012	07/02/2012
2012-033	In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh And Mark W. Wells Administrative Proceeding File No.: 3-13532 Case filed: June 30, 2009 Qualifying Judgment/Order: February 27, 2012	04/03/2012	07/02/2012
2012-032	SEC v. Nicos Achilleas Stephanou, Ramesh Chakrapania, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis, and Joseph Contorinis Case number: 09-cv-1043 (United States District Court for the Southern District of New York) Case filed: February 5, 2009 Qualifying Judgment/Order: February 29, 2012	04/03/2012	07/02/2012
2012-031	SEC v. Robert C. Butler Case number: 11-cv-03792 (United States District Court for the Central District of California) Case filed: May 3, 2011 Qualifying Judgment/Order: March 6, 2012	04/03/2012	07/02/2012
2012-030	SEC v. Smith & Nephew PLC Case number: 12-cv-00187 (United States District Court for the District of Columbia) Case filed: February 6, 2012 Qualifying Judgment/Order: March 6, 2012	04/03/2012	07/02/2012
2012-029	SEC v. Magnum d'Or Resources, Inc., Joseph J. Glusic, Shannon Allen, Dwight Flatt, and David Della Sciucca, Jr. Case number: 11-cv-60920 (United States District Court for the Southern District of Florida) Case filed: April 29, 2011 Qualifying Judgment/Order: February 13, 2012	04/03/2012	07/02/2012
2012-028	SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Kozlowski, and Frank T. Noyes Case number: 05-cv-00480 (United States District Court for the District of Colorado) Case filed: March 15, 2005 Qualifying Judgment/Order: February 3, 2012	04/03/2012	07/02/2012
2012-027	SEC v. Andrey C. Hicks and Locust Offshore Management, LLC Case number: 11-cv-11888 (United States District Court for the District of Massachusetts) Case filed: October 26, 2011 Qualifying Judgment/Order: March 20, 2012	04/03/2012	07/02/2012
2012-026	SEC v. Christopher T. Vulliez and Amphor Advisors, LLC Case number: 11-cv-03458 (United States District Court for the Southern District of New York) Case filed: May 20, 2011 Qualifying Judgment/Order: January 30, 2012	03/05/2012	06/03/2012
2012-025	SEC v. Symbol Technologies, Inc., Tomo Razmilovic, Kenneth Jaeggi, Leonard Goldner, Brian Burke, Michael Degennaro, Frank Borghese, Christopher Desantis, James Heuschneider, Gregory Mortenson, James Dean, and Robert Donlon Case number: 04-cv-02276 (United States District Court for the Eastern District of New York) Case filed: June 3, 2004 Qualifying Judgment/Order: January 24, 2012	03/05/2012	06/03/2012
2012-024	SEC v. Daniel E. Ruettiger, Rocco Brandonisio, Stephen Decesare, Pawel P. Dynkowski, Kevin S. Kaplan, Gregg R. Mulholland, Mehmet Mustafoglu, Joseph A. Padilla, Angelo R. Panetta, Kevin J. Quinn, Andrea M. Ritchie, Chad P. Smanjak, and Gary J. Yocom Case number: 11-cv-02011 (United States District Court for the District of Nevada) Case filed: December 16, 2011 Qualifying Judgment/Order: January 19, 2012	03/05/2012	06/03/2012
2012-023	SEC. v. Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC Case number: 11-cv-01143 (United States District Court for the Central District of California) Case filed: February 7, 2011 Qualifying Judgment/Order: January 25, 2012	03/05/2012	06/03/2012
2012-022	SEC v. Magyar Telekom, PLC and Deutsche Telekom, AG Case number: 11-cv-09646 (United States District Court for the Southern District of New York) Case filed: December 29, 2011 Qualifying Judgment/Order: January 3, 2012	03/05/2012	06/03/2012
2012-021	SEC v. James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt Case number: 11-cv-01712 (United States District Court for the District of Arizona) Case filed: August 30, 2011 Qualifying Judgment/Order: January 12, 2012	03/05/2012	06/03/2012
2012-020	SEC v. GE Funding Capital Market Services, Inc. Case number: 11-cv-07465 (United States District Court for the District of New Jersey) Case filed: December 23, 2011 Qualifying Judgment/Order: January 23, 2012	03/05/2012	06/03/2012
2012-019	SEC v. Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation Case number: 11-cv-02976 (United States District Court for the Central District of California) Case filed: April 8, 2011 Qualifying Judgment/Order: January 25, 2012	03/05/2012	06/03/2012
2012-018	SEC v. CytoCore, Inc., Daniel J. Burns, and Robert F. McCullough, Jr. Case number: 11-cv-00246 (United States District Court for the Northern District of Illinois) Case filed: January 13, 2011 Qualifying Judgment/Order: January 31, 2012	03/05/2012	06/03/2012
2012-017	SEC v. Carlo G. Chiaese and C.G.C. Advisors, LLC Case number: 10-cv-05110 (United States District Court for the District of New Jersey) Case filed: October 5, 2010 Qualifying Judgment/Order: January 19, 2012	03/05/2012	06/03/2012
2012-016	SEC v. Christopher Love Blackwell, AV Bar Reg, Inc., and Millers A Game, LLC Case number: 11-cv-00234 (United States District Court for the Northern District of Texas) Case filed: February 7, 2011 Qualifying Judgment/Order: January 4, 2012	03/05/2012	06/03/2012
2012-015	SEC v. Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser Case number: 11-cv-01564 (United States District Court for the Central District of California) Case filed: October 11, 2011 Qualifying Judgment/Order: February 3, 2012	03/05/2012	06/03/2012
2012-014	SEC v. Eric J. Aronson; Vincent J. Buonauro, Jr.; Robert S. Kondratick; Fredric H. Aaron; PermaPave Industries, LLC; PermaPave USA Corp.; PermaPave Distributions, Inc.; Permeable Solutions, Inc.; Verigreen, LLC; and Interlink-US-Network, Ltd. Case number: 11-cv-07033 (United States District Court for the Southern District of New York) Case filed: October 6, 2011 Qualifying Judgment/Order: January 19, 2012	03/05/2012	06/03/2012
2012-013	SEC v. Wachovia Bank, N.A. (n/k/a Wells Fargo Bank, N.A.) Case number: 11-cv-07135 (United States District Court for the District of New Jersey) Case filed: December 8, 2011 Qualifying Judgment/Order: December 9, 2011	02/01/2012	05/01/2012
2012-012	In the Matter of Gary S. Bell Administrative Proceeding File No.: 3-14660 Case filed: December 13, 2011 Qualifying Judgment/Order: December 13, 2011	02/01/2012	05/01/2012
2012-011	SEC v. Mark Anthony Longoria, Daniel L. Devore, James Fleishman Bob Nguyen, Winifred Jiau, Walter Shimoon, Samir Barai, Jason Pflaum, Bakai Capital Management, Noah Freeman, and Donald Longueuil Case number: 11-cv-00753 (United States District Court for the Southern District of New York) Case filed: February 3, 2011 Qualifying Judgment/Order: December 23, 2011	02/01/2012	05/01/2012
2012-010	SEC v. Alfred S. Teo, Sr., Teren Seto Handelman, MAAA Trust FBO Mark, Andrew, Alan, and Alfred Teo, Jr., John D. Reier, Charles D. Fortune, Jerrold J. Johnston, Mark J. Lauzon, Philip Sacks, Mitchell L. Sacks, Richard A. Herron, Lawrence L. Rosen, and David M. Ross Case number: 04-cv-01815 (United States District Court for the District of New Jersey) Case filed: April 22, 2004 Qualifying Judgment/Order: December 20, 2011	02/01/2012	05/01/2012
2012-009	In the Matter of Investment Placement Group and Adolfo Gonzalez-Rubio Administrative Proceeding File No.: 3-14677 Case filed: December 23, 2011 Qualifying Judgment/Order: December 23, 2011	02/01/2012	05/01/2012
2012-008	In the Matter of Touradji Capital Management, L.P., Respondent Administrative Proceeding File No.: 3-14658 Case filed: December 9, 2011 Qualifying Judgment/Order: December 9, 2011	02/01/2012	05/01/2012
2012-007	SEC v. Myron Weiner Case number: 11-cv-05731 (United States District Court for the Eastern District of New York Case filed: November 22, 2011 Qualifying Judgment/Order: December 19, 2011	02/01/2012	05/01/2012
2012-006	SEC v. Advanced Optics Electronics, Inc.; Leslie S. Robins; JDC Swan, Inc., and Jason Claffey Case number: 11-cv-01321 (United States District Court for the Southern District of New York) Case filed: February 25, 2011 Qualifying Judgment/Order: December 19, 2011	02/01/2012	05/01/2012
2012-005	SEC v. David Ronald Allen; William F. Burbank IV; Alex Dowlatshahi; Ilya Drapkin; Christopher Mills; Gerald Patera; Robert Wilson; Associates Capital Leasing Joint Venture; Associates Funding Group, Inc.; Capital Bankers Group, Ltd.; China Voice Holding Corp.; D-Cap Associates Joint Venture; Development Capital Associates Joint Venture; Integrity Driven Network Corp.; Lucrative Enterprises, Corp.; MG TK Corp.; Silver Summit Holdings, LLC; Sleeping Bear, LLC; Strategic Capital; Synergetic Solutions, LLC; Third Securities Corp., and Townhome Communities Corp. Case number: 11-cv-00882 (United States District Court for the Northern District of Texas) Case filed: April 28, 2011 Qualifying Judgment/Order: December 2, 2011	02/01/2012	05/01/2012
2012-004	SEC v. Aon Corporation Case number: 11-cv-02256 (United States District Court for the District of Columbia) Case filed: December 20, 2011 Qualifying Judgment/Order: December 22, 2011	02/01/2012	05/01/2012
2012-003	SEC v. Richard Dalton and Universal Consulting Resources LLC Case number: 10-cv-02794 (United States District Court for the District of Colorado) Case filed: November 16, 2010 Qualifying Judgment/Order: December 7, 2011	02/01/2012	05/01/2012
2012-002	SEC v. Market Street Advisors; Shawn R. Merriman; LLC-1; LLC-2; Marque LLC-3, and LLC-4 Case number: 09-cv-00786 (United States District Court for the District of Colorado) Case filed: April 7, 2009 Qualifying Judgment/Order: December 23, 2011	02/01/2012	05/01/2012
2012-001	SEC v. LandOak Securities, LLC; Patrick L. Martin; and Michael A. Atkins Case number: 08-cv-00209 (United States District Court for the Eastern District of Tennessee) Case filed: May 22, 2008 Qualifying Judgment/Order: December 1, 2011	02/01/2012	05/01/2012
2011-217	In the Matter of UBS Securities LLC Administrative Proceeding File No.: 3-14620 Case filed: November 10, 2011	01/09/2012	04/08/2012
2011-216	SEC v. Dr. Joseph F. "Chip" Skowron III and Dr. Yves M. Benhamou Case number: 10-cv-08266 (United States District Court for the Southern District of New York) Case filed: November 2, 2010	01/09/2012	04/08/2012
2011-215	SEC v. Seisma Oil Research, LLC, a/k/a Seisma Energy Research, LLC, Seisma Energy Research, AVV, a/k/a Seisma Oil Research, AVV, Permian Asset Management, AVV, and Justin Solomon Case number: 10-cv-00095 (United States District Court for the Northern District of Texas) Case filed: June 16, 2010	01/09/2012	04/08/2012
2011-214	SEC v. Seaforth Meridian, Ltd., Seaforth Meridian Advisors, LLC, Seaforth Meridian Management, LLC, Alaln A. Assemi, Timothy J. Clyman, John D. Friedrich, Scott F. Klion, a/k/a James S. Tucker, and David Tanner Case number: 06-cv-4107 (United States District Court for the District of Kansas) Case filed: September 14, 2006	01/09/2012	04/08/2012
2011-213	SEC v. The Regency Group, LLC, Scott F. Gelbard, Jeffrey S. Koslosky, Aaron S. Lamkin, John J. Coutris, Michael J. Coutris, J. Coutris Partners, LP, Joseph S. Fernando, Wellington Capital Enterprises, Inc., James J. Coutris, and Dimitrios I. Gountis Case number: 09-cv-00497 (United States District Court for the District of Colorado) Case filed: March 9, 2009	01/09/2012	04/08/2012
2011-212	SEC v. Par Three Financial, Inc. and Melvin D. Ruth Case number: 05-cv-80779 (United States District Court for the Southern District of Florida) Case filed: August 25, 2005	01/09/2012	04/08/2012
2011-211	In the Matter of Morgan Stanley Investment Management Inc. Administrative Proceeding File No.: 3-14628 Case filed: November 16, 2011	01/09/2012	04/08/2012
2011-210	SEC v. Cheng Yi Liang Case number: 11-cv-00819 (United States District Court for the District of Maryland) Case filed: March 29, 2011	01/09/2012	04/08/2012
2011-209	SEC v. Thomas S. Labry and Cherokee Gas Systems, Inc. Case number: 10-cv-00018 (United States District Court for the Central District of California) Case filed: January 7, 2010	01/09/2012	04/08/2012
2011-208	SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman Case number: 11-cv-60432 (United States District Court for the Southern District of Florida) Case filed: February 28, 2011	01/09/2012	04/08/2012
2011-207	SEC v. Maynard L. Jenkins Case number: 09-cv-01510 (United States District Court for the District of Arizona) Case filed: July 22, 2009	01/09/2012	04/08/2012
2011-206	SEC v. George Wesley Harris, and Giant Operating, LLC Case number: 09-cv-01809 (United States District Court for the Northern District of Texas) Case filed: September 28, 2009	01/09/2012	04/08/2012
2011-205	In the Matter of FTN Financial Securities Corp. Administrative Proceeding File No.: 3-14632 Case filed: November 17, 2010	01/09/2012	04/08/2012
2011-204	SEC v. Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal, Schotenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman Case number: 09-cv-09208 (United States District Court for the Southern District of New York) Case filed: November 5, 2009	01/09/2012	04/08/2012
2011-203	SEC v. Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, Younger America, Inc. f/k/a Infinity Acquisition Corp., and James E. Pratt Case number: 09-cv-80524 (United States District Court for the Southern District of Florida) Case filed: April 2, 2009	01/09/2012	04/08/2012
2011-202	SEC v. America's Hedge Fund, L.P., Worldwide Partners LLC, and Christian Kuretski Case number: 04-cv-04640 (United States District Court for the Eastern District of New York) Case filed: October 28, 2004	12/01/2011	02/29/2012
2011-201	In the Matter of Banco Espirito Santo S.A. Administrative Proceeding File No.: 3-14599 Case filed: October 24, 2011	12/01/2011	02/29/2012
2011-200	In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management LLC, and Samir H. Bhatt Administrative Proceeding File No.: 3-14594 Case filed: October 19, 2011	12/01/2011	02/29/2012
2011-199	SEC v. Drake Asset Management LLC, and Oliver R. Grace, Jr. Case number: 11-cv-01905 (United States District Court for the District of Columbia) Case filed: October 31, 2011	12/01/2011	02/29/2012
2011-198	SEC v. Norman Forrest Germany, Germany Energy Company, and Eb Germany & Sons, LLC Case number: 11-cv-01252 (United States District Court for the Northern District of Texas) Case filed: June 10, 2011	12/01/2011	02/29/2012
2011-197	SEC v. Integrity Financial AZ LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller Case number: 10-cv-00782 (United States District Court for the Northern District of Ohio) Case filed: April 14, 2010	12/01/2011	02/29/2012
2011-196	SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton Case number: 07-cv-03444 (United States District Court for the Northern District of California) Case filed: July 2, 2007	12/01/2011	02/29/2012
2011-195	SEC v. Gregory N. McKnight, and Legisi Holdings, LLC Case number: 08-cv-11887 (United States District Court for the Eastern District of Michigan) Case filed: May 5, 2008	12/01/2011	02/29/2012
2011-194	In the Matter of Pipeline Trading Systems LLC, Fred J. Federspiel, and Alfred R. Berkeley III Administrative Proceeding File No.: 3-14600 Case filed: October 24, 2011	12/01/2011	02/29/2012
2011-193	SEC v. Trade-LLC, Philip W. Milton, and William H. Center Case number: 10-cv-80737 (United States District Court for the Southern District of Florida) Case filed: June 22, 2010	12/01/2011	02/29/2012
2011-192	In the Matter of Watts Water Technologies, Inc. and Leesen Chang Administrative Proceeding File No.: 3-14585 Case filed: October 13, 2011	12/01/2011	02/29/2012
2011-191	In the Matter of RBC Capital Markets, LLC Administrative Proceeding File No.: 3-14564 Case filed: September 27, 2011	11/01/2011	01/30/2012

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