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