Whistleblower Protection Blog : Whistleblower Lawyer & Attorney : National Whistleblower Legal Defense and Education Fund : Whistleblower Protection, Fraud Claims : Washington DC

The SEC Office of the Whistleblower post Notices of Covered Action where a final judgement 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 on the continuation of this blog post. Updated 5-17-2013.

 

NOTICE NO.	ACTION	NOTICE DATE	CLAIM DUE DATE
2013-51	In the Matter of Koninklijke Philips Electronics N.V. Administrative Proceeding File No.: 3-15265 Case filed: April 5, 2013 Qualifying Judgment/Order: April 5, 2013	5/17/2013	8/15/2013
2013-50	SEC v. Jorge Gomez and Roberto Aleph Espinosa Case number: 12-cv-21962 (United States District Court for the Southern District of Florida) Case filed: May 25, 2012 Qualifying Judgment/Order: June 12, 2012	5/17/2013	8/15/2013
2013-49	SEC v. Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd. Case number: 09-cv-1177 (United States District Court for the Northern District of California) Case filed: March 18, 2009 Qualifying Judgment/Order: April 26, 2013	5/17/2013	8/15/2013
2013-48	SEC v. Matthew John Ryan and Prime Rate And Return, LLC, individually and doing business as American Integrity Financial Co. Case number: 10-cv-0513 (United States District Court for the Northern District of New York) Case filed: May 3, 2010 Qualifying Judgment/Order: April 2, 2013	5/17/2013	8/15/2013
2013-47	SEC v. Grant Ivan Grieve; Finvest Asset Management, LLC; and Finvest Fund Management, LLC Case number: 09-cv-1198 (United States District Court for the Southern District of New York) Case filed: February 10, 2009 Qualifying Judgment/Order: April 29, 2013	5/17/2013	8/15/2013
2013-46	In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. Lagassa Administrative Proceeding File No.: 3-15299 Case filed: April 24, 2013 Qualifying Judgment/Order: April 24, 2013	5/17/2013	8/15/2013
2013-45	SEC v. Richard Verdiramo, Vincent L. Verdiramo, Esq., Edward Meyer, Jr., and Victoria Chen Case number: 10-cv-1888 (United States District Court for the Southern District of New York) Case filed: March 10, 2010  Qualifying Judgment/Order: April 29, 2013	5/17/2013	8/15/2013
2013-44	Parker Drilling Company Case number: 13-cv-00461 (United States District Court for the Eastern District of Virginia) Case filed: April 16, 2013 Qualifying Judgment/Order: April 23, 2013	5/17/2013	8/15/2013
2013-43	SEC v. Stanford International Bank, Ltd., Stanford Group Company, Stanford Capital Management, LLC, R. Allen Stanford, James M. Davis, and Laura Pendergest-Holt Case number: 09-cv-00298 (United States District Court for the Northern District of Texas) Case filed: February 17, 2009 Qualifying Judgment/Order: April 25, 2013	5/17/2013	8/15/2013
2013-42	SEC v. Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC and Brewer Investment Advisors, LLC Case number: 10-cv-6932 (United States District Court for the Northern District of Illinois) Case filed: October 28, 2010 Qualifying Judgment/Order: March 29, 2013	5/17/2013	8/15/2013
2013-41	SEC v. True North Finance Corporation, f/k/a CS Financing Corporation, Capital Solutions Monthly Income Fund, LP, f/k/a Hennessey Financial Monthly Income Fund, LP, Capital Solutions Distributors, LLC, Capital Solutions Management, LP, Transactional Finance Fund Management, LLC, Todd A. Duckson, Michael W. Bozora, Timothy R. Redpath, and Owen Mark Williams  Case number: 10-cv-03995 (United States District Court for the District of Minnesota) Case filed: September 21, 2010 Qualifying Judgment/Order: April 15, 2013	5/17/2013	8/15/2013
2013-40	SEC v. Frank Bluestein Case number: 09-cv-13809 (United States District Court for the Eastern District of Michigan) Case filed: September 28, 2009 Qualifying Judgment/Order: April 24, 2013	5/17/2013	8/15/2013

More notices are listed in my previous post. 

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On Apr 18, 2013, Rep. George Miller (D-CA) introduced bill to extend whistleblower protections to offshore oil and gas workers. Currently there is no federal law that protects oil and gas workers if they are retaliated against after they blow the whistle on workplace health and safety violations on the Outer Continental Shelf. Workers on oilrigs like the Deepwater Horizon risk losing their jobs if they report dangerous workplace conditions. The workers performing cleanup activities on the Outer Continental Shelf similarly have no protections against employer retaliation for raising health and safety concerns.

The Committee on Education and the Workforce Democrats issued a fact sheet about the Bill. The fact sheet calls for all workers to be protected when they blow the whistle on “concerns about unsafe working conditions” and to grant the workers the “right to stop working if they fear they could be injured or killed.”

“Employees are best situated to discover hazards in the work environment; they are the first line of detection and should be protected when raising concerns,” stated Stephen Kohn, Executive Director of the National Whistleblower Center. 

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On April 24, Senate Democrats delayed a confirmation vote on Labor Secretary nominee Thomas Perez. Committee Chairman Tom Harkin of Iowa was concerned that Republicans would use a threatened separate hearing as a forum to attack Perez in his absence. Read more.

Senate Republicans have criticized Perez for his involvement in a deal with the city of St. Paul, MN that left a whistleblower with nothing.  Senator Chuck Grassley, Ranking Member of the Senate Judiciary Committee in coordination with Issa and House Judiciary Chairman Bob Goodlatte, released a joint staff report about how Perez orchestrated a controversial quid pro quo with the city that prevented the Justice Department from recovering hundreds of millions of dollars back to the taxpayers, and left a whistleblower who filed the suit out in the cold.  

Here is an excerpt from the joint staff report. 

"In early February 2012, Assistant Attorney General Thomas E. Perez made a secret deal behind closed doors with St. Paul, Minnesota, Mayor Christopher Coleman and St. Paul’s outside counsel, David Lillehaug. Perez agreed to commit the Department of Justice to declining intervention in a False Claims Act qui tam complaint filed by whistleblower Fredrick Newell against the City of St. Paul, as well as a second qui tam complaint pending against the City, in exchange for the City’s commitment to withdraw its appeal in Magner v. Gallagher from the Supreme Court, an appeal involving the validity of disparate impact claims under the Fair Housing Act."

According to the joint staff report, this deal cost the U.S. Government the opportunity to recover as much as $200 million.

The Department of Labor’s OSHA Whistleblower Protection Program enforces the whistleblower provisions of more than twenty whistleblower statutes protecting employees who report violations of various workplace safety, airline, commercial motor carrier, consumer product, environmental, financial reform, food safety, health insurance reform, motor vehicle safety, nuclear, pipeline, public transportation agency, railroad, maritime, and securities laws. Rights afforded by these whistleblower acts include, but are not limited to, worker participation in safety and health activities, reporting a work related injury, illness or fatality, or reporting a violation of the statutes.

Read the full joint staff report here. 

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On April 12, 2013, the National Whistleblower Center filed an Amicus Curiae brief with the Merit Systems Protection Board (MSPB), in the case of King v. Department of the Air Force. At issue is whether the provision of the Whistleblower Protection Enhancement Act of 2012 (“WPEA”) regarding compensatory damages applies to all current cases pending before the MSPB. The MSPB requested stakeholders to file briefs on the issue as they did in Day v. Department of Homeland Security.  

In its brief, the NWC again strongly urged the MSPB to retroactively apply the WPEA to all pending cases. The MSPB’s decision will impact the fate of federal employees and whistleblowers that filed claims or suffered retaliation before the WEPA was signed into law on November 27, 2012.

Stephen M. Kohn, Executive Director of the NWC, said, “it is unequivocal that the intent of Congress was to apply the WPEA, including the provision on compensatory damages, to all pending cases retroactively.”

The NWC’s brief can be viewed here.

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Cathy Kangas, a Board member with the Humane Society of the United States, wrote a moving blog article yesterday about the importance of whistleblowers and why they should not be silenced.

The article states the alarming fact that "In 2013, lawmakers in 11 states have introduced anti-whistleblower bills." 

Here is a link to her article entitled "Silencing Whistleblowers."

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In an April 23, 2013 press release, the U.S. Department of Labor's Occupational Safety and Health Administration announced that it found that the Northeast Illinois Regional Commuter Railroad Corp., known as Metra, violated the Federal Railroad Safety Act.  The violation occurred when a signalman's work hours were changed and his position was eliminated after he made a safety complaint. The company is ordered to pay more than $38,080 in overtime, along with interest, compensatory damages and attorney's fees.

"An employer does not have the right to retaliate against employees who report safety issues," said Nick Walters, OSHA's regional administrator in Chicago. "When employees can't report safety concerns on the job without fear of retaliation, worker safety and, in this case, passenger safety on Metra, becomes a serious concern."

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The SEC Office of the Whistleblower post Notices of Covered Action where a final judgement 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 on the continuation of this blog post. Updated 4-23-2013.

Notice No.	Action	Notice Date	Claim Due Date
2013-39	SEC v. A Chicago Convention Center, LLC, Anshoo R. Sethi, and Intercontinental Regional Center Trust of Chicago, LLC Case number: 13-cv-00982 (United States District Court for the Northern District of Illinois) Case filed: February 6, 2013 Qualifying Judgment/Order: April 19, 2013	4/23/2013	7/22/2013
2013-38	SEC v. Big Apple Consulting USA, Inc., MJMM Investments, LLC, Marc Jablon, Matthew Maguire, Mark C. Kaley, and Keith Jablon Case number: 09-cv-1963 (United States District Court for the Middle District of Florida) Case filed: November 18, 2009 Qualifying Judgment/Order: March 29, 2013	4/15/2013	7/15/2013
2013-37	SEC v. 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis Case number: 12-cv-01289 (United States District Court for the District of Oregon) Case filed: July 17, 2012 Qualifying Judgment/Order: March 19, 2013	4/15/2013	7/15/2013
2013-36	In the Matter of Banco Comercial Português, S.A. Administrative Proceeding File No.: 3-15248 Case filed: March 18, 2013 Qualifying Judgment/Order: March 18, 2013	4/15/2013	7/15/2013
2013-35	SEC v. Verde Retirement LLC, a California limited liability company, Verde FX Nevada, LLC, a California limited liability company, Covenant Capital Partners, a California corporation, and Steven L. Hamilton Case number: 12-cv-0445 (United States District Court for the Southern District of California) Case filed: February 21, 2012 Qualifying Judgment/Order: March 28, 2013	4/15/2013	7/15/2013
2013-34	SEC v. City Capital Corporation, Ephren W. Taylor, II, and Wendy Jean Connor Case number: 12-cv-1249 (United States District Court for the Northern District of Georgia) Case filed: April 12, 2012 Qualifying Judgment/Order: March 7, 2013	4/15/2013	7/15/2013
2013-33	SEC v. Derek A. Nelson, Capital Mountain Holding Corp., Systems XXI, Act I, LLC, and Systems XXI, Act II, LLC Case number: 09-cv-2222 (United States District Court of the Northern District of Texas) Case filed: November 20, 2009 Qualifying Judgment/Order: March 6, 2013	4/15/2013	7/15/2013
2013-32	SEC v. Bridge Premium Finance, LLC (f/k/a Berjac of Colorado, LLC), Michael J. Turnock, and William P. Sullivan, II Case number: 12-cv-2131 (United States District Court for the District of Colorado) Case filed: August 14, 2012 Qualifying Judgment/Order: March 11, 2013	4/15/2013	7/15/2013
2013-31	SEC v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert C. Rice, and Robert S. Anderson Case number: 11-cv-11649 (United States District Court for the District of Massachusetts) Case filed: September 19, 2011 Qualifying Judgment/Order: March 13, 2013	4/15/2013	7/15/2013
2013-30	SEC v. M. Mark McAdams and R. Dane Freeman Case number: 10-cv-00701 (United States District Court for the District of South Carolina) Case filed: March 18, 2010 Qualifying Judgment/Order: March 1, 2013	4/15/2013	7/15/2013
2013-29	SEC v. Oversea Chinese Fund Limited Partnership, Weizhen Tang & Associates, Inc., Weizhen Tang Corp., Winwin Capital Management, LLC, Winwin Capital Limited Partnership, J.O.R. & Associates, LLC, and Weizhen Tang Case number: 09-cv-0614 (United States District Court for the Northern District of Texas) Case filed: April 3, 2009 Qualifying Judgment/Order: October 1, 2012	4/15/2013	7/15/2013
2013-28	SEC v. EFS, LLC, Freedom Fidelity, LLC, James N. Pratt, SP&V, LLC, and Timothy V. Coffin Case number: 06-cv-0793 (United States District Court for the Northern District of Texas) Case filed: May 3, 2006 Qualifying Judgment/Order: October 17, 2012	4/15/2013	7/15/2013
2013-27	SEC v. Merendon Mining (Nevada) Inc, Larry Lee Adair, Milowe Allen Brost a/k/a/ Milow Brost, M.B. Gonne or Phillip K. Collins, Ward K. Capstick, Bradley Dean Regier, Gary Allen Sorenson a/k/a Don Grey Fox, Martin M. Werner, Syndicated Gold Depository Inc, now known as Bahamas Resources Alliance Ltd., Merendon Mining Corp. Ltd., Institute For Financial Learning Group of Companies, Inc. Case number: 10-cv-00955 (United States District Court for the Western District of Washington) Case filed: June 10, 2010 Qualifying Judgment/Order: October 30, 2012	4/15/2013	7/15/2013
2013-26	SEC v. Chetan Kapur and Lilaboc, LLC, d/b/a ThinkStrategy Capital Management, LLC. Case number: 11-cv-8094 (United States District Court for the Southern District of New York) Case filed: November 10, 2011 Qualifying Judgment/Order: November 29, 2012	4/15/2013	7/15/2013

 

 

More notices are listed in my previous post. 

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The SEC Office of the Whistleblower post Notices of Covered Action where a final judgement 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 on the continuation of this blog post.

Notice No.	Action	Notice Date	Claim Due Date
2013-25	SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC. Case number: 10-cv-00263 (United States District Court for the District of New Mexico) Case filed: March 23, 2010 Qualifying Judgment/Order: February 14, 2013	03/11/2013	06/10/2013
2013-24	SEC v. Sky Way Global LLC (A/K/A Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S. Kent, Kenneth Bruce Baker (A/K/A Bruce Baker), and Kenneth R. Kramer Case number: 09-cv-00455 (United States District Court for the Middle District of Florida) Case filed: March 13, 2009 Qualifying Judgment/Order: February 22, 2013	03/11/2013	06/10/2013
2013-23	SEC v. Peter Siris, Guerrilla Capital Management, LLC, and Hua Mei 21st Century, LLC Case number: 12-cv-05810 (United States District Court for the Southern District of New York) Case filed: July 30, 2012 Qualifying Judgment/Order: September 18, 2012	03/11/2013	06/10/2013
2013-22	SEC v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed Executrix Case number: 08-cv-01112 (United States District Court for the Middle District of Tennessee) Case filed: November 18, 2008 Qualifying Judgment/Order: February 26, 2013	03/11/2013	06/10/2013
2013-21	In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Administrative Proceeding File No.: 3-15238 Case filed: March 11, 2013 Qualifying Judgment/Order: March 11, 2013	03/11/2013	06/10/2013
2013-20	SEC v. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc. Case number: 10-cv-1720 (United States District Court for the Southern District of New York) Case filed: March 4, 2010 Qualifying Judgment/Order: February 13, 2013	03/11/2013	06/10/2013
2013-19	SEC v. Gilbert G. Lundstrom, James A. Laphen, and Trevor A. Lundstrom Case number: 12-cv-00343 (United States District Court for the District of Nebraska) Case filed: Month DD, YYYY Qualifying Judgment/Order: September 25, 2012	03/11/2013	06/10/2013
2013-18	SEC v. Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC and Richard H. Nickles Case number: 10-cv-00423 (United States District Court for the Central District of California) Case filed: April 7, 2010 Qualifying Judgment/Order: September 24, 2012	03/11/2013	06/10/2013
2013-17	In the Matter of Focus Point Solutions, Inc., The H Group, Inc., and Christopher Keil Hicks Administrative Proceeding File No.: 3-15011 Case filed: September 6, 2012 Qualifying Judgment/Order: September 6, 2012	03/11/2013	06/10/2013
2013-16	SEC v. Howard Brett Berger Case number: 12-cv-4728 (United States District Court for the Eastern District of New York) Case filed: September 21, 2012 Qualifying Judgment/Order: January 22, 2013	03/11/2013	06/10/2013

You can find more Notices in my previous blog post here.

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Today the National Whistleblower Center filed an Amicus Curiae brief with the Merit Systems Protection Board (MSPB), in the case of Day v. Department of Homeland Security. At issue is whether the new definition of a protected disclosure set forth in the Whistleblower Protection Enhancement Act will apply to cases pending and/or which arose before that law was passed. The MSPB requested stakeholders to file briefs on the issue.

In its brief, the NWC strongly urged the MSPB to retroactively apply the WPEA’s definition of protected disclosure to all pending cases. The MSPB’s decision will impact the fate of federal employees and whistleblowers that filed claims or suffered retaliation before the WEPA was signed into law on November 27, 2012.

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The SEC Office of the Whistleblower post Notices of Covered Action where a final judgement 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 on the continuation of this blog post.

Notice No.	Action	Notice Date	Claim Due Date
2013-15	SEC v. David E. Ruskjer Case number: 09-cv-237 (United States District Court for the District of Hawaii) Case filed: May 27, 2009 Qualifying judgment/order: January 2, 2013	02/08/2013	05/09/2013
2013-14	SEC v. Eli Lilly and Company Case number: 12-cv-2045 (United States District Court for the District of Columbia) Case filed: December 20, 2012 Qualifying judgment/order: January 2, 2013	02/08/2013	05/09/2013
2013-13	SEC v. Igor Poteroba, Aleksey Koval and Alexander Vorobiev Case number: 10-cv-2667 (United States District Court for the Southern District of New York) Case filed: March 24, 2010 Qualifying judgment/order: January 15, 2013	02/08/2013	05/09/2013
2013-12	SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I Case number: 12-cv-1862 (United States District Court for the District of Columbia) Case filed: November 16, 2012 Qualifying judgment/order: January 8, 2013	02/08/2013	05/09/2013
2013-11	SEC v. Gary J. Martel, D/B/A Martel Financial Group, and MFG Funding Case number: 12-cv-11095 (United States District Court for the District of Massachusetts) Case filed: June 19, 2012 Qualifying judgment/order: January 7, 2013	02/08/2013	05/09/2013
2013-10	SEC v. Management Solutions, Inc., a Texas Corporation; Wendell A. Jacobson; and Allen R. Jacobson Case number: 11-cv-1165 (United States District Court for the District of Utah) Case filed: December 15, 2011 Qualifying judgment/order: December 18, 2012	1/4/2013	4/4/2013
2013-9	SEC v. BP p.l.c. Case number: 12-cv-2774 (United States District Court for the Eastern District of Louisiana) Case filed: November 15, 2012 Qualifying judgment/order: December 10, 2012	1/4/2013	4/4/2013
2013-8	SEC v. Tiger Asia Management, LLC, Tiger Asia Partners, LLC, Sung Kook (a/k/a Bill) Hwang, and Raymond Y.H. Park Case number: 12-cv-7601 (United States District Court for the District of New Jersey) Case filed: December 14, 2012 Qualifying judgment/order: December 17, 2012	1/4/2013	4/4/2013
2013-7	SEC v. Igor Cornelsen and Bainbridge Group Inc. Case number: 12-cv-8712 (United States District Court for the Southern District of New York) Case filed: November 30, 2012 Qualifying judgment/order: December 11, 2012	1/4/2013	4/4/2013
2013-6	In the Matter of Allianz SE Administrative Proceeding File No.: 3-15132 Case filed: December 17, 2012 Qualifying judgment/order: December 17, 2012	1/4/2013	4/4/2013
2013-5	SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDYLC Holdings Trust Case number: 11-cv-00315 (United States District Court for the Central District of California) Case filed: February 24, 2011 Qualifying judgment/order: December 18, 2012	1/4/2013	4/4/2013
2013-4	In the Matter of Fiduciary Asset Management, LLC Administrative Proceeding File No.: 3-15140 Case filed: December 19, 2012 Qualifying judgment/order: December 19, 2012	1/4/2013	4/4/2013
2013-3	SEC v. EagleEye Asset Management, LLC and Jeffrey A. Liskov Case number: 11-cv-11576 (United States District Court for the District of Massachusetts) Case filed: September 8, 2011 Qualifying judgment/order: December 12, 2012	1/4/2013	4/4/2013
2013-2	In the Matter of Aladdin Capital Management LLC and Aladdin Capital LLC Administrative Proceeding File No.: 3-15134 Case filed: December 17, 2012 Qualifying judgment/order: December 17, 2012	1/4/2013	4/4/2013
2013-1	SEC v. I. Joseph Massoud Case number: 12-cv-01691 (United States District Court for the District of Connecticut) Case filed: November 30, 2012 Qualifying judgment/order: December 10, 2012	1/4/2013	4/4/2013
2012-130	SEC v. Well Advantage Limited, Certain Unknown Traders in the Securities of Nexen, Inc. In an Account of Phillip Securities PTE LTD., and Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Citibank NA A/C HK 4 Case number: 12-cv-5786 (United States District Court for the Southern District of New York) Case filed: July 27, 2012 Qualifying Judgment/Order: November 7, 2012	12/7/2012	3/7/2013
2012-129	SEC v. Kenneth Ira Starr, Starr Investment Advisors, LLC, Starr & Company, LLC, and Jonathan Star Bristol Case number: 10-cv-4270 (United States District Court for the Southern District of New York) Case filed: May 27, 2010 Qualifying Judgment/Order: November 15, 2012	12/7/2012	3/7/2013
2012-128	SEC v. Kris Chellam Case number: 12-cv-7983 (United States District Court for the Southern District of New York) Case filed: October 26, 2012 Qualifying Judgment/Order: November 5, 2012	12/7/2012	3/7/2013
2012-127	SEC v. Christel S. Scucci, Karen S. Beach, Cameron H. Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLC Case number: 12-cv-00646 (United States District Court for the Middle District of Florida) Case filed: April 30, 2012 Qualifying Judgment/Order: November 5, 2012	12/7/2012	3/7/2013
2012-126	In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation Administrative Proceeding File No.: 3-15098 Case filed: November 16, 2012 Qualifying Judgment/Order: November 16, 2012	12/7/2012	3/7/2013
2012-125	SEC v. Joseph J. Monterosso, Luis E. Vargas, Lawrence E. Lynch, and Timothy Huff Case number: 7-cv-61693 (United States District Court for the Southern District of Florida) Case filed: November 21, 2007 Qualifying Judgment/Order: November 16, 2012	12/7/2012	3/7/2013
2012-124	SEC v. Anand Sekaran and Wasson Capital Advisors Ltd. Case number: 12-cv-8199 (United States District Court for the Southern District of New York) Case filed: November 9, 2012 Qualifying Judgment/Order: November 26, 2012	12/7/2012	3/7/2013

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