SEC Whistleblowers Receive March 2014 Notices of Covered Action

The Securities and Exchange Commission (“SEC”) Office of the Whistleblower posted its March 2014 “Notices of Covered Action” yesterday.  This list, which the SEC updates monthly, notifies the public, and in particular those who have provided information to the SEC regarding perceived securities violations through the SEC Whistleblower Program, of enforcement actions that the commission has taken and which will likely result in monetary sanctions exceeding $1 million.  In connection wit these “covered actions,” any whistleblower who provided the SEC with original information that led to the successful enforcement action is eligible to apply for a whistleblower award.  The Dodd-Frank Act of 2010 entitles whistleblowers to awards in amounts up to 30 percent of the government’s monetary recovery.

Once a Notice of Covered Action is posted, individuals who believe they may be entitled to an award under the Dodd-Frank whistleblower program have 90 days to submit a completed Form WB-APP to the Office of the Whistleblower.  If you believe that you may be entitled to such an award under the Dodd-Frank Act and are considering applying, contact the experienced whistleblower attorneys at Katz, Marshall & Banks, to see if we can assist you in getting the reward you deserve.

Below is a table of the new Notices of Covered Action posted this month:

NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE

2014-34
In the Matter of Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr.
Administrative Proceeding File No.: 3-13871
Case filed: February 27, 2014
Qualifying judgment/order: February 27, 2014
3/24/2014 6/23/2014

2014-33
SEC v. Henry Morris, David J. Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC
Case number: 09-cv-02518 (United States District Court for the Southern District of New York)
Case filed: March 19, 2009
Qualifying judgment/order: March 3, 2014
3/24/2014 6/23/2014

2014-32
SEC v. George Garcy a/k/a Jorge Garcia, and Angelo Cuomo
Case number: 11-cv-02282 (United States District Court for the Eastern District of New York)
Case filed: May 11, 2011
Qualifying judgment/order: February 7, 2014
3/24/2014 6/23/2014

2014-31
SEC v. Dean P. Gross and Gregory W. Laser
Case number: 09-cv-09144 (United States District Court for the Central District of California)
Case filed: December 14, 2009
Qualifying judgment/order: February 12, 2014
3/24/2014 6/23/2014

2014-30
SEC v. Secure Capital Funding Corporation, Bertram Augustus Hill, PP&M Trade Partners, and Kiavanni Pringle
Case number: 11-cv-00916 (United States District Court for the District of New Jersey)
Case filed: February 18, 2011
Qualifying judgment/order: March 10, 2014
3/24/2014 6/23/2014

2014-29
SEC v. China Intelligent Lighting and Electronics, Inc., NIVS Intellimedia Technology Group, Inc., Tianfu Li, and Xuemei Li
Case number: 13-cv-05079 (United States District Court for the Southern District of New York)
Case filed: July 22, 2013
Qualifying judgment/order: March 10, 2014
3/24/2014 6/23/2014

2014-28
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc., Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA
Administrative Proceeding File No.: 3-15750
Case filed: February 12, 2014
Qualifying judgment/order: February 12, 2014
3/24/2014 6/23/2014

2014-27
SEC v. Delsa U. Thomas; The D. Christopher Capital Management Group, LLC; and The Solomon Fund, LP
Case number: 13-cv-00739 (United States District Court for the Northern District of Texas)
Case filed: February 15, 2013
Qualifying judgment/order: March 4, 2014
3/24/2014 6/23/2014

2014-26
SEC v. Recycle Tech, Inc., Keven Sepe, Ronny J. Halperin, Ryan Gonzalez, OTC Solutions LLC, Anthony Thompson, Pudong LLC, Jay Fung and David Rees
Case number: 12-cv-21656 (United States District Court for the Southern District of Florida)
Case filed: May 2, 2012
Qualifying judgment/order: February 14, 2014
3/24/2014 6/23/2014

2014-25
SEC v. Jeremy S. Fisher, The Good Life Financial Group, Inc., and The Good Life Global Enterprises, LLC
Case number: 13-cv-00683 (United States District Court for the Western District of Wisconsin)
Case filed: September 30, 2013
Qualifying judgment/order: October 16, 2013
3/24/2014 6/23/2014

2014-24
SEC v. John J. Bravata, Richard J. Trabulsy, Antonio M. Bravata, BBC Equities, LLC, and Bravata Financial Group, LLC
Case number: 09-cv-12950 (United States District Court for the Eastern District of Michigan)
Case filed: July 26, 2009
Qualifying judgment/order: March 6, 2014
3/24/2014 6/23/2014

2014-23
SEC v. Jerry S. Williams, Monk's Den, LLC, and First in Awareness, LLC
Case number: 12-cv-01068 (United States District Court for the District of Connecticut)
Case filed: July 20, 2012
Qualifying judgment/order: February 18, 2014
3/24/2014 6/23/2014
2014-22 SEC v. Burton Douglas Morriss, Acartha Group, LLC, MIC VII, LLC, Acartha Technology Partners, LP, and Gryphon Investments III, LLC
Case number: 12-cv-00080 (United States District Court for the Eastern District of Missouri)
Case filed: January 17, 2012
Qualifying Judgment/Order: February 26, 2014
3/7/2014 6/5/2014