Notice No. 2012-078

September 1, 2012

Notice of Covered Action – Abraham Gutterman, Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC d/b/a U.S. Principal Financial Services – Award Claims Due No Later than November 30, 2012

The Commodity Futures Trading Commission hereby gives notice that individuals may submit whistleblower award claims within 90 days from today’s date for the following matter:

• Federal Court in Florida Orders Over $2.5 Million in Sanctions against Abraham Gutterman and His Companies for Commodity Options Fraud and Misappropriation

• Order: Alliance Capital Metals LLC, et al.

The Commission posts Notices of Covered Actions for each Commission enforcement action where a final judgment or order – by itself or together with prior judgments or orders in the same action issued after July 21, 2010 – results in monetary sanctions exceeding $1 million.

Individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a Covered Action are eligible to claim a whistleblower award.

To make an award claim, you must submit a Form WB-APP by mail or facsimile to the following address:

Commodity Futures Trading Commission
Whistleblower Office
1155 21st Street, NW
Washington, DC 20581
Fax: (202) 418-5975

All award claims for this Notice must be received by no later than November 30, 2012.

Please note that by posting a Notice of Covered Action, the Commission has not made any determination that a whistleblower tip, complaint or referral led the Commission to open an investigation or file an enforcement action, or that an award to a whistleblower will be paid in connection with the action.

Please email any questions about this Notice to the Whistleblower Office at whistleblower@cftc.gov.

Notice No. 2012-078

Last Updated: August 31, 2012