The SEC Office of the Whistleblower post Notices of Covered 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.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 below. Previous award postings can be found here.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
| 2014-57 |
In the Matter of Liquidnet, Inc.Administrative Proceeding File No.: 3-15912 Case filed: June 6, 2014 Qualifying judgment/order: June 6, 2014 |
06/06/2014 | 09/04/2014 |
| 2014-56 |
In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C.Administrative Proceeding File No.: 3-15860 Case filed: May 1, 2014 Qualifying Judgment/Order: May 1, 2014 |
05/22/2014 | 08/20/2014 |
| 2014-55 |
In the Matter of Hewlett-Packard CompanyAdministrative Proceeding File No.: 3-15832 Case filed: April 9, 2014 Qualifying Judgment/Order: April 9, 2014 |
05/22/2014 | 08/20/2014 |
| 2014-54 |
SEC v. Steven B. Heinz and S.B. Heinz & Associates, Inc.Case number: 13-cv-00753 (United States District Court for the District of Utah) Case filed: August 8, 2013 Qualifying Judgment/Order: April 28, 2014 |
05/22/2014 | 08/20/2014 |
| 2014-53 |
SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. BeckerCase number: 14-cv-02827 (United States District Court for the District of New Jersey) Case filed: May 5, 2014 Qualifying Judgment/Order: May 12, 2014 |
05/22/2014 | 08/20/2014 |
| 2014-52 |
SEC v. Armand R. Franquelin and Martin A. PoolCase number: 13-cv-00096 (United States District for the District of Utah) Case filed: July 2, 2013 Qualifying Judgment/Order: April 18, 2014 |
05/22/2014 | 08/20/2014 |
| 2014-51 |
SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP, and TN-KY Development Fund III LPCase number: 13-cv-00868 (United States District Court for the Middle District of Florida) Case filed: April 5, 2013 Qualifying Judgment/Order: April 18, 2014 |
05/22/2014 | 08/20/2014 |
| 2014-50 |
In the Matter of Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason MedvinAdministrative Proceeding File No.: 3-15823 Case filed: April 4, 2014 Qualifying Judgment/Order: April 4, 2014 |
05/22/2014 | 08/20/2014 |
| 2014-49 |
SEC v. Seven Palm Investments, LLC, Peter P. Veugeler, Cardiovascular Sciences, Inc., and Lawrence H. Hooper, Jr.Case number: 10-cv-02755 (United States District Court for the Northern District of Illinois) Case filed: May 4, 2010 Qualifying Judgment/Order: April 21, 2014 |
05/22/2014 | 08/20/2014 |
| 2014-48 |
SEC v. CVS Caremark Corp.Case number: 14-cv-0177 (United States District Court for the District of Rhode Island) Case filed: April 8, 2014 Qualifying Judgment/Order: April 8, 2014 |
05/22/2014 | 08/20/2014 |