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 |
|---|---|---|---|
 2014-119 |
In the Matter of Wells Fargo Advisors, LLC Administrative Proceeding File No.: 3-16153 Case filed: September 22, 2014 Qualifying Judgment/Order: September 22, 2014 |
10/23/2014 | 01/21/2015 |
2014-118 |
In the Matter of Babak (“Bobby”) Yazdani Administrative Proceeding File No.: 3-16160 Case filed: September 24, 2014 Qualifying Judgment/Order: September 24, 2014 |
10/23/2014 | 01/21/2015 |
2014-117 |
In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon Administrative Proceeding File No.: 3-16159 Case filed: September 24, 2014 Qualifying Judgment/Order: September 24, 2014 |
10/23/2014 | 01/21/2015 |
2014-116 |
In the Matter of Bank of America Corporation Administrative Proceeding File No.: 3-16177 Case filed: September 29, 2014 Qualifying Judgment/Order: September 29, 2014 |
10/23/2014 | 01/21/2015 |
2014-115 |
In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-16154 Case filed: September 23, 2014 Qualifying Judgment/Order: September 23, 2014 |
10/23/2014 | 01/21/2015 |
2014-114 |
In the Matter of Latour Trading LLC and Nicolas Niquet Administrative Proceeding File No.: 3-16128 Case filed: September 17, 2014 Qualifying Judgment/Order: September 17, 2014 |
10/23/2014 | 01/21/2015 |
2014-113 |
In the Matter of Wilmington Trust Corporation Administrative Proceeding File No.: 3-16098 Case filed: September 11, 2014 Qualifying Judgment/Order: September 11, 2014 |
10/23/2014 | 01/21/2015 |
2014-112 |
In the Matter of Whitebox Advisors LLC Administrative Proceeding File No.: 3-16117 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014 |
10/23/2014 | 01/21/2015 |
2014-111 |
In the Matter of BlackRock Institutional Trust Company, N.A. Administrative Proceeding File No.: 3-16120 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014 |
10/23/2014 | 01/21/2015 |
2014-110 |
In the Matter of Lincolnshire Management, Inc. Administrative Proceeding File No.: 3-16139 Case filed: September 22, 2014 Qualifying Judgment/Order: September 22, 2014 |
10/23/2014 | 01/21/2015 |
2014-109 |
SEC v. Tyrone L. Gilliams, Jr. and TL Gilliams, LLC Case number: 11-cv-08201 (United States District Court for the Southern District of New York) Case filed: November 14, 2011 Qualifying Judgment/Order: September 16, 2014 |
10/23/2014 | 01/21/2015 |
2014-108 |
SEC v. AIC, Inc., Community Bankers Securities, LLC, Nicholas D. Skaltsounis, John B. Guyette, and John R. Graves Case number: 11-cv-00176 (United States District Court for the Eastern District of Tennessee) Case filed: April 15, 2011 Qualifying Judgment/Order: August 1, 2014 |
10/23/2014 | 01/21/2015 |
2014-107 |
SEC v. Trendon T. Shavers and Bitcoin Savings and Trust Case number: 13-cv-00416 (United States District Court for the Eastern District of Texas) Case filed: July 23, 2013 Qualifying Judgment/Order: September 18, 2014 |
10/23/2014 | 01/21/2015 |
2014-106 |
SEC v. Gordon A. Driver and Axcess Automation, LLC Case number: 09-cv-03410 (United States District Court for the Central District of California) Case filed: May 14, 2009 Qualifying Judgment/Order: September 23, 2014 |
10/23/2014 | 01/21/2015 |
2014-105 |
SEC v. Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, and Susana Gomez Case number: 13-cv-01865 (United States District Court for the Central District of California) Case filed: August 13, 2012 Qualifying Judgment/Order: August 14, 2012 |
10/23/2014 | 01/21/2015 |
2014-104 |
In the Matter of RA Capital Management, LLC Administrative Proceeding File No.: 3-16109 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014 |
10/23/2014 | 01/21/2015 |
2014-103 |
SEC v. Paul Marshall, Bridge Securities, LLC a/k/a/ Bridge Financial, Bridge Equity, Inc., and FOGfuels, Inc. Case number: 13-cv-3032 (United States District Court for the Northern District of Georgia) Case filed: September 11, 2013 Qualifying Judgment/Order: September 16, 2014 |
10/23/2014 | 01/21/2015 |
| 2014-102 | SEC v. Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, Aluma Holdings LLC, Azure Trading LLC, Coastal Group Holdings, Inc., Greyhawk Equities LLC, Leonidas Group Holdings LLC, The Leonidas Group LLC, Nismic Sales Corp., The OGP Group LLC, Perlinda Enterprises LLC, Rio Sterling Holdings LLC, Slow Train Holdings LLC, and Spartan Group Holdings LLC Case number: 12-cv-09339 (United States District Court for the Southern District of New York) Case filed: December 21, 2012 Qualifying Judgment/Order: August 12, 2014 |
9/24/2014 | 12/23/2014 |
| 2014-101 | SEC v. Troy Lyndon and Ronald Zaucha Case number: 13-cv-00486 (United States District Court for the District of Hawaii) Case filed: September 24, 2013 Qualifying Judgment/Order: August 21, 2014 |
9/24/2014 | 12/23/2014 |
| 2014-100 | SEC v. Fleet Mutual Wealth Limited, and MWF Financial Limited, d/b/a Mutual Wealth Case number: 14-cv-01409 (United States District Court for the Central District of California) Case filed: February 25, 2014 Qualifying Judgment/Order: August 21, 2014 |
9/24/2014 | 12/23/2014 |
| 2014-99 | SEC v. James M. Peister and Northstar International Group Inc. Case number: 11-cv-03386 (United States District Court for the Eastern District of New York) Case filed: July 14, 2011 Qualifying Judgment/Order: August 19, 2014 |
9/24/2014 | 12/23/2014 |
| 2014-98 | In the Matter of Keith MacDonald Summers Administrative Proceeding File No.: 3-16014 Case filed: August 13, 2014 Qualifying Judgment/Order: August 13, 2014 |
9/24/2014 | 12/23/2014 |
| 2014-97 | In the Matter of Bank of America Corporation Administrative Proceeding File No.: 3-16028 Case filed: August 21, 2014 Qualifying Judgment/Order: August 21, 2014 |
9/24/2014 | 12/23/2014 |
| 2014-96 | SEC v. Blake B. Richards Case number: 13-cv-01729 (United States District Court for the Northern District of Georgia) Case filed: May 23, 2013 Qualifying Judgment/Order: August 26, 2014 |
9/24/2014 | 12/23/2014 |
| 2014-95 | Universal Travel Group, Jiangping Jiang and Jing Xie Case number: 13-cv-01492 (United States District Court for the District of Columbia) Case filed: September 27, 2013 Qualifying Judgment/Order: September 30, 2013 In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA Administrative Proceeding File No.: 3-15952 Case filed: July 1, 2014 Qualifying judgment/order: July 1, 2014 |
09/05/2014 | 12/04/2014 |
| 2014-94 | SEC v. Rajat K. Gupta and Raj Rajaratnam Case number: 11-cv-7566 (United States District Court for the Southern District of New York) Case filed: October 26, 2011 Qualifying Judgment/Order: December 26, 2012 |
