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:
The previous SEC award postings.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
 2014-135 |
In the Matter of China Ruitai International Holdings Co., LTD., Dian Min Ma, Gang Ma, and Jin Tian Administrative Proceeding File No.: 3-15544 Case filed: September 30, 2013 Qualifying Judgment/Order: October 2, 2014 |
11/26/2014 | 02/24/2015 |
2014-134 |
SEC v. Dennis F. Wright Case number: 14-cv-01896 (United States District Court for the Middle District of Pennsylvania) Case filed: September 30, 2014 Qualifying Judgment/Order: October 9, 2014 |
11/26/2014 | 02/24/2015 |
2014-133 |
SEC v. Lee Cole, Linden Boyne, Kevin B. Donovan, and Timothy Quintanilla Case number: 12-cv-08167 (United States District Court for the Southern District Court of New York) Case filed: November 8, 2012 Qualifying Judgment/Order: October 8, 2014 |
11/26/2014 | 02/24/2015 |
2014-132 |
SEC v. Christopher Wheeler and OTCStockExchange.com Case number: 11-cv-06169 (United States District Court for the Southern District of New York) Case filed: January 14, 2011 Qualifying Judgment/Order: September 29, 2014 |
11/26/2014 | 02/24/2015 |
2014-131 |
In the Matter of Clean Energy Capital, LLC and Scott A. Brittenham Administrative Proceeding File No.: 3-15766 Case filed: October 17, 2014 Qualifying Judgment/Order: October 17, 2014 |
11/26/2014 | 02/24/2015 |
2014-130 |
In the Matter of Bio-Rad Laboratories, Inc. Administrative Proceeding File No.: 3-16231 Case filed: November 3, 2014 Qualifying Judgment/Order: November 3, 2014 |
11/26/2014 | 02/24/2015 |
2014-129 |
SEC v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, James C. Warras, Joseph N. Micelli, M.Y. Consultants, Inc., Anthony B. Brandel, M. Dwyer, LLC, and Sean P. Finn Case number: 13-cv-02280 (United States District Court for the District of Nevada) Case filed: December 16, 2013 Qualifying Judgment/Order: September 15, 2014 |
11/26/2014 | 02/24/2015 |
2014-128 |
SEC v. Timothy J. Coughlin, OICU LTD., and OICU Investments Corp. (both d/b/a “Oxford International Credit Union” and/or “Oxford International Cooperative Union”) Case number: 14-cv-00562 (United States District Court for the Southern District of Indiana) Case filed: April 11, 2014 Qualifying Judgment/Order: October 29, 2014 |
11/26/2014 | 02/24/2015 |
2014-127 |
In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC Administrative Proceeding File No.: 3-16192 Case filed: October 9, 2014 Qualifying Judgment/Order: October 9, 2014 |
11/26/2014 | 02/24/2015 |
2014-126 |
In the Matter of Layne Christensen Company Administrative Proceeding File No.: 3-16216 Case filed: October 27, 2014 Qualifying Judgment/Order: October 27, 2014 |
11/26/2014 | 02/24/2015 |
2014-125 |
SEC v. Abatement Corp. Holding Company Limited Case number: 14-cv-23336 (United States District Court for the Southern District of Florida) Case filed: September 10, 2014 Qualifying Judgment/Order: October 29, 2014 |
11/26/2014 | 02/24/2015 |
2014-124 |
Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle), and Jilapuhn, Inc. (d/b/a Her Majesty’s Credit Union) Case number: 12-cv-02939 (United States District Court for the District of Colorado) Case filed: November 8, 2012 Qualifying Judgment/Order: October 9, 2014 |
11/26/2014 | 02/24/2015 |
2014-123 |
SEC v. Agfeed Industries, Inc., Junhong Xiong, Selina Jin, Songyan Li, Shaobo Ouyang, Edward J. Pazdro, K. Ivan Gothner Case number: 14-cv-00663 (United States District Court for the Middle District of Tennessee) Case filed: March 11, 2014 Qualifying Judgment/Order: October 6, 2014 |
11/26/2014 | 02/24/2015 |
2014-122 |
SEC v. Nikolai S. Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage Case number: 12-cv-07125 (United States District Court for the Northern District of Illinois) Case filed: September 6, 2012 Qualifying Judgment/Order: September 30, 2014 |
11/26/2014 | 02/24/2015 |
2014-121 |
SEC vs. Resources Planning Group, Inc., and Joseph J. Hennessy Case number: 12-cv-09509 (United States District Court for the Northern District of Illinois) Case filed: November 29, 2012 Qualifying Judgment/Order: September 29, 2014 |
11/26/2014 | 02/24/2015 |
2014-120 |
SEC vs. Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC Case number: 11-cv-00723 (United States District Court for the District of Minnesota) Case filed: March 24, 2011 Qualifying Judgment/Order: September 22, 2014 |
11/26/2014 | 02/24/2015 |
