The SEC Office of the Whistleblower posts 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 by the SEC, individuals have 90 calendar days to apply for an award.
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
 2016-75 |
SEC v. Roger S. Bliss, an individual and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, a Utah Limited Liability Company, d/b/a Roger Bliss and Associates Club LLC, d/b/a Bliss Club LLC Case number: 15-cv-00098 (United States District Court for the District of Utah) Case filed: February 11, 2015 Qualifying Judgment/Order: April 19, 2016 |
5/31/2016 | 8/29/2016 |
2016-74 |
SEC v. American Pension Services, Inc., and Curtis L. De Young Case number: 14-cv-00309 (United States District Court for the District of Utah) Case filed: April 24, 2014 Qualifying Judgment/Order: April 21, 2016 |
5/31/2016 | 8/29/2016 |
2016-73 |
SEC v. Tomas Alberto Clarke Bethancourt, Jose Alejandro Hurtado, Haydee Leticia Pabon, Iuri Rodolfo Bethancourt, Ernesto Lujan, Benito Chinea and Joseph Flores Demeneses Jr. Case number: 13-cv-03074 (United States District Court for the Southern District of New York) Case filed: May 9, 2013 Qualifying Judgment/Order: April 7, 2016 |
5/31/2016 | 8/29/2016 |
2016-72 |
SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek Case number: 13-cv-03837 (United States District Court for the Southern District of New York) Case filed: June 5, 2013 Qualifying Judgment/Order: April 12, 2016 |
5/31/2016 | 8/29/2016 |
2016-71 |
In the Matter of Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA Administrative Proceeding File No.: 3-17212 Case filed: April 19, 2016 Qualifying Judgment/Order: April 19, 2016 |
5/31/2016 | 8/29/2016 |
2016-70 |
In the Matter of L & L Energy, Inc. Administrative Proceeding File No.: 3-15815 Case filed: March 27, 2014 Initial Decision: February 17, 2016 Qualifying Judgment/Order: April 13, 2016 |
5/31/2016 | 8/29/2016 |
2016-69 |
SEC v. Frederic Elm f/k/a Frederic Elmaleh, Elm Tree Investment Advisors LLC, Elm Tree Investment Fund LP, Elm Tree ‘e’Conomy Fund LP, and Elm Tree Motion Opportunity LP Case number: 15-cv-60082 (United States District Court for the Southern District of Florida) Case filed: January 15, 2015 Qualifying Judgment/Order: April 12, 2016 |
5/31/2016 | 8/29/2016 |
2016-68 |
In the Matter of Cabela’s Incorporated and Ralph W. Castner, CPA Administrative Proceeding File No.: 3-17227 Case filed: April 26, 2016 Qualifying Judgment/Order: April 26, 2016 |
5/31/2016 | 8/29/2016 |
2016-67 |
SEC v. Steven R. Maruksen, Jay C. Cope, Archer Advisors LLC Case number: 14-cv-03395 (United States District Court for the District of Minnesota) Case filed: September 8, 2014 Qualifying Judgment/Order: April 27, 2016 |
5/31/2016 | 8/29/2016 |
2016-66 |
SEC v. Inter Reef Ltd dba Profitable Sunrise Case number: 13-cv-01104 (United States District Court for the Northern District of Georgia) Case filed: April 4, 2013 Qualifying Judgment/Order: April 15, 2016 |
5/31/2016 | 8/29/2016 |
| 2016-65 | SEC v. Marrone Bio Innovations, Inc. Case Number: 16-cv-00321 (United States District Court for the Eastern District of California) Date Filed: February 17, 2016 Date of Qualifying Order/Judgment: March 8, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-64 | In the Matter of Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert Esq.; and Helena C. Sen, CPA Administrative Proceeding File No.: 3-17186 Date Filed: March 30, 2016 Date of Qualifying Order/Judgment: March 30, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-63 | In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation Administrative Proceeding File No.: 3-17169 Date Filed: March 14, 2016 Date of Qualifying Order/Judgment: March 14, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-62 | SEC v. Banc de Binary Ltd, Oren Shabat Laurent (f/k/a Oren Shabat), Et Binary Options Ltd., Bo Systes Ltd., Seychelles and BDB Services Ltd. Seychelles Case Number: 13-cv-00993 (United States District Court for the District of Nevada) Date Filed: June 5, 2013 Date of Qualifying Order/Judgment: February 25, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-61 | SEC v. Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello Case Number: 09-cv-00818 (United States District Court for the Central District of California) Date Filed: July 16, 2009 Date of Qualifying Order/Judgment: February 23, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-60 | SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane Properties Inc. Case Number: 16-cv-01636 (United States District Court for the District of New Jersey) Date Filed: March 24, 2016 Date of Qualifying Order/Judgment: March 28, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-59 | In the Matter of Novartis AG Administrative Proceeding File No.: 3-17177 Date Filed: March 23, 2016 Date of Qualifying Order/Judgment: March 23, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-58 | In the Matter of Las Vegas Sands Corp. Administrative Proceeding File No.: 3-17204 Date Filed: April 7, 2016 Date of Qualifying Order/Judgment: April 7, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-57 | SEC v. Gregory G. Jones Case Number: 15-cv-00438 (United States District Court for the Northern District of Texas) Date Filed: June 10, 2015 Date of Qualifying Order/Judgment: March 21, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-56 | SEC v. eCareer Holding, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks Case Number: 15-cv-80446 (United States District Court for the Southern District of Florida) Date Filed: April 7, 2015 Date of Qualifying Order/Judgment: March 2, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-55 | SEC v. Neal V. Goyal, Caldera Advisors, LLC, and Blue Horizon Asset Management, LLC Case Number: 14-cv-03900 (United States District Court for the Northern District of Illinois) Date Filed: May 28, 2014 Date of Qualifying Order/Judgment: March 9, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-54 | In the Matter of Navistar International Corporation Administrative Proceeding File No.: 3-17190 Date Filed: March 31, 2016 Date of Qualifying Order/Judgment: March 31, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-53 | SEC v. Aveo Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer Case Number: 16-cv-10607 (United States District Court for the District of Massachusetts) Date Filed: March 29, 2016 Date of Qualifying Order/Judgment: April 1, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-52 | In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable Administrative Proceeding File No: 3-17171 Date Filed: March 15, 2016 Date of Qualifying Order/Judgment: March 15, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-51 | SEC v. Bruce D. Strebinger, Brent Howard Chapman, and Muskateer Investments, Inc. Case Number: 14-cv-03533 (United States District Court for the Northern District of Georgia) Date Filed: November 3, 2014 Date of Qualifying Order/Judgment: March 15, 2016 |
4/29/2016 | 7/28/2016 |
| 2016-50 | In the Matter of Peter Kuperman and QED Benchmark Management, L.L.C. Administrative Proceeding File No.: 3-17075 Case filed: January 28, 2016 Qualifying Judgment/Order: January 28, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-49 | SEC v. eAdGear, Inc., eAdGear Holdings Limited, Charles S. Wang, Francis Y. Yuen, and Qian Cathy Zhang Case number: 14-cv-04294 (United States District Court for the Northern District of California) Case filed: September 24, 2014 Qualifying Judgment/Order: February 1, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-48 | SEC v. Scott Valente and The Eliv Group, LLC Case number: 14-cv-03974 (United States District Court for the Southern District of New York) Case filed: June 3, 2014 Qualifying Judgment/Order: February 17, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-47 | SEC v. Moazzam “Mark” Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC Case number: 15-cv-01025 (United States District Court for the Southern District of New York) Case filed: February 13, 2015 Qualifying Judgment/Order: February 9, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-46 | In the Matter of Qualcomm Incorporated Administrative Proceeding File No.: 3-17145 Case filed: March 1, 2016 Qualifying Judgment/Order: March 1, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-45 | SEC v. Newpoint Financial Services, Inc.; John Farahi; Gissou Rastegar Farahi; and Elaheh Amouei Case number: 10-cv-00124 (United States District Court for the Central District of California) Case filed: January 8, 2010 Qualifying Judgment/Order: February 29, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-44 | SEC v. VimpelCom Ltd Case number: 16-cv-01266 (United States District Court for the Southern District of New York) Case filed: February 18, 2016 Qualifying Judgment/Order: February 22, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-43 | In the Matter of George N. Krinos, Krinos Holdings, Inc., and Fordgate Acquisition Corp. Administrative Proceeding File No.: 3-16202 Case filed: October 16, 2014 Initial Decision: December 21, 2015 Qualifying Judgment/Order: February 3, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-42 | SEC v. Trevor G. Cook, Patrick J. Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLC Case number: 09-cv-03333 (United States District Court for the District of Minnesota) Case filed: November 23, 2009 Qualifying Judgment/Order: January 12, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-41 | In the Matter of PTC Inc. Administrative Proceeding File No.: 3-17118 Case filed: February 16, 2016 Qualifying Judgment/Order: February 16, 2016 |
3/31/2016 | 6/29/2016 |
| 2016-40 | In the Matter of IBC Funds, LLC Administrative Proceeding File No.: 3-17125 Case filed: February 19, 2016 Qualifying Judgment/Order: February 19, 2016 |
3/31/2016 | 6/29/2016 |
