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:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
 2015-44 |
In the Matter of FLIR Systems, Inc. Administrative Proceeding File No.: 3-16478 Case Filed: April 8, 2015 Qualifying Judgment/Order: April 8, 2015 |
4/30/15 | 7/29/15 |
2015-43 |
SEC vs. Ronald Feldstein, Mara Capital Management LLC, and Vita Health of Americal, LLC Case Number: 13-cv-06168 (United States District Court for the Southern District of New York) Case Filed: Septmber 3, 2013 Qualifying Judgment/Order: March 16, 2015 |
4/30/15 | 7/29/15 |
2015-42 |
In the Matter of Global Fixed Income, LLC, Charles Perlitz Kempf, AGS Capital Group, LLC, Allen Gabriel Silberstein, Banes Capital Management, LLC, Joel Leigh Banes, Michael Warner Kochman, Big Star Capital, LLC, Ryan Patrick Mcguinness, Esso Ventures, LLC, Mark Leonard Lechler, Etek Investment Management, Inc., Kevin Gregory Haley, Finmark Resources, LLC, Peter Eric Baker, Joseph Michael Araiz, Parker Paschal & Company, LLC, Andrew Parker Shook, PMK Capital Management, LLC, Roger Kumar, Jr., RLJ Fixed Income, LLC, and Corey Antwuan Printup Administrative Proceeding File No.: 3-16460 Case Filed: March 26, 2015 Qualifying Judgment/Order: March 26, 2015 |
4/30/15 | 7/29/15 |
2015-41 |
SEC vs. StratoComm Corporation, Roger D. Shearer, and Craig Danzig Case Number: 11-cv-01188 (United States District Court for the Northern District of New York) Case Filed: October 4, 2011 Qualifying Judgment/Order: March 26, 2015 |
4/30/15 | 7/29/15 |
2015-40 |
SEC vs. Charles R. Kokesh Case Number: 09-cv-01021 (United States District Court for the District of New Mexico) Case Filed: October 27, 2009 Qualifying Judgment/Order: March 30, 2015 |
4/30/15 | 7/29/15 |
2015-39 |
SEC v. Robert D. Falor Case Number: 09-cv-05644 (United States District Court for the Northern District of Illinois) Case Filed: September 11, 2009 Qualifying Judgment/Order: March 9, 2015 |
4/30/15 | 7/29/15 |
2015-38 |
SEC v. BioChemics, Inc., John J. Masiz, Craig Medoff and Gregory Kroning Case Number: 12-cv-12324 (United States District Court for the District of Massachusetts) Case Filed: December 14, 2012 Qualifying Judgment/Order: March 25, 2015 |
4/30/15 | 7/29/15 |
2015-37 |
SEC v. 8000, Inc., Johnathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan Case Number: 12-cv-07261 (United States District Court for the Southern District of New York) Case Filed: September 27, 2012 Qualifying Judgment/Order: April 7, 2015 |
4/30/15 | 7/29/15 |
