June 2014 SEC Whistleblower Awards List

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.


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

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

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

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

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

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

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

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

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

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

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