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 on the continuation of this blog post. Previous award postings can be found here.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
 2013-129 |
SEC v. Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry A. Condron Case number: 12-cv-07488 (United States District Court for the Southern District of New York) Case filed: October 5, 2012 Qualifying Judgment/Order: January 13, 2014 |
01/17/2014 | 04/17/2014 |
2013-128 |
In the Matter of Daniel Bogar, Bernerd E. Young, and Jason T. Green Administrative Proceeding File No.: 3-15003 Case filed: August 31, 2012 Qualifying Judgment/Order: December 18, 2013 |
01/17/2014 | 04/17/2014 |
2013-127 |
SEC v. William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation Case number: 11-cv-0404 (United States District Court for the Southern District of New York) Case filed: January 20, 2011 Qualifying Judgment/Order: December 17, 2013 |
01/17/2014 | 04/17/2014 |
2013-126 |
SEC v. Lawrence J. Robbins Case number: 13-cv-06694 (United States District Court for the Southern District of New York) Case filed: September 23, 2013 Qualifying Judgment/Order: November 27, 2013 |
01/17/2014 | 04/17/2014 |
2013-125 |
SEC v. Waldyr Da Silva Prado Neto Case number: 12-cv-7094 (United States District Court for the Southern District of New York) Case filed: September 21, 2012 Qualifying Judgment/Order: January 7, 2014 |
01/17/2014 | 04/17/2014 |
2013-124 |
SEC v. Weatherford International Ltd. Case number: 13-cv-03500 (United States District Court for the Southern District of Texas) Case filed: November 26, 2013 Qualifying Judgment/Order: December 19, 2013 |
01/17/2014 | 04/17/2014 |
2013-123 |
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc. Administrative Proceeding File No.: 3-15642 Case filed: December 12, 2013 Qualifying Judgment/Order: December 12, 2013 |
01/17/2014 | 04/17/2014 |
2013-122 |
In the Matter of GLG Partners, Inc. and GLG Partners, L.P. Administrative Proceeding File No.: 3-15641 Case filed: December 12, 2013 Qualifying Judgment/Order: December 12, 2013 |
01/17/2014 | 04/17/2014 |
