Claim an Award: Updated 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 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

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