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:
The previous SEC award postings.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
 2014-146 |
In the Matter of F-Squared Investments, Inc. Administrative Proceeding File No.: 3-16325 Case filed: December 22, 2014 Qualifying Judgment/Order: December 22, 2014 |
12/29/2014 | 3/29/2015 |
| 2014-145 | SEC vs. Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. Burks Case number: 12-cv-00519 (United States District Court for the Western District of North Carolina) Case filed: August 17, 2012 Qualifying judgment/order: August 17, 2012In the Matter of Adam Troy Dooly Administrative Proceeding File No.: 3-15540 Case filed: September 30, 2013 Qualifying judgment/order: September 30, 2013 |
12/22/2014 | 3/22/2015 |
| 2014-144 | SEC vs. Garfield Taylor, Incorporated, Gibraltar Asset Management Group, LLC, Garfield M. Taylor, Benjamin C. Dalley, Jeffrey A. King, Randolph M. Taylor, Maurice G. Taylor, and William B. Mitchell Case number: 11-cv-02054 (United States District Court for the District of Columbia) Case filed: November 18, 2011 Qualifying judgment/order: March 28, 2013 |
12/22/2014 | 3/22/2015 |
| 2014-143 | In the Matter of Wedbush Securities Inc., Jeffrey Bell, and Christina Fillhart Administrative Proceeding File No.: 3-15913 Case filed: November 20, 2014 Qualifying judgment/order: November 20, 2014 |
12/22/2014 | 3/22/2015 |
| 2014-142 | In the Matter of Alan Gavornik, Nicholas Mariniello and Lee Argush Administrative Proceeding File No.: 3-16286 Case filed: November 24, 2014 Qualifying judgment/order: November 24, 2014 |
12/22/2014 | 3/22/2015 |
| 2014-141 | In the Matter of HSBC Private Bank (Suisse), SA Administrative Proceeding File No.: 3-16288 Case filed: November 25, 2014 Qualifying judgment/order: November 25, 2014 |
12/22/2014 | 3/22/2015 |
| 2014-140 | SEC vs. Larry J. Dearman, Sr. and Marya Gray Case number: 13-cv-00553 (United States District Court for the Northern District of Oklahoma) Case filed: August 27, 2013 Qualifying judgment/order: November 14, 2014 |
12/22/2014 | 3/22/2015 |
| 2014-139 | SEC vs. Matthew O. Madison, Dwight McGhee, and Infinity Exploration, LLC Case number: 13-cv-02499 (United States District Court for the Northern District of Texas) Case filed: June 28, 2013 Qualifying judgment/order: November 18, 2014 |
12/22/2014 | 3/22/2015 |
| 2014-138 | SEC vs. John K. Marcum and Guaranty Reserves Trust, LLC Case number: 13-cv-01361 (United States District Court for the Southern District of Indiana) Case filed: August 26, 2013 Qualifying judgment/order: November 18, 2014 |
12/22/2014 | 3/22/2015 |
| 2014-137 | SEC vs. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group, PLC, and Aetius Group, LLC Case number: 12-cv-11489 (United States District Court for the District of Massachusetts) Case filed: August 10, 2012 Qualifying judgment/order: November 24, 2014 |
12/22/2014 | 3/22/2015 |
| 2014-136 | SEC vs. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC Case number: 13-cv-00447 (United States District Court for the Western District of North Carolina) Case filed: August 6, 2013 Qualifying judgment/order: November 25, 2014 |
12/22/2014 | 3/22/2015 |
