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 |
|---|---|---|---|
 2015-22 |
In the Matter of VCAP Securities, LLC, and Brett Thomas Graham Administrative Proceeding File No.: 3-16389 Case filed: February 19, 2015 Qualifying Judgment/Order: February 19, 2015 |
2/27/2015 | 5/28/2015 |
2015-21 |
SEC v. GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, and John A. Geringer Case number: 12-cv-02663 (United States District Court for the Northern District of California) Case filed: May 24, 2012 Qualifying Judgment/Order: February 3, 2015 |
2/27/2015 | 5/28/2015 |
2015-20 |
SEC v. Chan Tze Ngon and Jiang Xiangyuan Case number: 13-cv-06828 (United States District Court for the Southern District of New York) Case filed: September 26, 2013 Qualifying Judgment/Order: January 16, 2015 |
2/27/2015 | 5/28/2015 |
2015-19 |
In the Matter of UBS Securities LLC Administrative Proceeding File No.: 3-16338 Case filed: January 15, 2015 Qualifying Judgment/Order: January 15, 2015 |
2/27/2015 | 5/28/2015 |
2015-18 |
SEC v. Wwebnet, Inc. and Robert L. Kelly Case number: 12-cv-06581 (United States District Court for the Southern District of New York) Case filed: August 28, 2012 Qualifying Judgment/Order: January 16, 2015 |
2/27/2015 | 5/28/2015 |
2015-17 |
SEC v. Magdalena Tavella, Andres Horacio Ficicchia, Gonzalo Garcia Blaya, Lucia Mariana Hernando, Cecilia de Lorenzo, Adriana Rosa Bagattin, Daniella Patricia Goldman, Mariano Pablo Ferrari, Mariano Graciarena, and Fernando Loureyro Case number: 13-cv-04609 (United States District Court for the Southern District of New York) Case filed: July 3, 2013 Qualifying Judgment/Order: January 9, 2015 |
2/27/2015 | 5/28/2015 |
2015-16 |
In the Matter of Oppenheimer & Co. Inc. Administrative Proceeding File No.: 3-16361 Case filed: January 27, 2015 Qualifying Judgment/Order: January 27, 2015 |
2/27/2015 | 5/28/2015 |
2015-15 |
SEC v. Avon Products, Inc. Case number: 14-cv-09956 (United States District Court for the Southern District of New York) Case filed: December 17, 2014 Qualifying Judgment/Order: January 8, 2015 |
2/27/2015 | 5/28/2015 |
2015-14 |
SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter D. Kirschner, and Stuart M. Rubens Case number: 13-cv-62100 (United States District Court for the Southern District of Florida) Case filed: September 26, 2013 Qualifying Judgment/Order: December 9, 2014 |
2/27/2015 | 5/28/2015 |
2015-13 |
In the Matter of International Capital Group, LLC, Brian R. Nord, Larry Russell, Jr., and Todd J. Bergeron Administrative Proceeding File No.: 3-16366 Case filed: January 29, 2015 Qualifying Judgment/Order: January 29, 2015 |
2/27/2015 | 5/28/2015 |
