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 |
|---|---|---|---|
| 2015-12 | In the Matter of Standard & Poor’s Rating Services Administrative Proceeding File No.: 3-16348 Case Filed: January 21, 2015 Qualifying Judgment/Order: January 21, 2015 |
1/27/2015 | 4/27/2015 |
| 2015-11 | In the Matter of Standard & Poor’s Rating Services Administrative Proceeding File No.: 3-16346 Case Filed: January 21, 2015 Qualifying Judgment/Order: January 21, 2015 |
1/27/2015 | 4/27/2015 |
| 2015-10 | In the Matter of EDGA Exchange, Inc., and EDGX Exchange, Inc. Administrative Proceeding File No.: 3-16332 Case Filed: January 12, 2015 Qualifying Judgment/Order: January 12, 2015 |
1/27/2015 | 4/27/2015 |
| 2015-9 | SEC v. Michael B. Ferguson and Transactions Unlimited Case Number: 14-cv-04188 (United States District Court for the Northern District of California) Case Filed: September 29, 2014 Qualifying Judgment/Order: November 13, 2014 |
1/27/2015 | 4/27/2015 |
| 2015-8 | SEC v. John N. Irwin, CPA and Jacklin Associates, Inc. Case Number: 11-cv-04429 (United States District Court for the Eastern District of Pennsylvania) Case Filed: July 11, 2011 Qualifying Judgment/Order: December 19, 2014 |
1/27/2015 | 4/27/2015 |
| 2015-7 | SEC v. Alternative Green Technologies, Inc., Mitchell Segal, Belmont Partners, LLC, Joseph M, Howard Borg, David Ryan, Vikram Khanna, and Panascope Capital Inc. Case Number: 11-cv-09056 (United States District Court for the Southern District of New York) Case Filed: December 12, 2011 Qualifying Judgment/Order: December 15, 2014 |
1/27/2015 | 4/27/2015 |
| 2015-6 | SEC v. Larry R. Polhill Case Number: 13-cv-01729 (United States District Court for the Central District of California) Case Filed: September 24, 2013 Qualifying Judgment/Order: December 6, 2014 |
1/27/2015 | 4/27/2015 |
| 2015-5 | SEC v. Bill C. (Billy) Crafton, Jr. Case Number: 14-cv-02916 (United States District Court for the Southern District of California) Case Filed: December 10, 2014 Qualifying Judgment/Order: December 17, 2014 |
1/27/2015 | 4/27/2015 |
| 2015-4 | SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch Case Number: 11-cv-01962 (United States District Court for the Central District of California) Case Filed: December 21, 2011 Qualifying Judgment/Order: December 10, 2014 |
1/27/2015 | 4/27/2015 |
| 2015-3 | SEC vs. Brian N. Hollnagel and BCI Aircraft Leasing, Inc. Case Number: 07-cv-04538 (United States District Court for the Northern District of Illinois) Case filed: August 13, 2007 Qualifying judgment/order: December 18, 2014 |
1/27/2015 | 4/27/2015 |
| 2015-2 | In the Matter of Morgan Stanley & Co. LLC Administrative Proceeding File No.: 3-16310 Case Filed: December 10, 2014 Qualifying Judgment/Order: December 10, 2014 |
1/27/2015 | 4/27/2015 |
| 2015-1 | In the Matter of Bruker Corporation Administrative Proceeding File No.: 3-16314 Case Filed: December 15, 2014 Qualifying Judgment/Order: December 15, 2014 |
1/27/2015 | 4/27/2015 |
