July 2015 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 below:


SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr.
Case number: 12-cv-10692 (United States District Court for the Central District of California)
Case filed: December 14, 2012
Qualifying Judgment/Order: May 11, 2015
7/31/2015 10/29/2015

SEC v. Joshua A. Yudell
Case number: 15-cv-04548 (United States District Court for the Southern District of New York)
Case filed: June 11, 2015
Qualifying Judgment/Order: June 16, 2015
7/31/2015 10/29/2015

SEC v. Andrew L. Evans
Case number: 15-cv-02551 (United States District Court for the Northern District of California)
Case filed: June 9, 2015
Qualifying Judgment/Order: June 10, 2015
7/31/2015 10/29/2015

In the Matter of Kohlberg Kravis Roberts & Co. L.P.
Administrative Proceeding File No.: 3-16656
Case filed: June 29, 2015
Qualifying Judgment/Order: June 29, 2015
7/31/2015 10/29/2015

In the Matter of Goldman, Sachs & Co.
Administrative Proceeding File No.: 3-16665
Case filed: June 30, 2015
Qualifying Judgment/Order: June 30, 2015
7/31/2015 10/29/2015

In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton
Administrative Proceeding File No.: 3-16672
Case filed: July 1, 2015
Qualifying Judgment/Order: July 1, 2015
7/31/2015 10/29/2015

In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield
Administrative Proceeding File No.: 3-16575
Case filed: June 5, 2015
Qualifying Judgment/Order: June 5, 2015
7/31/2015 10/29/2015

SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller
Case number: 10-cv-01235 (United States District Court for the Northern District of Ohio)
Case filed: June 2, 2010
Qualifying Judgment/Order: May 26, 2015
7/31/2015 10/29/2015

In the Matter of Helmut Anscheringer
Administrative Proceeding File No.: 3-16589
Case filed: June 15, 2015
Qualifying Judgment/Order: June 15, 2015
7/31/2015 10/29/2015

SEC v. Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner
Case number: 14-cv-80823 (United States District Court for the Southern District of Florida)
Case filed: June 23, 2014
Qualifying Judgment/Order: June 22, 2015
7/31/2015 10/29/2015

In the Matter of Alphabridge Capital Management, LLC, Thomas T. Kutzen, and Michael J. Carino
Administrative Proceeding File No.: 3-16670
Case filed: July 1, 2015
Qualifying Judgment/Order: July 1, 2015
7/31/2015 10/29/2015

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