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 |
|---|---|---|---|
 2015-65 |
In the Matter of Nationwide Life Insurance Company Administrative Proceeding File No.: 3-16537 Case Filed: May 14, 2015 Qualifying Judgment/Order: May 14, 2015 |
6/30/15 | 9/28/15 |
2015-64 |
SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson Case Number: 15-cv-03528 (United States District Court for the District of New Jersey) Case Filed: May 26, 2015 Qualifying Judgment/Order: May 29, 2015 |
6/30/15 | 9/28/15 |
2015-63 |
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation Administrative Proceeding File No.: 3-16567 Case Filed: June 1, 2015 Qualifying Judgment/Order: June 1, 2015 |
6/30/15 | 9/28/15 |
2015-62 |
SEC v. Luis Chang and Everbright Development Overseas Limited Case Number: 14-cv-04132 (United States District Court for the Southern District of New York Case Filed: July 24, 2014 Qualifying Judgment/Order: May 15, 2015 |
6/30/15 | 9/28/15 |
2015-61 |
In the Matter of Deutsche Bank AG Administrative Proceeding File No.: 3-16557 Case Filed: May 26, 2015 Qualifying Judgment/Order: May 26, 2015 |
6/30/15 | 9/28/15 |
2015-60 |
In the Matter of BHP Billiton Ltd. And BHP Billton Plc Administrative Proceeding File No.: 3-16546 Case Filed: May 20, 2015 Qualifying Judgment/Order: May 20, 2015 |
6/30/15 | 9/28/15 |
2015-59 |
SEC v. Radius Capital Corp. and Robert A. DiGiorgio Case Number: 11-cv-00116 (United States District Court for the Middle District of Florida) Case Filed: March 7, 2011 Qualifying Judgment/Order: April 23, 2015 |
6/30/15 | 9/28/15 |
2015-58 |
In the Matter of David B. Havanich, Jr., Carmine A. DellaSala, Matthew D. Welch, Richard Hampton Scurlock, III, RTAG Inc. d/b/a Retirement Tax Advisory Group, Jose F. Carrio, Dennis K. Karasik, Carrio, Karasik & Associates, LLP, and Michael J. Salovay Administrative Proceeding File No.: 3-16354 Case Filed: January 23, 2015 Qualifying Judgments/Orders: 33-9791, 33-9792,33-9793 (May 26, 2015) |
6/30/15 | 9/28/15 |
2015-57 |
SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. Case Number: 13-cv-24360 (United States District Court for the Southern District of Florida) Case Filed: December 3, 2013 Qualifying Judgment/Order: May 26, 2015 |
6/30/15 | 9/28/15 |
2015-56 |
SEC v. Robert A. Gist and Gist, Kennedy & Associates, Inc. Case Number: 13-cv-01833 (United States District Court for the Northen District of Georgia) Case Filed: May 31, 2013 Qualifying Judgment/Order: May 1, 2015 |
6/30/15 | 9/28/15 |
2015-55 |
SEC v. Charles H. Merchant, Sr. and Southern USA Resources, Inc. Case Number: 13-cv-03879 (United States District Court for the Northern District of Georgia) Case Filed: November 22, 2013 Qualifying Judgment/Order: May 6, 2015 |
6/30/15 | 9/28/15 |
2015-54 |
In the Matter of Spectrum Concepts, LLC, Donald James Worswick, Michael Nicholas Grosso, and Michael Patrick Brown Administrative Proceeding File No.: 3-16358 Case Filed: January 23, 2015 Initial Decision: April 7, 2015 Qualifying Judgment/Order: May 20, 2015 |
6/30/15 | 9/28/15 |
