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 |
|---|---|---|---|
 2015-36 |
SEC v. Life Partners Holdings, Inc., Brian Pardo, R. Scott Peden, and David M. Martin Case Number: 12-cv-00033 (United States District Court for the Western District of Texas) Case Filed: January 3, 2012 Qualifying Judgment/Order: January 16, 2015 |
4/1/15 | 6/30/15 |
2015-35 |
SEC v. Lawrence “Lee” Loomis, Loomis Wealth Solutions, LLC, John Hagener, and Lismar Financial Services, LLC Case Number: 10-cv-00458 (United States District Court for the Eastern District of California) Case Filed: February 23, 2010 Qualifying Judgment/Order: January 21, 2015 |
3/31/15 | 6/29/15 |
2015-34 |
SEC v. Steven Scoppetuolo, Robert Tocci, Sarang Ahuja, Richard White and Eric Gordon Case Number: 10-cv-20475 (United States District Court for the Southern District of Florida) Case Filed: February 16, 2010 Qualifying Judgment/Order: March 27, 2013 |
3/31/15 | 6/29/15 |
2015-33 |
SEC v. Robert A Walker, Dennis L. DeSender, and DLD Financial, LTD Case Number: 11-cv-03655 (United States District Court for the District of Minnesota) Case Filed: December 21, 2011 Qualifying Judgment/Order: January 30, 2015 |
3/31/15 | 6/29/15 |
2015-32 |
SEC vs. Mark F. Spangler and The Spangler Group, Inc. Case Number: 12-cv-00856 (United States District Court for the Western District of Washington) Case Filed: May 17, 2012 Qualifying Judgment/Order: November 13, 2014 |
3/31/15 | 6/29/15 |
2015-31 |
SEC v. John Gray, Christian Keller, Kyle Martin, and Aaron Shepard Case Number: 15-cv-00551 (United States District Court for the Northern District of California) Case Filed: February 5, 2015 Qualifying Judgment/Order: March 2, 2015 |
3/31/15 | 6/29/15 |
2015-30 |
SEC v. World Capital Market Inc.; WCM777 Inc.; WCM777 Ltd. d/b/a WCM777 Enterprises, Inc.; and Ming Xu a/k/a Phil Ming Xu Case Number: 14-cv-02334 (United States District Court for the Central District of California) Case Filed: March 27, 2014 Qualifying Judgment/Order: February 20, 2015 |
3/31/15 | 6/29/15 |
2015-29 |
SEC v. China Sky One Medical, Inc., and Yan-Qing Liu Case Number: 12-cv-07543 (United States District Court for the Central District of California) Case Filed: September 4, 2012 Qualifying Judgment/Order: March 4, 2015 |
3/31/15 | 6/29/15 |
2015-28 |
In the Matter of Sandra Dyche Administrative Proceeding File No.: 3-16398 Case Filed: February 20, 2015 Qualifying Judgment/Order: February 20, 2015 |
3/31/15 | 6/29/15 |
2015-27 |
SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc. Case Number: 13-cv-01658 (United States District Court for the District of Nevada) Case Filed: September 11, 2013 Qualifying Judgment/Order: January 27, 2015 |
3/31/15 | 6/29/15 |
2015-26 |
In the Matter of The Goodyear Tire & Rubber Company Administrative Proceeding File No.: 3-16400 Case Filed: February 24, 2015 Qualifying Judgment/Order: February 24, 2015 |
3/31/15 | 6/29/15 |
2015-25 |
In the Matter of BDO China Dahua CPA Co., Ltd.; Deloitte Touche Tohmatsu Certified Public Accountants Ltd.; Ernst & Young Hua Ming LLP; KPMG Huazhen (Special General Partnership); PricewaterhouseCoopers Zhong Tian CPAs Limited Administrative Proceeding File Nos.: 3-14872, 3-15116 Case Filed: February 6, 2015 Qualifying Judgment/Order: February 6, 2015 |
3/31/15 | 6/29/15 |
2015-24 |
SEC v. Lee Chi Ling Case Number: 13-cv-05364 (United States District Court for the Eastern District of New York) Case Filed: September 26, 2013 Qualifying Judgment/Order: February 11, 2015 |
3/31/15 | 6/29/15 |
2015-23 |
SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner Case Number: 15-cv-01142 (United States District Court for the Northern District of Illinois) Case Filed: February 5, 2015 Qualifying Judgment/Order: February 18, 2015 |
3/31/15 | 6/29/15 |
