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 |
|---|---|---|---|
| 2015-53 | In the Matter of Julieann Palmer Martin Administrative Proceeding File No.: 3-15613 Case filed: November 13, 2013 Initial Decision: March 9, 2015 Qualifying Judgment/Order: April 21, 2015 |
5/29/2015 | 8/27/2015 |
| 2015-52 | SEC v. Guy M. Jean-Pierre, a/k/a “Marcelo Dominguez de Guerra” Case number: 12-cv-08886 (United States District Court for the Southern District of New York) Case filed: December 6, 2012 Qualifying Judgment/Order: April 16, 2015 |
5/29/2015 | 8/27/2015 |
| 2015-51 | SEC v. Macquarie Capital (USA), Inc., Aaron Black and William Fang Case number: 15-cv-02304 (United States District Court for the Southern District of New York) Case filed: March 27, 2015 Qualifying Judgment/Order: April 1, 2015 |
5/29/2015 | 8/27/2015 |
| 2015-50 | In the Matter of BlackRock Advisors, LLC and Bartholomew A. Battista Administrative Proceeding File No.: 3-16501 Case filed: April 20, 2015 Qualifying Judgment/Order: April 20, 2015 |
5/29/2015 | 8/27/2015 |
| 2015-49 | SEC v. Rudolf Pameijer, Lindsay R. Sayer, Ryan W. Koester, Rykoworks Capital Group, LLC Case number: 12-cv-01364 (United States District Court for the Southern District of Indiana) Case filed: September 24, 2012 Qualifying Judgment/Order: April 29, 2015 |
5/29/2015 | 8/27/2015 |
| 2015-48 | In the Matter of Jonathan Fortenberry (A/K/A S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) Administrative Proceeding File No.: 3-15858 Case filed: April 28, 2014 Initial Decision: March 2, 2015 Qualifying Judgment/Order: April 7, 2015 |
5/29/2015 | 8/27/2015 |
| 2015-47 | SEC v. Frank Perkins Hixon, Jr. Case number: 14-cv-00158 (United States District Court for the Western District of Texas) Case filed: February 20, 2014 Qualifying Judgment/Order: April 20, 2015 |
5/29/2015 | 8/27/2015 |
| 2015-46 | In the Matter of Larry C. Grossman and Gregory J. Adams Administrative Proceeding File No.: 3-15617 Case filed: April 7, 2014 Initial Decision: December 23, 2014 Qualifying Judgment/Order: April 22, 2015 |
5/29/2015 | 8/27/2015 |
| 2015-45 | SEC v. Eric William Johnson Case number: 14-cv-08825 (United States District Court for the Northern District of Illinois) Case filed: November 5, 2014 Qualifying Judgment/Order: April 13, 2015 |
5/29/2015 | 8/27/2015 |
