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:
Previous award postings can be found here.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2014-93 | In the Matter of Linkbrokers Derivatives LLC Administrative Proceeding File No.: 3-16017 Case filed: August 14, 2014 Qualifying Judgment/Order: August 14, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-92 | In the Matter of LavaFlow, Inc. Administrative Proceeding File No.: 3-15985 Case filed: July 25, 2014 Qualifying Judgment/Order: July 25, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-91 | In the Matter of Ernst & Young LLP Administrative Proceeding File No.: 3-15970 Case filed: July 14, 2014 Qualifying Judgment/Order: July 14, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-90 | In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC Administrative Proceeding File No.: 3-15982 Case filed: July 24, 2014 Qualifying Judgment/Order: July 24, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-89 | In the Matter of Smith & Wesson Holding Corporation Administrative Proceeding File No.: 3-15986 Case filed: July 28, 2014 Qualifying Judgment/Order: July 28, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-88 | SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC Case number: 13-cv-00895 (United States District Court for the Northern District of California) Case filed: February 28, 2013 Qualifying Judgment/Order: August 1, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-87 | SEC v. John Babikian Case number: 14-cv-1740 (United States District Court for the Southern District of New York) Case filed: March 13, 2014 Qualifying Judgment/Order: July 8, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-86 | SEC v. Bryan S. Behrens and National Investments, Inc. Case number: 08-cv-00013 (United States District Court for the District of Nebraska) Case filed: January 10, 2008 Qualifying Judgment/Order: July 17, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-85 | SEC v. Citigroup Global Markets Inc. Case number: 11-cv-07387 (United States District Court for the Southern District of New York) Case filed: October 19, 2011 Qualifying Judgment/Order: August 5, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-84 | SEC v. Scott Ashton Riggs, Darrell Parlee, Steven Manderfeld, Ashton Oilfield Services, LLC, Ashton Equipment, LLC, AOS 1-A, L.P., and AOS 1-B, L.P. Case number: 13-cv-04403 (United States District Court for the Northern District of Texas) Case filed: November 1, 2013 Qualifying Judgment/Order: July 11, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-83 | SEC v. DDBO Consulting, Inc., DBBG Consulting, Inc., Dean R. Baker, and Bret A. Grove Case number: 14-cv-61685 (United States District Court for the Southern District of Florida) Case filed: July 24, 2014 Qualifying Judgment/Order: July 31, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-82 | SEC v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs Case number: 13-cv-23115 (United States District Court for the Southern District of Florida) Case filed: August 29, 2013 Qualifying Judgment/Order: July 11, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-81 | SEC v. Cedric Cañas Maillard and Julio Marín Ugedo Case number: 13-cv-05299 (United States District Court for the Southern District of New York) Case filed: July 30, 2013 Qualifying Judgment/Order: July 21, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-80 | SEC v. Patrick G. Rooney and Solaris Management, LLC Case number: 11-cv-08264 (United States District Court for the Northern District of Illinois) Case filed: November 18, 2011 Qualifying Judgment/Order: July 14, 2014 |
08/21/2014 | 11/19/2014 |
| 2014-79 | SEC v. CR Intrinsic Investors, LLC, Mathew Martoma, and Dr. Sidney Gilman Case number: 12-cv-8466 (United States District Court for the Southern District of New York) Case filed: November 20, 2012 Qualifying Judgment/Order: June 18, 2014 |
07/24/2014 | 10/22/2014 |
| 2014-78 | SEC v. John Lazorchak, Mark S. Cupo, Mark D. Foldy, Michael L. Castelli, Lawrence D. Grum, Michael T. Pendolino, and James N. Deprado Case number: 12-cv-07164 (United States District Court for the District of New Jersey) Case filed: November 19, 2012 Qualifying Judgment/Order: June 12, 2014 |
07/24/2014 | 10/22/2014 |
| 2014-77 | SEC v. Thomas Fletcher & Co. Inc., Thomas Fletcher & Company, Inc., Sergei Voronchenko, Roman Thaker, Alex Berg, John Donadio and Padraig McGlynn Case number: 02-cv-9355 (United States District Court for the Southern District of New York) Case filed: November 22, 2002 Qualifying Judgment/Order: June 19, 2014 |
07/24/2014 | 10/22/2014 |
| 2014-76 | SEC v. Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras); Sylvester M. Gray II; Alicia Bryan; Maxum Gold Bnk Holdings Limited; Maxum Gold Bnk Holdings LLC; FMP Medical Services Limited; and FMP Medical Services LLC Case number: 13-cv-07932 (United States District Court for the Central District of California) Case filed: October 28, 2013 Qualifying Judgment/Order: June 9, 2014 |
07/24/2014 | 10/22/2014 |
| 2014-75 | SEC v. Charles J. Dushek, Charles S. Dushek, and Capital Management Associates, Inc. Case number: 13-cv-03669 (United States District Court for the Northern District of Illinois) Case filed: May 16, 2013 Qualifying Judgment/Order: June 4, 2014 |
07/24/2014 | 10/22/2014 |
| 2014-74 | SEC v. Marcus A. Luna; Nathan Montgomery; Adam Daskivich; David Murtha; St. Paul Venture Fund, LLC; Minnesota Venture Capital, Inc.; Real Estate of Minnesota, Inc.; and Matrix Venture Capital, Inc. Case number: 10-cv-2166 (United States District Court for the District of Nevada) Case filed: December 14, 2010 Qualifying Judgment/Order: June 27, 2014 |
07/24/2014 | 10/22/2014 |
| 2014-73 | SEC v. Robert Hurd, Your Best Memories International, Inc., and Kenneth Gross Case number: 13-cv-04464 (United States District Court for the Central District of California) Case filed: June 20, 2013 Qualifying Judgment/Order: June 10, 2014 |
07/24/2014 | 10/22/2014 |
| 2014-72 | SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Case number: 12-cv-10643 (United States District Court for the District of Massachusetts) Case filed: April 11, 2012 Qualifying Judgment/Order: June 25, 2014 |