The SEC Office of the Whistleblower post Notices of Covered Action where a final judgement 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 on the continuation of this blog post. Updated 5-17-2013.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
 2013-51 |
In the Matter of Koninklijke Philips Electronics N.V. Administrative Proceeding File No.: 3-15265 Case filed: April 5, 2013 Qualifying Judgment/Order: April 5, 2013 |
5/17/2013 | 8/15/2013 |
2013-50 |
SEC v. Jorge Gomez and Roberto Aleph Espinosa Case number: 12-cv-21962 (United States District Court for the Southern District of Florida) Case filed: May 25, 2012 Qualifying Judgment/Order: June 12, 2012 |
5/17/2013 | 8/15/2013 |
2013-49 |
SEC v. Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd. Case number: 09-cv-1177 (United States District Court for the Northern District of California) Case filed: March 18, 2009 Qualifying Judgment/Order: April 26, 2013 |
5/17/2013 | 8/15/2013 |
2013-48 |
SEC v. Matthew John Ryan and Prime Rate And Return, LLC, individually and doing business as American Integrity Financial Co. Case number: 10-cv-0513 (United States District Court for the Northern District of New York) Case filed: May 3, 2010 Qualifying Judgment/Order: April 2, 2013 |
5/17/2013 | 8/15/2013 |
2013-47 |
SEC v. Grant Ivan Grieve; Finvest Asset Management, LLC; and Finvest Fund Management, LLC Case number: 09-cv-1198 (United States District Court for the Southern District of New York) Case filed: February 10, 2009 Qualifying Judgment/Order: April 29, 2013 |
5/17/2013 | 8/15/2013 |
2013-46 |
In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. Lagassa Administrative Proceeding File No.: 3-15299 Case filed: April 24, 2013 Qualifying Judgment/Order: April 24, 2013 |
5/17/2013 | 8/15/2013 |
2013-45 |
SEC v. Richard Verdiramo, Vincent L. Verdiramo, Esq., Edward Meyer, Jr., and Victoria Chen Case number: 10-cv-1888 (United States District Court for the Southern District of New York) Case filed: March 10, 2010 Qualifying Judgment/Order: April 29, 2013 |
5/17/2013 | 8/15/2013 |
2013-44 |
Parker Drilling Company Case number: 13-cv-00461 (United States District Court for the Eastern District of Virginia) Case filed: April 16, 2013 Qualifying Judgment/Order: April 23, 2013 |
5/17/2013 | 8/15/2013 |
2013-43 |
SEC v. Stanford International Bank, Ltd., Stanford Group Company, Stanford Capital Management, LLC, R. Allen Stanford, James M. Davis, and Laura Pendergest-Holt Case number: 09-cv-00298 (United States District Court for the Northern District of Texas) Case filed: February 17, 2009 Qualifying Judgment/Order: April 25, 2013 |
5/17/2013 | 8/15/2013 |
2013-42 |
SEC v. Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC and Brewer Investment Advisors, LLC Case number: 10-cv-6932 (United States District Court for the Northern District of Illinois) Case filed: October 28, 2010 Qualifying Judgment/Order: March 29, 2013 |
5/17/2013 | 8/15/2013 |
2013-41 |
SEC v. True North Finance Corporation, f/k/a CS Financing Corporation, Capital Solutions Monthly Income Fund, LP, f/k/a Hennessey Financial Monthly Income Fund, LP, Capital Solutions Distributors, LLC, Capital Solutions Management, LP, Transactional Finance Fund Management, LLC, Todd A. Duckson, Michael W. Bozora, Timothy R. Redpath, and Owen Mark Williams Case number: 10-cv-03995 (United States District Court for the District of Minnesota) Case filed: September 21, 2010 Qualifying Judgment/Order: April 15, 2013 |
5/17/2013 | 8/15/2013 |
2013-40 |
SEC v. Frank Bluestein Case number: 09-cv-13809 (United States District Court for the Eastern District of Michigan) Case filed: September 28, 2009 Qualifying Judgment/Order: April 24, 2013 |
5/17/2013 | 8/15/2013 |
