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 9-23-2013.
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
 2013-84 |
SEC v. Phillip J. DeZwirek Case number: 13-cv-06135 (United States District Court for the Southern District of New York) Case filed: August 30, 2013 Qualifying Judgment/Order: September 10, 2013 |
09/20/2013 | 12/19/2013 |
2013-83 |
SEC v. John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, Ltd., Praetorian G Power I, LLC, Praetorian G Power II, LLC, Praetorian G Power IV, LLC, Praetorian G Power V, LLC, Praetorian G Power VI, LLC, David E. Howard II, John R. Arnold, First American Service Transmittals, Inc., Joseph Almazon, and Spartan Capital Partners Case number: 11-cv-08323 (United States District Court for the Southern District of New York) Case filed: November 17, 2011 Qualifying Judgment/Order: July 31, 2013 |
09/20/2013 | 12/19/2013 |
2013-82 |
SEC v. Joseph Simone; Island Capital Management, Inc., Joseph Lando; Joseph Caracciolo; Alfred Varricchio; Anthony Pianelli; Jill Pianelli; JAP JAP Enterprises, LLC; Brian Fabrizzi; Donald Sorrentino; Anthony Carannante, individually and d/b/a A&C Management; Steven Daronzio, individually and d/b/a/ A&C Management; Rochelle Roman; Shaun Sarnicola; Anthony Tanico; Andrea Lando-Tanico; AJT Ltd; AJGT Ltd.; Michael McCormack; Donna Centola; DMAC Services, Inc.; Andrew Caccioppoli; Thomas Macli; Donna Macli; Lumac Corp.; Gary Manfre; Ricahrd Manfre; and RAM Solutions, Inc. Case number: 07-cv-03928 (United States District Court for the Eastern District of New York) Case filed: September 20, 2007 Qualifying Judgment/Order: August 23, 2013 |
09/20/2013 | 12/19/2013 |
2013-81 |
SEC v. Scott London and Bryan Shaw Case number: 13-cv-02558 (United States District Court for the Central District of California) Case filed: April 11, 2013 Qualifying Judgment/Order: August 8, 2013 |
09/20/2013 | 12/19/2013 |
2013-80 |
SEC v. Firas A. Hamdan, individually and doing business as FAH Capital Partners Case number: 13-cv-00215 (United States District Court for the Southern District of Texas) Case filed: January 29, 2013 Qualifying Judgment/Order: August 20, 2013 |
09/20/2013 | 12/19/2013 |
2013-79 |
SEC v. Badin Rungruangnavarat Case number: 13-cv-04172 (United States District Court for the Northern District of Illinois) Case filed: June 5, 2013 Qualifying Judgment/Order: September 6, 2013 |
09/20/2013 | 12/19/2013 |
2013-78 |
SEC v. David B. Welliver and Dblaine Capital, LLC Case number: 11-cv-03076 (United States District Court for the District of Minnesota) Case filed: October 18, 2011 Qualifying Judgment/Order: August 13, 2013 |
09/20/2013 | 12/19/2013 |
2013-77 |
SEC v. Richard DeMaria Case number: 12-cv-04145 (United States District Court for the Northern District of Illinois) Case filed: May 29, 2012 Qualifying Judgment/Order: September 6, 2013 |
09/20/2013 | 12/19/2013 |
| 2013-76 | SEC v. Art Intellect, Inc., a Utah Corporation, d/b/a Mason Hill and Virtual MG, Patrick Merrill Brody, Laura A. Roser, and Gregory D. Wood Case number: 11-cv-00357 (United States District Court for the District of Utah) Case filed: April 18, 2011 Qualifying judgment/order: July 6, 2012 |
8/16/2013 | 11/14/2013 |
| 2013-75 | In the Matter of A.R. Schmeidler & Co., Inc. Administrative Proceeding File No.: 3-15399 Case filed: July 31, 2013 Qualifying judgment/order: July 31, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-74 | SEC v. Igors Nagaicevs Case number: 12-cv-0413 (United States District Court for the Northern District of California) Case filed: January 26, 2012 Qualifying judgment/order: July 18, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-73 | SEC v. Robert Stinson, Jr., Life’s Good, Inc., Life’s Good Stabl Mortgage Fund, LLC, Life’s Good High Yield Mortgage Fund, LLC, Life’s Good Capital Growth Fund, LLC, IA Capital Fund, LLC, and Keystone State Capital Corporation Case number: 10-cv-03130 (United States District Court for the Eastern District of Pennsylvania Case filed: June 29, 2010 Qualifying judgment/order: June 27, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-72 | SEC v. Mack D. Murrell, David Teekell, and Charles W. Adams Case number: 13-cv-12856 (United States District Court for the Eastern District of Michigan) Case filed: July 1, 2013 Qualifying judgment/order: July 19, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-71 | SEC v. Bryan Arias, Hugo A. Arias, Anthony C. Ciccone, Salvatore Ciccone, Diane Kaylor, Jason A. Keryc, Anthony Massaro, Christopher E. Curran, Ryan K. Dunaske, Michael P. Dunne, Martin C. Hartmann III, Michael D. Keryc, Ronald R. Roaldsen, Jr., and Laura Ann Tordy Case number: 12-cv-2937 (United States District Court for the Eastern District of New York) Case filed: June 12, 2012 Qualifying judgment/order: July 2, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-70 | SEC v. Keyuan Petrochemicals, Inc. and Aichun Li Case number: 13-cv-00263 (United States District Court for the District of Columbia) Case filed: February 28, 2013 Qualifying judgment/order: July 2, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-69 | SEC v. Fuqi International, Inc. and Yu Kwai Chong Case number: 13-cv-0995 (United States District Court for the District of Columbia) Case filed: July 1, 2013 Qualifying judgment/order: August 7, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-68 | SEC v. International Business Machines Corporation Case number: 11-cv-00563 (United States District for the District of Columbia) Case filed: March 18, 2011 Qualifying judgment/order: July 25, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-67 | In the Matter of ABN AMRO Bank, N.V. Administrative Proceeding File No.: 3-15401 Case filed: July 31, 2013 Qualifying judgment/order: July 31, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-66 | SEC v. Ryan M. Reynolds, Jason Wynn, Carlton Fleming, Beverage Creations, Inc., Bellatalia, LP, Wynn Industries, LLC, and Thomas Wade Investments, LLC Case number: 08-cv-0438 (United States District Court for the Northern District of Texas) Case filed: March 13, 2008 Qualifying judgment/order: July 11, 2013 |
8/16/2013 | 11/14/2013 |
| 2013-65 | SEC v. Geoffrey J. Eiten and National Financial Communications, Corp. Case number: 11-cv-12185 (United States District Court for the District of Massachusetts) Case filed: December 12, 2011 Qualifying judgment/order: July 24, 2013 |
8/16/2013 | 11/14/2013 |
