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 on the continuation of this blog post. Previous award postings can be found here.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
 2013-121 |
SEC v. The NIR Group, LLC; Corey Ribotsky; and Daryl Dworkin Case number: 11-cv-04723 (United States District Court for the Eastern District of New York) Case filed: September 28, 2011 Qualifying judgment/order: November 13, 2013 |
12/20/2013 | 03/20/2014 |
2013-120 |
SEC v. Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc., and Kaleidoscope Real Estate, Inc. Case number: 12-cv-04257 (United States District Court for the Central District of California) Case filed: May 16, 2012 Qualifying judgment/order: November 1, 2013 |
12/20/2013 | 03/20/2014 |
2013-119 |
SEC v. Senen Pousa and Investment Intelligence Corporation PTY LLC Case number: 12-cv-00863 (United States District Court for the Western District of Texas) Case filed: September 18, 2012 Qualifying judgment/order: December 4, 2013 |
12/20/2013 | 03/20/2014 |
2013-118 |
SEC v. Imperiali, Inc., Daniel Imperato, Charles Fiscina, and Lawrence A. O’Donnell Case number: 12-cv-80021 (United States District Court for the Southern District of Florida) Case filed: January 9, 2012 Qualifying judgment/order: November 8, 2013 |
12/20/2013 | 03/20/2014 |
2013-117 |
SEC v. Steven Palladino and Viking Financial Group, Inc. Case number: 13-cv-11024 (United States District Court for the District of Massachusetts) Case filed: April 30, 2013 Qualifying judgment/order: November 18, 2013 |
12/20/2013 | 03/20/2014 |
2013-116 |
SEC v. RBS Securities Inc. Case number: 13-cv-01643 (United States District Court for the District of Connecticut) Case filed: November 7, 2013 Qualifying judgment/order: November 25, 2013 |
12/20/2013 | 03/20/2014 |
2013-115 |
SEC v. Robert L. Duncan Case number: 10-cv-03051 (United States District Court for the Northern District of Georgia) Case filed: September 23, 2010 Qualifying judgment/order: December 3, 2013 |
12/20/2013 | 03/20/2014 |
2013-114 |
In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC Administrative Proceeding File No.: 3-15654 Case filed: December 18, 2013 Qualifying judgment/order: December 18, 2013 In the Matter of Jonathan Samuel Daspin Administrative Proceeding File No.: 3-15652 Case filed: December 18, 2013 Qualifying judgment/order: December 18, 2013 In the Matter of Thomas Lekargeren Administrative Proceeding File No.: 3-15653Case filed: December 18, 2013 Qualifying judgment/order: December 18, 2013 |
12/20/2013 | 03/20/2014 |
2013-113 |
In the Matter of Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC Administrative Proceeding File No.: 3-15211 Case filed: November 20, 2013 Qualifying judgment/order: November 20, 2013 |
12/20/2013 | 03/20/2014 |
2013-112 |
In the Matter of Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation Administrative Proceeding File No.: 3-15621 Case filed: November 25, 2013 Qualifying judgment/order: November 25, 2013 |
12/20/2013 | 03/20/2014 |
| 2013-111 | In the Matter of Fifth Third Bancorp and Daniel Poston Administrative Proceeding File No.: 3-15635 Case filed: December 4, 2013 Qualifying Judgment/Order: December 4, 2013 |
12/5/2013 | 03/5/2014 |
| 2013-110 | SEC v. Diebold, Inc. Case number: 13-cv-01609 (United States District Court for the District of Columbia) Case filed: October 22, 2013 Qualifying judgment/order: November 5, 2013 |
11/21/2013 | 02/19/2014 |
| 2013-109 | SEC v. Berton M. Hochfeld and Hochfeld Capital Management, L.L.C. Case number: 12-cv-08202 (United States District Court for the Southern District of New York) Case filed: November 9, 2012 Qualifying judgment/order: October 2, 2013 |
11/21/2013 | 02/19/2014 |
| 2013-108 | SEC v. Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation Case number: 12-cv-8987 (United States District Court for the Southern District of New York) Case filed: December 11, 2012 Qualifying judgment/order: October 15, 2013 |
11/21/2013 | 02/19/2014 |
| 2013-107 | SEC v. Edward T. Stein Case number: 09-cv-3125 (United States District Court for the Southern District of New York) Case filed: April 1, 2009 Qualifying judgment/order: November 6, 2013 |
11/21/2013 | 02/19/2014 |
| 2013-106 | SEC v. Small Business Capital Corp., Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC. Case number: 12-cv-3237 (United States District Court for the Northern District of California) Case filed: June 21, 2012 Qualifying judgment/order: November 6, 2013 |
11/21/2013 | 02/19/2014 |
| 2013-105 | SEC v. China MediaExpress Holdings, Inc., and Zheng Cheng Case number: 13-cv-00927 (United States District Court for the District of Columbia) Case filed: June 20, 2013 Qualifying judgment/order: October 3, 2013 |
11/21/2013 | 02/19/2014 |
| 2013-104 | In the Matter of Stryker Corporation Administrative Proceeding File No.: 3-15587 Case filed: October 24, 2013 Qualifying judgment/order: October 24, 2013 |
11/21/2013 | 02/19/2014 |
| 2013-103 | In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern Administrative Proceeding File No.: 3-14853 Case filed: April 19, 2012 Qualifying judgment/order: October 22, 2013 |
11/21/2013 | 02/19/2014 |
| 2013-102 | In the Matter of Manarin Investment Counsel, Ltd., Manarin Securities Corp., and Roland R. Manarin Administrative Proceeding File No.: 3- 15549 Case filed:October 2, 2013 Qualifying Judgment/Order: October 2, 2013 |
11/21/2013 | 02/19/2014 |
