Securities and Exchange Commission Whistleblower Awards List

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

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