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Home News

Update-Securities and Exchange Commission Whistleblower Awards List

Mary Jane WilmothbyMary Jane Wilmoth
October 23, 2013
in News, SEC
Reading Time: 11 mins read
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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.

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View the updated list on the continuation of this blog post. Updated 10-23-2013.

 

 

NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE

2013-101
SEC v. Edmund E. Wilson and Walter L. Ross
Case number: 13-cv-00188 (United States District Court for the District of Utah)
Case filed: March 14, 2013
Qualifying Judgment/Order: September 6, 2013
10/22/2013 01/20/2014

2013-100
In the Matter of TD Bank, N.A.
Administrative Proceeding File No.: 3-15512
Case filed: September 23, 2013
Qualifying Judgment/Order: September 23, 2013
10/22/2013 01/20/2014

2013-99
In the Matter of Shadron L. Stastney
Administrative Proceeding File No.: 3-15500
Case filed: September 18, 2013
Qualifying Judgment/Order: September 18, 2013
10/22/2013 01/20/2014

2013-98
SEC v. Petro-Suisse LTD. and Mark Gasarch
Case number: 12-cv-6221 (United States District Court for the Southern District of New York)
Case filed: August 14, 2012
Qualifying Judgment/Order: September 25, 2013
10/22/2013 01/20/2014

2013-97
Brian G. Elrod and Nova Dean Pack
Case number: 13-cv-02449 (United States District Court for the District of Colorado)
Case filed: September 9, 2013
Qualifying Judgment/Order: September 24, 2013
10/22/2013 01/20/2014

2013-96
SEC v. The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., Frank L. Pavlico III, a/k/a Frank Lorenzo, Brynee K. Baylor, Baylor & Jackson, P.L.L.C
Case number: 11-cv-02132 (United States District Court for the District of Columbia)
Case filed: November 30, 2011
Qualifying Judgment/Order: August 26, 2013
10/22/2013 01/20/2014

2013-95
In the Matter of Manikay Partners LLC
Administrative Proceeding File No.: 3-15488
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014

2013-94
Marcin Malarz, Jacek Sienkiewicz, and Arthur Lin
Case number: 11-cv-8803 (United States District Court for the Northern District of Illinois)
Case filed: December 12, 2011
Qualifying Judgment/Order: September 24, 2013
10/22/2013 01/20/2014

2013-93
In the Matter of Knight Capital Americas LLC
Administrative Proceeding File No.: 3-15570
Case filed: October 16, 2013
Qualifying Judgment/Order: October 16, 2013
10/22/2013 01/20/2014

2013-92
In the Matter of JPMorganChase & Co.
Administrative Proceeding File No.: 3-15507
Case filed: September 19, 2013
Qualifying Judgment/Order: September 19, 2013
10/22/2013 01/20/2014

2013-91
In the Matter of JGP Global Gestão de Recursos Ltda.
Administrative Proceeding File No.: 3-15479
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014

2013-90
SEC v Yusaf Jawed, Grifphon Asset Management LLC, Grifphon Holdings, LLC, and Robert P. Custis
Case number: 12-cv-01696 (United States District Court for the District of Oregon)
Case filed: September 20, 2012
Qualifying Judgment/Order: September 11, 2013
10/22/2013 01/20/2014

2013-89
SEC v. Harbinger Capital Partners LLC; Philip A. Falcone; and Peter A. Jenson
Case number: 12-cv-5028 (United States District Court for the Southern District of New York)
Case filed: June 27, 2012
Qualifying Judgment/Order: September 16, 2013
10/22/2013 01/20/2014

2013-88
In the Matter of Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC
Administrative Proceeding File No.: 3-15024
Case filed: May 3, 2013
Qualifying Judgment/Order: September 17, 2013
10/22/2013 01/20/2014

2013-87
GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum
Case number: 12-cv-7927 (United States District Court for the Northern District of Illinois)
Case filed: October 3, 2012
Qualifying Judgment/Order: July 30, 2013
10/22/2013 01/20/2014

2013-86
SEC v. Envision Direct L.L.C. and Gary R. Headding
Case number: 10-cv-00241 (United States District Court for the Central District of California)
Case filed: March 1, 2010
Qualifying Judgment/Order: June 4, 2013
10/22/2013 01/20/2014

2013-85
In the Matter of Deerfield Management Company, L.P.
Administrative Proceeding File No.: 3-15477
Case filed: September 16, 2013
Qualifying Judgment/Order: September 16, 2013
10/22/2013

Tags: Claim SEC AwardSECSecurities and Exchange CommissionWhistleblower Rewards
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Mary Jane Wilmoth

Mary Jane Wilmoth

Mary Jane Wilmoth is the publisher of Whistleblower Network News, where she heads the editorial staff. She writes about breaking whistleblower news, and False Claims Act whistleblowers, SEC whistleblowers, IRS whistleblowers, FCPA whistleblowers, and CFTC whistleblowers. Mary Jane is the managing partner at the whistleblower law firm Kohn, Kohn & Colapinto, and a frequent contributor to The Whistleblower and Qui Tam Blog. She is a licensed attorney in the District of Columbia and a graduate of the University of New Hampshire School of Law (formerly Franklin Pierce Law Center).

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