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 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 |
