Update-Securities and Exchange Commission Whistleblower Awards List

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

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