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 7-9-2013.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|
 2013-63 |
William Graulich, IV and iVest International Holdings, Inc. Case number: 09-cv-4355 (United States District Court for the District of New Jersey) Case filed: August 26, 2009 Qualifying judgment/order: June 19, 2013 |
7/22/2013 | 10/21/2013 |
2013-62 |
SEC v. Victor Dosti and Whittier Trust Company Case number: 13-cv-3897 (United States District Court for the Southern District of New York) Case filed: June 7, 2013 Qualifying judgment/order: June 12, 2013 |
7/22/2013 | 10/21/2013 |
2013-61 |
In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated Administrative Proceeding File No.: 3-15353 Case filed: June 11, 2013 Qualifying judgment/order: June 11, 2013 |
7/22/2013 | 10/21/2013 |
2013-60 |
SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley Case number: 12-cv-00060 (United States District Court for the Northern District of Indiana) Case filed: January 30, 2012 Qualifying judgment/order: June 27, 2013 |
7/22/2013 | 10/21/2013 |
2013-59 |
SEC v. Tyco International LTD Case number: 12-cv-01583 (United States District Court for the District of Columbia) Case filed: September 24, 2012 Qualifying judgment/order: June 17, 2013 |
7/22/2013 | 10/21/2013 |
2013-58 |
SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc. Case number: 12-cv-01681 (United States District Court for the District of Puerto Rico) Case filed: August 21, 2012 Qualifying judgment/order: April 12, 2013 |
7/22/2013 | 10/21/2013 |
2013-57 |
SEC v. MayfieldGentry Realty Advisors, LLC, Chauncey C. Mayfield, Blair D. Ackman, Marsha Bass, W. Emery Matthews, and Alicia M. Diaz Case number: 13-cv-12520 (United States District Court for the Eastern District of Michigan) Case filed: June 10, 2013 Qualifying judgment/order: June 26, 2013 |
7/22/2013 | 10/21/2013 |
| 2013-56 | In the Matter of Total, S.A. Administrative Proceeding File No.: 3-15338 Case filed: May 29, 2013 Qualifying Judgment/Order: May 29, 2013 |
6/19/2013 | 9/17/2013 |
| 2013-55 | SEC v. RINO International Corporation, Dejun “David” Zou, and Jianping “Amy” Qiu Case number: 13-cv-00711 (United States District Court for the District of Columbia) Case filed: May 15, 2013 Qualifying Judgment/Order: May 31, 2013 |
6/19/2013 | 9/17/2013 |
| 2013-54 | SEC v. Joel I. Wilson, Diversified Group Partnership Management, LLC, and American Realty Funds Corporation Case number: 12-cv-15062 (United States District Court for the Eastern District of Michigan) Case filed: November 15, 2012 Qualifying Judgment/Order: June 10, 2013 |
6/19/2013 | 9/17/2013 |
| 2013-53 | In the Matter of UBS O’Connor, LLC Administrative Proceeding File No.: 3-15347 Case filed: June 13, 2013 Qualifying Judgment/Order: June 13, 2013 |
6/19/2013 | 9/17/2013 |
| 2013-52 | SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens Case number: 07-cv-04483 (United States District Court for the Northern District of Illinois) Case filed:August 9, 2007 Qualifying Judgment/Order: May 29, 2013 |
6/19/2013 | 9/17/2013 |
More notices are listed in my previous post.
