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Home News

Updated Securities and Exchange Commission Whistleblower Awards List

Mary Jane WilmothbyMary Jane Wilmoth
August 7, 2013
in News, SEC
Reading Time: 6 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.

View the updated list on the continuation of this blog post. Updated 8-7-2013.

Notice No.

Action

Notice Date

Claim Due Date

Description: https://www.sec.gov/about/offices/owb/images/new-ffd423.gif
2013-64

In the Matter of UBS Securities LLC
Administrative Proceeding File No.: 3-15407
Case filed: August 6, 2013
Qualifying judgment/order: August 6, 2013

8/6/2013

11/4/2013

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

More notices are listed in my previous post. 

7/22/2013

10/21/2013

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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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