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 |
|
|
In the Matter of UBS Securities LLC |
8/6/2013 |
11/4/2013 |
|
2013-63 |
William Graulich, IV and iVest International Holdings, Inc. |
7/22/2013 |
10/21/2013 |
|
2013-62 |
SEC v. Victor Dosti and Whittier Trust Company |
7/22/2013 |
10/21/2013 |
|
2013-61 |
In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated |
7/22/2013 |
10/21/2013 |
|
2013-60 |
SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley |
7/22/2013 |
10/21/2013 |
|
2013-59 |
SEC v. Tyco International LTD |
7/22/2013 |
10/21/2013 |
|
2013-58 |
SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc. |
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
More notices are listed in my previous post. |
7/22/2013 |
10/21/2013 |
