Updated 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 8-7-2013.

Notice No.

Action

Notice Date

Claim Due Date


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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