The SEC Office of the Whistleblower post Notices of Covered Action where a final judgment 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 below.
Previous award postings can be found here.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
 2014-71 |
In the Matter of Paradigm Capital Management, Inc. and Candace King Weir Administrative Proceeding File No: 3-15930 Case filed: June 16, 2014 Qualifying judgment/order: June 16, 2014 |
6/19/2014 | 9/17/2014 |
2014-70 |
SEC v. Avanti Capital Partners, LLC, a Utah Limited Liability Company, Highland Residential, LLC, a Utah Limited Liability Company, and Ivan Wade Brown, an Individual Case number: 12-cv-00788 (United States District Court for the District of Utah) Case filed: August 13, 2012 Qualifying judgment/order: April 24, 2014 |
6/19/2014 | 9/17/2014 |
2014-69 |
SEC v. Anthony Vassallo, Kenneth Kenitzer and Equity Investment Management and Trading, Inc. Case number: 09-cv-00665 (United States District Court for the Eastern District of California) Case filed: March 11, 2009 Qualifying judgment/order: May 23, 2014 |
6/19/2014 | 9/17/2014 |
2014-68 |
SEC v. Charles Vista, LLC Case number: 14-cv-02643 (United States District Court for the Eastern District of New York) Case filed: April 28, 2014 Qualifying judgment/order: May 29, 2014 |
6/19/2014 | 9/17/2014 |
2014-67 |
Alberto William Vilar, and Gary Alan Tanaka Case number: 05-cv-05231 Case filed: June 2, 2005 Qualifying judgment/order: May 16, 2014 |
6/19/2014 | 9/17/2014 |
2014-66 |
SEC v. Behrooz Sarafraz Case number: 14-cv-02252 (United States District Court for the Northern District of California) Case filed: May 15, 2014 Qualifying judgment/order: May 27, 2014 |
6/19/2014 | 9/17/2014 |
2014-65 |
SEC v. Herbert Richard Lawson, William B. Lawson, and John J. Cerullo Case number: 14-cv-02157 (United States District Court for the Northern District of California) Case filed: May 12, 2014 Qualifying judgment/order: May 23, 2014 |
6/19/2014 | 9/17/2014 |
2014-64 |
SEC v. OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw Case number: 13-cv-23486 (United States District Court for the Southern District of Florida) Case filed: September 27, 2013 Qualifying judgment/order: May 29, 2014 |
6/19/2014 | 9/17/2014 |
2014-63 |
SEC v. Richard Olive and Susan Olive Case number: 13-cv-14047 (United States District Court for the Southern District of Florida) Case filed: February 4, 2013 Qualifying judgment/order: May 23, 2014 |
6/19/2014 | 9/17/2014 |
2014-62 |
SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker Case number: 14-cv-02827 (United States District Court for the District of New Jersey) Case filed: May 6, 2014 Qualifying judgment/order: May 12, 2014 |
6/19/2014 | 9/17/2014 |
2014-61 |
SEC v. Yuhe International, Inc. and Gao Zhentao Case number: 13-cv-01598 (United States District Court for the District of Columbia) Case filed: October 18, 2013 Qualifying judgment/order: May 22, 2014 |
6/19/2014 | 9/17/2014 |
2014-60 |
In the Matter of Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle Administrative Proceeding File No.: 3-15881 Case filed: May 1, 2014 Qualifying judgment/order: May 1, 2014 |
6/19/2014 | 9/17/2014 |
2014-59 |
In the Matter of Diego F. Hernandez, The Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc. Administrative Proceeding File No.: 3-15518 Case filed: May 1, 2014 Qualifying judgment/order: May 1, 2014 |
6/19/2014 | 9/17/2014 |
2014-58 |
In the Matter of George B. Franz III and Ruby Corporation Administrative Proceeding File No.: 3-15526 Case filed: April 30 2014 Qualifying judgment/order: April 30, 2014 |
6/19/2014 | 9/17/2014 |
