Updated SEC Whistleblower Awards List, July 2014

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

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