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.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
 2014-47 |
SEC v. Syndicated Food Service International, Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, Fidra Holdings LTD., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Case number: 04-cv-01303 (United States District Court for the Eastern District of New York) Case filed: March 29, 2004 Qualifying Judgment/Order: April 1, 2014 |
04/22/2014 | 07/21/2014 |
2014-46 |
In the Matter of Worldwide Capital, Inc. and Jeffrey W. Lynn Administrative Proceeding File No.: 3-15772 Case filed: March 5, 2014 Qualifying Judgment/Order: March 5, 2014 |
04/22/2014 | 07/21/2014 |
2014-45 |
SEC v. John Kinnucan and Broadband Research Corporation Case number: 12-cv-1230 (United States District Court for the Southern District of New York) Case filed: February 17, 2012 Qualifying Judgment/Order: April 1, 2014 |
04/22/2014 | 07/21/2014 |
2014-44 |
SEC v. Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez Case number: 11-cv-1778 (United States District Court for the Southern District of New York) Case filed: March 15, 2011 Qualifying Judgment/Order: March 31, 2014 |
04/22/2014 | 07/21/2014 |
2014-43 |
SEC v. Certain Unknown Traders in the Securities of H.J. Heinz Company Case number: 13-cv-1080 (United States District Court for the Southern District of New York) Case filed: February 25, 2013 Qualifying Judgment/Order: April 2, 2014 |
04/22/2014 | 07/21/2014 |
2014-42 |
In the Matter of Lions Gate Entertainment Corp. Administrative Proceeding File No.: 3-15791 Case filed: March 13, 2014 Qualifying Judgment/Order: March 13, 2014 |
04/22/2014 | 07/21/2014 |
2014-41 |
SEC v. Dawn Wright-Olivares and Daniel Olivares Case number: 13-cv-00700 (United States District Court for the Western District of North Carolina) Case filed: December 20, 2013 Qualifying Judgment/Order: February 28, 2014 |
04/22/2014 | 07/21/2014 |
2014-40 |
In the Matter of Howard Feder and BDL Manager LLC Administrative Proceeding File No.: 3-15788 Case filed: March 13, 2014 Qualifying Judgment/Order: March 13, 2014 |
04/22/2014 | 07/21/2014 |
2014-39 |
SEC v. Samuel E. Wyly, Charles J. Wyly, Jr., Michael C. French, and Louis J. Schaufele III Case number: 10-cv-05760 (United States District Court for the Southern District of New York) Case filed: July 29, 2010 Qualifying Judgment/Order: March 21, 2014 |
04/22/2014 | 07/21/2014 |
2014-38 |
SEC v. Joseph Hilton f/k/a Joseph Yurkin, Pacific Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castle Drilling Fund II LP, and New Horizon Publishing Inc. Case number: 12-cv-81033 (United States District Court for the Southern District of Florida) Case filed: September 24, 2012 Qualifying Judgment/Order: March 20, 2014 |
04/22/2014 | 07/21/2014 |
2014-37 |
SEC v. John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr. Case number: 09-cv-01093 (United States District Court for the Middle District of Florida) Case filed: June 11, 2009 Qualifying Judgment/Order: July 5, 2012 |
04/22/2014 | 07/21/2014 |
2014-36 |
In the Matter of Jefferies LLC (formerly known as Jefferies & Company, Inc.) Administrative Proceeding File No.: 3-15785 Case filed: March 12, 2014 Qualifying Judgment/Order: March 12, 2014 |
04/22/2014 | 07/21/2014 |
2014-35 |
SEC v. Onyx Capital Advisors, LLC, Roy Dixon, Jr., and Michael A. Farr Case number: 10-cv-11633 (United States District Court for the Eastern District of Michigan) Case filed: April 22, 2010 Qualifying Judgment/Order: January 31, 2014 |
04/22/2014 | 07/21/2014 |
| 2014-34 | In the Matter of Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. Administrative Proceeding File No.: 3-13871 Case filed: February 27, 2014 Qualifying judgment/order: February 27, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-33 | SEC v. Henry Morris, David J. Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC Case number: 09-cv-02518 (United States District Court for the Southern District of New York) Case filed: March 19, 2009 Qualifying judgment/order: March 3, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-32 | SEC v. George Garcy a/k/a Jorge Garcia, and Angelo Cuomo Case number: 11-cv-02282 (United States District Court for the Eastern District of New York) Case filed: May 11, 2011 Qualifying judgment/order: February 7, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-31 | SEC v. Dean P. Gross and Gregory W. Laser Case number: 09-cv-09144 (United States District Court for the Central District of California) Case filed: December 14, 2009 Qualifying judgment/order: February 12, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-30 | SEC v. Secure Capital Funding Corporation, Bertram Augustus Hill, PP&M Trade Partners, and Kiavanni Pringle Case number: 11-cv-00916 (United States District Court for the District of New Jersey) Case filed: February 18, 2011 Qualifying judgment/order: March 10, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-29 | SEC v. China Intelligent Lighting and Electronics, Inc., NIVS Intellimedia Technology Group, Inc., Tianfu Li, and Xuemei Li Case number: 13-cv-05079 (United States District Court for the Southern District of New York) Case filed: July 22, 2013 Qualifying judgment/order: March 10, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-28 | In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc., Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Administrative Proceeding File No.: 3-15750 Case filed: February 12, 2014 Qualifying judgment/order: February 12, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-27 | SEC v. Delsa U. Thomas; The D. Christopher Capital Management Group, LLC; and The Solomon Fund, LP Case number: 13-cv-00739 (United States District Court for the Northern District of Texas) Case filed: February 15, 2013 Qualifying judgment/order: March 4, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-26 | SEC v. Recycle Tech, Inc., Keven Sepe, Ronny J. Halperin, Ryan Gonzalez, OTC Solutions LLC, Anthony Thompson, Pudong LLC, Jay Fung and David Rees Case number: 12-cv-21656 (United States District Court for the Southern District of Florida) Case filed: May 2, 2012 Qualifying judgment/order: February 14, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-25 | SEC v. Jeremy S. Fisher, The Good Life Financial Group, Inc., and The Good Life Global Enterprises, LLC Case number: 13-cv-00683 (United States District Court for the Western District of Wisconsin) Case filed: September 30, 2013 Qualifying judgment/order: October 16, 2013 |
3/24/2014 | 6/23/2014 |
| 2014-24 | SEC v. John J. Bravata, Richard J. Trabulsy, Antonio M. Bravata, BBC Equities, LLC, and Bravata Financial Group, LLC Case number: 09-cv-12950 (United States District Court for the Eastern District of Michigan) Case filed: July 26, 2009 Qualifying judgment/order: March 6, 2014 |
3/24/2014 | 6/23/2014 |
| 2014-23 | SEC v. Jerry S. Williams, Monk’s Den, LLC, and First in Awareness, LLC Case number: 12-cv-01068 (United States District Court for the District of Connecticut) Case filed: July 20, 2012 Qualifying judgment/order: February 18, 2014 |
3/24/2014 | 6/23/2014 |
