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 7-9-2013.

 

 

NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE

 


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
7/22/2013 10/21/2013
2013-56 In the Matter of Total, S.A.
Administrative Proceeding File No.: 3-15338
Case filed: May 29, 2013
Qualifying Judgment/Order: May 29, 2013
6/19/2013 9/17/2013
2013-55 SEC v. RINO International Corporation, Dejun “David” Zou, and Jianping “Amy” Qiu
Case number: 13-cv-00711 (United States District Court for the District of Columbia)
Case filed: May 15, 2013
Qualifying Judgment/Order: May 31, 2013
6/19/2013 9/17/2013
2013-54 SEC v. Joel I. Wilson, Diversified Group Partnership Management, LLC, and American Realty Funds Corporation
Case number: 12-cv-15062 (United States District Court for the Eastern District of Michigan)
Case filed: November 15, 2012
Qualifying Judgment/Order: June 10, 2013
6/19/2013 9/17/2013
2013-53 In the Matter of UBS O’Connor, LLC
Administrative Proceeding File No.: 3-15347
Case filed: June 13, 2013
Qualifying Judgment/Order: June 13, 2013
6/19/2013 9/17/2013
2013-52 SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens
Case number: 07-cv-04483 (United States District Court for the Northern District of Illinois)
Case filed:August 9, 2007
Qualifying Judgment/Order: May 29, 2013
6/19/2013 9/17/2013

More notices are listed in my previous post