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 9-23-2013.

 

Notice No. Action Notice Date Claim Due Date

2013-84
SEC v. Phillip J. DeZwirek
Case number: 13-cv-06135 (United States District Court for the Southern District of New York)
Case filed: August 30, 2013
Qualifying Judgment/Order: September 10, 2013
09/20/2013 12/19/2013

2013-83
SEC v. John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, Ltd., Praetorian G Power I, LLC, Praetorian G Power II, LLC, Praetorian G Power IV, LLC, Praetorian G Power V, LLC, Praetorian G Power VI, LLC, David E. Howard II, John R. Arnold, First American Service Transmittals, Inc., Joseph Almazon, and Spartan Capital Partners
Case number: 11-cv-08323 (United States District Court for the Southern District of New York)
Case filed: November 17, 2011
Qualifying Judgment/Order: July 31, 2013
09/20/2013 12/19/2013

2013-82
SEC v. Joseph Simone; Island Capital Management, Inc., Joseph Lando; Joseph Caracciolo; Alfred Varricchio; Anthony Pianelli; Jill Pianelli; JAP JAP Enterprises, LLC; Brian Fabrizzi; Donald Sorrentino; Anthony Carannante, individually and d/b/a A&C Management; Steven Daronzio, individually and d/b/a/ A&C Management; Rochelle Roman; Shaun Sarnicola; Anthony Tanico; Andrea Lando-Tanico; AJT Ltd; AJGT Ltd.; Michael McCormack; Donna Centola; DMAC Services, Inc.; Andrew Caccioppoli; Thomas Macli; Donna Macli; Lumac Corp.; Gary Manfre; Ricahrd Manfre; and RAM Solutions, Inc.
Case number: 07-cv-03928 (United States District Court for the Eastern District of New York)
Case filed: September 20, 2007
Qualifying Judgment/Order: August 23, 2013
09/20/2013 12/19/2013

2013-81
SEC v. Scott London and Bryan Shaw
Case number: 13-cv-02558 (United States District Court for the Central District of California)
Case filed: April 11, 2013
Qualifying Judgment/Order: August 8, 2013
09/20/2013 12/19/2013

2013-80
SEC v. Firas A. Hamdan, individually and doing business as FAH Capital Partners
Case number: 13-cv-00215 (United States District Court for the Southern District of Texas)
Case filed: January 29, 2013
Qualifying Judgment/Order: August 20, 2013
09/20/2013 12/19/2013

2013-79
SEC v. Badin Rungruangnavarat
Case number: 13-cv-04172 (United States District Court for the Northern District of Illinois)
Case filed: June 5, 2013
Qualifying Judgment/Order: September 6, 2013
09/20/2013 12/19/2013

2013-78
SEC v. David B. Welliver and Dblaine Capital, LLC
Case number: 11-cv-03076 (United States District Court for the District of Minnesota)
Case filed: October 18, 2011
Qualifying Judgment/Order: August 13, 2013
09/20/2013 12/19/2013

2013-77
SEC v. Richard DeMaria
Case number: 12-cv-04145 (United States District Court for the Northern District of Illinois)
Case filed: May 29, 2012
Qualifying Judgment/Order: September 6, 2013
09/20/2013 12/19/2013
2013-76 SEC v. Art Intellect, Inc., a Utah Corporation, d/b/a Mason Hill and Virtual MG, Patrick Merrill Brody, Laura A. Roser, and Gregory D. Wood
Case number: 11-cv-00357 (United States District Court for the District of Utah)
Case filed: April 18, 2011
Qualifying judgment/order: July 6, 2012
8/16/2013 11/14/2013
2013-75 In the Matter of A.R. Schmeidler & Co., Inc.
Administrative Proceeding File No.: 3-15399
Case filed: July 31, 2013
Qualifying judgment/order: July 31, 2013
8/16/2013 11/14/2013
2013-74 SEC v. Igors Nagaicevs
Case number: 12-cv-0413 (United States District Court for the Northern District of California)
Case filed: January 26, 2012
Qualifying judgment/order: July 18, 2013
8/16/2013 11/14/2013
2013-73 SEC v. Robert Stinson, Jr., Life’s Good, Inc., Life’s Good Stabl Mortgage Fund, LLC, Life’s Good High Yield Mortgage Fund, LLC, Life’s Good Capital Growth Fund, LLC, IA Capital Fund, LLC, and Keystone State Capital Corporation
Case number: 10-cv-03130 (United States District Court for the Eastern District of Pennsylvania
Case filed: June 29, 2010
Qualifying judgment/order: June 27, 2013
8/16/2013 11/14/2013
2013-72 SEC v. Mack D. Murrell, David Teekell, and Charles W. Adams
Case number: 13-cv-12856 (United States District Court for the Eastern District of Michigan)
Case filed: July 1, 2013
Qualifying judgment/order: July 19, 2013
8/16/2013 11/14/2013
2013-71 SEC v. Bryan Arias, Hugo A. Arias, Anthony C. Ciccone, Salvatore Ciccone, Diane Kaylor, Jason A. Keryc, Anthony Massaro, Christopher E. Curran, Ryan K. Dunaske, Michael P. Dunne, Martin C. Hartmann III, Michael D. Keryc, Ronald R. Roaldsen, Jr., and Laura Ann Tordy
Case number: 12-cv-2937 (United States District Court for the Eastern District of New York)
Case filed: June 12, 2012
Qualifying judgment/order: July 2, 2013
8/16/2013 11/14/2013
2013-70 SEC v. Keyuan Petrochemicals, Inc. and Aichun Li
Case number: 13-cv-00263 (United States District Court for the District of Columbia)
Case filed: February 28, 2013
Qualifying judgment/order: July 2, 2013
8/16/2013 11/14/2013
2013-69 SEC v. Fuqi International, Inc. and Yu Kwai Chong
Case number: 13-cv-0995 (United States District Court for the District of Columbia)
Case filed: July 1, 2013
Qualifying judgment/order: August 7, 2013
8/16/2013 11/14/2013
2013-68 SEC v. International Business Machines Corporation
Case number: 11-cv-00563 (United States District for the District of Columbia)
Case filed: March 18, 2011
Qualifying judgment/order: July 25, 2013
8/16/2013 11/14/2013
2013-67 In the Matter of ABN AMRO Bank, N.V.
Administrative Proceeding File No.: 3-15401
Case filed: July 31, 2013
Qualifying judgment/order: July 31, 2013
8/16/2013 11/14/2013
2013-66 SEC v. Ryan M. Reynolds, Jason Wynn, Carlton Fleming, Beverage Creations, Inc., Bellatalia, LP, Wynn Industries, LLC, and Thomas Wade Investments, LLC
Case number: 08-cv-0438 (United States District Court for the Northern District of Texas)
Case filed: March 13, 2008
Qualifying judgment/order: July 11, 2013
8/16/2013 11/14/2013
2013-65 SEC v. Geoffrey J. Eiten and National Financial Communications, Corp.
Case number: 11-cv-12185 (United States District Court for the District of Massachusetts)
Case filed: December 12, 2011
Qualifying judgment/order: July 24, 2013
8/16/2013 11/14/2013