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

2014-119
In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-16153
Case filed: September 22, 2014
Qualifying Judgment/Order: September 22, 2014
10/23/2014 01/21/2015

2014-118
In the Matter of Babak (“Bobby”) Yazdani
Administrative Proceeding File No.: 3-16160
Case filed: September 24, 2014
Qualifying Judgment/Order: September 24, 2014
10/23/2014 01/21/2015

2014-117
In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon
Administrative Proceeding File No.: 3-16159
Case filed: September 24, 2014
Qualifying Judgment/Order: September 24, 2014
10/23/2014 01/21/2015

2014-116
In the Matter of Bank of America Corporation
Administrative Proceeding File No.: 3-16177
Case filed: September 29, 2014
Qualifying Judgment/Order: September 29, 2014
10/23/2014 01/21/2015

2014-115
In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-16154
Case filed: September 23, 2014
Qualifying Judgment/Order: September 23, 2014
10/23/2014 01/21/2015

2014-114
In the Matter of Latour Trading LLC and Nicolas Niquet
Administrative Proceeding File No.: 3-16128
Case filed: September 17, 2014
Qualifying Judgment/Order: September 17, 2014
10/23/2014 01/21/2015

2014-113
In the Matter of Wilmington Trust Corporation
Administrative Proceeding File No.: 3-16098
Case filed: September 11, 2014
Qualifying Judgment/Order: September 11, 2014
10/23/2014 01/21/2015

2014-112
In the Matter of Whitebox Advisors LLC
Administrative Proceeding File No.: 3-16117
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015

2014-111
In the Matter of BlackRock Institutional Trust Company, N.A.
Administrative Proceeding File No.: 3-16120
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015

2014-110
In the Matter of Lincolnshire Management, Inc.
Administrative Proceeding File No.: 3-16139
Case filed: September 22, 2014
Qualifying Judgment/Order: September 22, 2014
10/23/2014 01/21/2015

2014-109
SEC v. Tyrone L. Gilliams, Jr. and TL Gilliams, LLC
Case number: 11-cv-08201 (United States District Court for the Southern District of New York)
Case filed: November 14, 2011
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015

2014-108
SEC v. AIC, Inc., Community Bankers Securities, LLC, Nicholas D. Skaltsounis, John B. Guyette, and John R. Graves
Case number: 11-cv-00176 (United States District Court for the Eastern District of Tennessee)
Case filed: April 15, 2011
Qualifying Judgment/Order: August 1, 2014
10/23/2014 01/21/2015

2014-107
SEC v. Trendon T. Shavers and Bitcoin Savings and Trust
Case number: 13-cv-00416 (United States District Court for the Eastern District of Texas)
Case filed: July 23, 2013
Qualifying Judgment/Order: September 18, 2014
10/23/2014 01/21/2015

2014-106
SEC v. Gordon A. Driver and Axcess Automation, LLC
Case number: 09-cv-03410 (United States District Court for the Central District of California)
Case filed: May 14, 2009
Qualifying Judgment/Order: September 23, 2014
10/23/2014 01/21/2015

2014-105
SEC v. Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, and Susana Gomez 
Case number: 13-cv-01865 (United States District Court for the Central District of California)
Case filed: August 13, 2012
Qualifying Judgment/Order: August 14, 2012
10/23/2014 01/21/2015

2014-104
In the Matter of RA Capital Management, LLC
Administrative Proceeding File No.: 3-16109
Case filed: September 16, 2014
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015

2014-103
SEC v. Paul Marshall, Bridge Securities, LLC a/k/a/ Bridge Financial, Bridge Equity, Inc., and FOGfuels, Inc.
Case number: 13-cv-3032 (United States District Court for the Northern District of Georgia)
Case filed: September 11, 2013
Qualifying Judgment/Order: September 16, 2014
10/23/2014 01/21/2015
2014-102 SEC v. Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, Aluma Holdings LLC, Azure Trading LLC, Coastal Group Holdings, Inc., Greyhawk Equities LLC, Leonidas Group Holdings LLC, The Leonidas Group LLC, Nismic Sales Corp., The OGP Group LLC, Perlinda Enterprises LLC, Rio Sterling Holdings LLC, Slow Train Holdings LLC, and Spartan Group Holdings LLC 
Case number: 12-cv-09339 (United States District Court for the Southern District of New York)
Case filed: December 21, 2012
Qualifying Judgment/Order: August 12, 2014
9/24/2014 12/23/2014
2014-101 SEC v. Troy Lyndon and Ronald Zaucha 
Case number: 13-cv-00486 (United States District Court for the District of Hawaii)
Case filed: September 24, 2013
Qualifying Judgment/Order: August 21, 2014
9/24/2014 12/23/2014
2014-100 SEC v. Fleet Mutual Wealth Limited, and MWF Financial Limited, d/b/a Mutual Wealth 
Case number: 14-cv-01409 (United States District Court for the Central District of California)
Case filed: February 25, 2014
Qualifying Judgment/Order: August 21, 2014
9/24/2014 12/23/2014
2014-99 SEC v. James M. Peister and Northstar International Group Inc. 
Case number: 11-cv-03386 (United States District Court for the Eastern District of New York)
Case filed: July 14, 2011
Qualifying Judgment/Order: August 19, 2014
9/24/2014 12/23/2014
2014-98 In the Matter of Keith MacDonald Summers
Administrative Proceeding File No.: 3-16014
Case filed: August 13, 2014
Qualifying Judgment/Order: August 13, 2014
9/24/2014 12/23/2014
2014-97 In the Matter of Bank of America Corporation
Administrative Proceeding File No.: 3-16028
Case filed: August 21, 2014
Qualifying Judgment/Order: August 21, 2014
9/24/2014 12/23/2014
2014-96 SEC v. Blake B. Richards
Case number: 13-cv-01729 (United States District Court for the Northern District of Georgia)
Case filed: May 23, 2013
Qualifying Judgment/Order: August 26, 2014
9/24/2014 12/23/2014
2014-95 Universal Travel Group, Jiangping Jiang and Jing Xie
Case number: 13-cv-01492 (United States District Court for the District of Columbia)
Case filed: September 27, 2013
Qualifying Judgment/Order: September 30, 2013
In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA
Administrative Proceeding File No.: 3-15952
Case filed: July 1, 2014
Qualifying judgment/order: July 1, 2014
09/05/2014 12/04/2014
2014-94 SEC v. Rajat K. Gupta and Raj Rajaratnam
Case number: 11-cv-7566 (United States District Court for the Southern District of New York)
Case filed: October 26, 2011
Qualifying Judgment/Order: December 26, 2012