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: 

The previous SEC award postings.

 

NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE

2014-146
In the Matter of F-Squared Investments, Inc.
Administrative Proceeding File No.: 3-16325
Case filed: December 22, 2014
Qualifying Judgment/Order: December 22, 2014
12/29/2014 3/29/2015
2014-145 SEC vs. Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. Burks
Case number: 12-cv-00519 (United States District Court for the Western District of North Carolina)
Case filed: August 17, 2012
Qualifying judgment/order: August 17, 2012In the Matter of Adam Troy Dooly
Administrative Proceeding File No.: 3-15540
Case filed: September 30, 2013
Qualifying judgment/order: September 30, 2013
12/22/2014 3/22/2015
2014-144 SEC vs. Garfield Taylor, Incorporated, Gibraltar Asset Management Group, LLC, Garfield M. Taylor, Benjamin C. Dalley, Jeffrey A. King, Randolph M. Taylor, Maurice G. Taylor, and William B. Mitchell
Case number: 11-cv-02054 (United States District Court for the District of Columbia)
Case filed: November 18, 2011
Qualifying judgment/order: March 28, 2013
12/22/2014 3/22/2015
2014-143 In the Matter of Wedbush Securities Inc.Jeffrey Bell, and Christina Fillhart
Administrative Proceeding File No.: 3-15913
Case filed: November 20, 2014
Qualifying judgment/order: November 20, 2014
12/22/2014 3/22/2015
2014-142 In the Matter of Alan Gavornik, Nicholas Mariniello and Lee Argush
Administrative Proceeding File No.: 3-16286
Case filed: November 24, 2014
Qualifying judgment/order: November 24, 2014
12/22/2014 3/22/2015
2014-141 In the Matter of HSBC Private Bank (Suisse), SA
Administrative Proceeding File No.: 3-16288
Case filed: November 25, 2014
Qualifying judgment/order: November 25, 2014
12/22/2014 3/22/2015
2014-140 SEC vs. Larry J. Dearman, Sr. and Marya Gray
Case number: 13-cv-00553 (United States District Court for the Northern District of Oklahoma)
Case filed: August 27, 2013
Qualifying judgment/order: November 14, 2014
12/22/2014 3/22/2015
2014-139 SEC vs. Matthew O. Madison, Dwight McGhee, and Infinity Exploration, LLC
Case number: 13-cv-02499 (United States District Court for the Northern District of Texas)
Case filed: June 28, 2013
Qualifying judgment/order: November 18, 2014
12/22/2014 3/22/2015
2014-138 SEC vs. John K. Marcum and Guaranty Reserves Trust, LLC
Case number: 13-cv-01361 (United States District Court for the Southern District of Indiana)
Case filed: August 26, 2013
Qualifying judgment/order: November 18, 2014
12/22/2014 3/22/2015
2014-137 SEC vs. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group, PLC, and Aetius Group, LLC
Case number: 12-cv-11489 (United States District Court for the District of Massachusetts)
Case filed: August 10, 2012
Qualifying judgment/order: November 24, 2014
12/22/2014 3/22/2015
2014-136 SEC vs. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC
Case number: 13-cv-00447 (United States District Court for the Western District of North Carolina)
Case filed: August 6, 2013
Qualifying judgment/order: November 25, 2014
12/22/2014 3/22/2015