The SEC Office of the Whistleblower posts 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 by the SEC, individuals have 90 calendar days to apply for an award.

View the updated list below:  

 

NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE

2016-75
SEC v. Roger S. Bliss, an individual and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, a Utah Limited Liability Company, d/b/a Roger Bliss and Associates Club LLC, d/b/a Bliss Club LLC
Case number: 15-cv-00098 (United States District Court for the District of Utah)
Case filed: February 11, 2015
Qualifying Judgment/Order: April 19, 2016
5/31/2016 8/29/2016

2016-74
SEC v. American Pension Services, Inc., and Curtis L. De Young
Case number: 14-cv-00309 (United States District Court for the District of Utah)
Case filed: April 24, 2014
Qualifying Judgment/Order: April 21, 2016
5/31/2016 8/29/2016

2016-73
SEC v. Tomas Alberto Clarke Bethancourt, Jose Alejandro Hurtado, Haydee Leticia Pabon, Iuri Rodolfo Bethancourt, Ernesto Lujan, Benito Chinea and Joseph Flores Demeneses Jr.
Case number: 13-cv-03074 (United States District Court for the Southern District of New York)
Case filed: May 9, 2013
Qualifying Judgment/Order: April 7, 2016
5/31/2016 8/29/2016

2016-72
SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek
Case number: 13-cv-03837 (United States District Court for the Southern District of New York)
Case filed: June 5, 2013
Qualifying Judgment/Order: April 12, 2016
5/31/2016 8/29/2016

2016-71
In the Matter of Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA
Administrative Proceeding File No.: 3-17212
Case filed: April 19, 2016
Qualifying Judgment/Order: April 19, 2016
5/31/2016 8/29/2016

2016-70
In the Matter of L & L Energy, Inc.
Administrative Proceeding File No.: 3-15815
Case filed: March 27, 2014
Initial Decision: February 17, 2016
Qualifying Judgment/Order: April 13, 2016
5/31/2016 8/29/2016

2016-69
SEC v. Frederic Elm f/k/a Frederic Elmaleh, Elm Tree Investment Advisors LLC, Elm Tree Investment Fund LP, Elm Tree ‘e’Conomy Fund LP, and Elm Tree Motion Opportunity LP
Case number: 15-cv-60082 (United States District Court for the Southern District of Florida)
Case filed: January 15, 2015
Qualifying Judgment/Order: April 12, 2016
5/31/2016 8/29/2016

2016-68
In the Matter of Cabela’s Incorporated and Ralph W. Castner, CPA
Administrative Proceeding File No.: 3-17227
Case filed: April 26, 2016
Qualifying Judgment/Order: April 26, 2016
5/31/2016 8/29/2016

2016-67
SEC v. Steven R. Maruksen, Jay C. Cope, Archer Advisors LLC
Case number: 14-cv-03395 (United States District Court for the District of Minnesota)
Case filed: September 8, 2014
Qualifying Judgment/Order: April 27, 2016
5/31/2016 8/29/2016

2016-66
SEC v. Inter Reef Ltd dba Profitable Sunrise
Case number: 13-cv-01104 (United States District Court for the Northern District of Georgia)
Case filed: April 4, 2013
Qualifying Judgment/Order: April 15, 2016
5/31/2016 8/29/2016
2016-65 SEC v. Marrone Bio Innovations, Inc.
Case Number: 16-cv-00321 (United States District Court for the Eastern District of California)
Date Filed: February 17, 2016
Date of Qualifying Order/Judgment: March 8, 2016
4/29/2016 7/28/2016
2016-64 In the Matter of Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert Esq.; and Helena C. Sen, CPA
Administrative Proceeding File No.: 3-17186
Date Filed: March 30, 2016
Date of Qualifying Order/Judgment: March 30, 2016
4/29/2016 7/28/2016
2016-63 In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation
Administrative Proceeding File No.: 3-17169
Date Filed: March 14, 2016
Date of Qualifying Order/Judgment: March 14, 2016
4/29/2016 7/28/2016
2016-62 SEC v. Banc de Binary Ltd, Oren Shabat Laurent (f/k/a Oren Shabat), Et Binary Options Ltd., Bo Systes Ltd., Seychelles and BDB Services Ltd. Seychelles
Case Number: 13-cv-00993 (United States District Court for the District of Nevada)
Date Filed: June 5, 2013
Date of Qualifying Order/Judgment: February 25, 2016
4/29/2016 7/28/2016
2016-61 SEC v. Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello
Case Number: 09-cv-00818 (United States District Court for the Central District of California)
Date Filed: July 16, 2009
Date of Qualifying Order/Judgment: February 23, 2016
4/29/2016 7/28/2016
2016-60 SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane Properties Inc.
Case Number: 16-cv-01636 (United States District Court for the District of New Jersey)
Date Filed: March 24, 2016
Date of Qualifying Order/Judgment: March 28, 2016
4/29/2016 7/28/2016
2016-59 In the Matter of Novartis AG
Administrative Proceeding File No.: 3-17177
Date Filed: March 23, 2016
Date of Qualifying Order/Judgment: March 23, 2016
4/29/2016 7/28/2016
2016-58 In the Matter of Las Vegas Sands Corp.
Administrative Proceeding File No.: 3-17204
Date Filed: April 7, 2016
Date of Qualifying Order/Judgment: April 7, 2016
4/29/2016 7/28/2016
2016-57 SEC v. Gregory G. Jones
Case Number: 15-cv-00438 (United States District Court for the Northern District of Texas)
Date Filed: June 10, 2015
Date of Qualifying Order/Judgment: March 21, 2016
4/29/2016 7/28/2016
2016-56 SEC v. eCareer Holding, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks
Case Number: 15-cv-80446 (United States District Court for the Southern District of Florida)
Date Filed: April 7, 2015
Date of Qualifying Order/Judgment: March 2, 2016
4/29/2016 7/28/2016
2016-55 SEC v. Neal V. Goyal, Caldera Advisors, LLC, and Blue Horizon Asset Management, LLC
Case Number: 14-cv-03900 (United States District Court for the Northern District of Illinois)
Date Filed: May 28, 2014
Date of Qualifying Order/Judgment: March 9, 2016
4/29/2016 7/28/2016
2016-54 In the Matter of Navistar International Corporation
Administrative Proceeding File No.: 3-17190
Date Filed: March 31, 2016
Date of Qualifying Order/Judgment: March 31, 2016
4/29/2016 7/28/2016
2016-53 SEC v. Aveo Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer
Case Number: 16-cv-10607 (United States District Court for the District of Massachusetts)
Date Filed: March 29, 2016
Date of Qualifying Order/Judgment: April 1, 2016
4/29/2016 7/28/2016
2016-52 In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable
Administrative Proceeding File No: 3-17171
Date Filed: March 15, 2016
Date of Qualifying Order/Judgment: March 15, 2016
4/29/2016 7/28/2016
2016-51 SEC v. Bruce D. Strebinger, Brent Howard Chapman, and Muskateer Investments, Inc.
Case Number: 14-cv-03533 (United States District Court for the Northern District of Georgia)
Date Filed: November 3, 2014
Date of Qualifying Order/Judgment: March 15, 2016
4/29/2016 7/28/2016
2016-50 In the Matter of Peter Kuperman and QED Benchmark Management, L.L.C.
Administrative Proceeding File No.: 3-17075
Case filed: January 28, 2016
Qualifying Judgment/Order: January 28, 2016
3/31/2016 6/29/2016
2016-49 SEC v. eAdGear, Inc., eAdGear Holdings Limited, Charles S. Wang, Francis Y. Yuen, and Qian Cathy Zhang
Case number: 14-cv-04294 (United States District Court for the Northern District of California)
Case filed: September 24, 2014
Qualifying Judgment/Order: February 1, 2016
3/31/2016 6/29/2016
2016-48 SEC v. Scott Valente and The Eliv Group, LLC
Case number: 14-cv-03974 (United States District Court for the Southern District of New York)
Case filed: June 3, 2014
Qualifying Judgment/Order: February 17, 2016
3/31/2016 6/29/2016
2016-47 SEC v. Moazzam “Mark” Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
Case number: 15-cv-01025 (United States District Court for the Southern District of New York)
Case filed: February 13, 2015
Qualifying Judgment/Order: February 9, 2016
3/31/2016 6/29/2016
2016-46 In the Matter of Qualcomm Incorporated
Administrative Proceeding File No.: 3-17145
Case filed: March 1, 2016
Qualifying Judgment/Order: March 1, 2016
3/31/2016 6/29/2016
2016-45 SEC v. Newpoint Financial Services, Inc.; John Farahi; Gissou Rastegar Farahi; and Elaheh Amouei
Case number: 10-cv-00124 (United States District Court for the Central District of California)
Case filed: January 8, 2010
Qualifying Judgment/Order: February 29, 2016
3/31/2016 6/29/2016
2016-44 SEC v. VimpelCom Ltd
Case number: 16-cv-01266 (United States District Court for the Southern District of New York)
Case filed: February 18, 2016
Qualifying Judgment/Order: February 22, 2016
3/31/2016 6/29/2016
2016-43 In the Matter of George N. Krinos, Krinos Holdings, Inc., and Fordgate Acquisition Corp.
Administrative Proceeding File No.: 3-16202
Case filed: October 16, 2014
Initial Decision: December 21, 2015
Qualifying Judgment/Order: February 3, 2016
3/31/2016 6/29/2016
2016-42 SEC v. Trevor G. Cook, Patrick J. Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLC
Case number: 09-cv-03333 (United States District Court for the District of Minnesota)
Case filed: November 23, 2009
Qualifying Judgment/Order: January 12, 2016
3/31/2016 6/29/2016
2016-41 In the Matter of PTC Inc.
Administrative Proceeding File No.: 3-17118
Case filed: February 16, 2016
Qualifying Judgment/Order: February 16, 2016
3/31/2016 6/29/2016
2016-40 In the Matter of IBC Funds, LLC
Administrative Proceeding File No.: 3-17125
Case filed: February 19, 2016
Qualifying Judgment/Order: February 19, 2016
3/31/2016 6/29/2016