Securities and Exchange Commission Whistleblower Awards List
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.
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
 2013-25 |
SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC. Case number: 10-cv-00263 (United States District Court for the District of New Mexico) Case filed: March 23, 2010 Qualifying Judgment/Order: February 14, 2013 |
03/11/2013 | 06/10/2013 |
2013-24 |
SEC v. Sky Way Global LLC (A/K/A Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S. Kent, Kenneth Bruce Baker (A/K/A Bruce Baker), and Kenneth R. Kramer Case number: 09-cv-00455 (United States District Court for the Middle District of Florida) Case filed: March 13, 2009 Qualifying Judgment/Order: February 22, 2013 |
03/11/2013 | 06/10/2013 |
2013-23 |
SEC v. Peter Siris, Guerrilla Capital Management, LLC, and Hua Mei 21st Century, LLC Case number: 12-cv-05810 (United States District Court for the Southern District of New York) Case filed: July 30, 2012 Qualifying Judgment/Order: September 18, 2012 |
03/11/2013 | 06/10/2013 |
2013-22 |
SEC v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed Executrix Case number: 08-cv-01112 (United States District Court for the Middle District of Tennessee) Case filed: November 18, 2008 Qualifying Judgment/Order: February 26, 2013 |
03/11/2013 | 06/10/2013 |
2013-21 |
In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Administrative Proceeding File No.: 3-15238 Case filed: March 11, 2013 Qualifying Judgment/Order: March 11, 2013 |
03/11/2013 | 06/10/2013 |
2013-20 |
SEC v. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc. Case number: 10-cv-1720 (United States District Court for the Southern District of New York) Case filed: March 4, 2010 Qualifying Judgment/Order: February 13, 2013 |
03/11/2013 | 06/10/2013 |
2013-19 |
SEC v. Gilbert G. Lundstrom, James A. Laphen, and Trevor A. Lundstrom Case number: 12-cv-00343 (United States District Court for the District of Nebraska) Case filed: Month DD, YYYY Qualifying Judgment/Order: September 25, 2012 |
03/11/2013 | 06/10/2013 |
2013-18 |
SEC v. Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC and Richard H. Nickles Case number: 10-cv-00423 (United States District Court for the Central District of California) Case filed: April 7, 2010 Qualifying Judgment/Order: September 24, 2012 |
03/11/2013 | 06/10/2013 |
2013-17 |
In the Matter of Focus Point Solutions, Inc., The H Group, Inc., and Christopher Keil Hicks Administrative Proceeding File No.: 3-15011 Case filed: September 6, 2012 Qualifying Judgment/Order: September 6, 2012 |
03/11/2013 | 06/10/2013 |
2013-16 |
SEC v. Howard Brett Berger Case number: 12-cv-4728 (United States District Court for the Eastern District of New York) Case filed: September 21, 2012 Qualifying Judgment/Order: January 22, 2013 |
03/11/2013 | 06/10/2013 |
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