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

2013-15
SEC v. David E. Ruskjer
Case number: 09-cv-237 (United States District Court for the District of Hawaii)
Case filed: May 27, 2009
Qualifying judgment/order: January 2, 2013
02/08/2013 05/09/2013

2013-14
SEC v. Eli Lilly and Company
Case number: 12-cv-2045 (United States District Court for the District of Columbia)
Case filed: December 20, 2012
Qualifying judgment/order: January 2, 2013
02/08/2013 05/09/2013

2013-13
SEC v. Igor Poteroba, Aleksey Koval and Alexander Vorobiev
Case number: 10-cv-2667 (United States District Court for the Southern District of New York)
Case filed: March 24, 2010
Qualifying judgment/order: January 15, 2013
02/08/2013 05/09/2013

2013-12
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I
Case number: 12-cv-1862 (United States District Court for the District of Columbia)
Case filed: November 16, 2012
Qualifying judgment/order: January 8, 2013
02/08/2013 05/09/2013

2013-11
SEC v. Gary J. Martel, D/B/A Martel Financial Group, and MFG Funding
Case number: 12-cv-11095 (United States District Court for the District of Massachusetts)
Case filed: June 19, 2012
Qualifying judgment/order: January 7, 2013
02/08/2013 05/09/2013
2013-10 SEC v. Management Solutions, Inc., a Texas Corporation; Wendell A. Jacobson; and Allen R. Jacobson
Case number: 11-cv-1165 (United States District Court for the District of Utah)
Case filed: December 15, 2011
Qualifying judgment/order: December 18, 2012
1/4/2013 4/4/2013
2013-9 SEC v. BP p.l.c.
Case number: 12-cv-2774 (United States District Court for the Eastern District of Louisiana)
Case filed: November 15, 2012
Qualifying judgment/order: December 10, 2012
1/4/2013 4/4/2013
2013-8 SEC v. Tiger Asia Management, LLC, Tiger Asia Partners, LLC, Sung Kook (a/k/a Bill) Hwang, and Raymond Y.H. Park
Case number: 12-cv-7601 (United States District Court for the District of New Jersey)
Case filed: December 14, 2012
Qualifying judgment/order: December 17, 2012
1/4/2013 4/4/2013
2013-7 SEC v. Igor Cornelsen and Bainbridge Group Inc.
Case number: 12-cv-8712 (United States District Court for the Southern District of New York)
Case filed: November 30, 2012
Qualifying judgment/order: December 11, 2012
1/4/2013 4/4/2013
2013-6 In the Matter of Allianz SE
Administrative Proceeding File No.: 3-15132
Case filed: December 17, 2012
Qualifying judgment/order: December 17, 2012
1/4/2013 4/4/2013
2013-5 SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDYLC Holdings Trust
Case number: 11-cv-00315 (United States District Court for the Central District of California)
Case filed: February 24, 2011
Qualifying judgment/order: December 18, 2012
1/4/2013 4/4/2013
2013-4 In the Matter of Fiduciary Asset Management, LLC
Administrative Proceeding File No.: 3-15140
Case filed: December 19, 2012
Qualifying judgment/order: December 19, 2012
1/4/2013 4/4/2013
2013-3 SEC v. EagleEye Asset Management, LLC and Jeffrey A. Liskov
Case number: 11-cv-11576 (United States District Court for the District of Massachusetts)
Case filed: September 8, 2011
Qualifying judgment/order: December 12, 2012
1/4/2013 4/4/2013
2013-2 In the Matter of Aladdin Capital Management LLC and Aladdin Capital LLC
Administrative Proceeding File No.: 3-15134
Case filed: December 17, 2012
Qualifying judgment/order: December 17, 2012
1/4/2013 4/4/2013
2013-1 SEC v. I. Joseph Massoud
Case number: 12-cv-01691 (United States District Court for the District of Connecticut)
Case filed: November 30, 2012
Qualifying judgment/order: December 10, 2012
1/4/2013 4/4/2013
2012-130 SEC v. Well Advantage Limited, Certain Unknown Traders in the Securities of Nexen, Inc. In an Account of Phillip Securities PTE LTD., and Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Citibank NA A/C HK 4
Case number: 12-cv-5786 (United States District Court for the Southern District of New York)
Case filed: July 27, 2012
Qualifying Judgment/Order: November 7, 2012
12/7/2012 3/7/2013
2012-129 SEC v. Kenneth Ira Starr, Starr Investment Advisors, LLC, Starr & Company, LLC, and Jonathan Star Bristol
Case number: 10-cv-4270 (United States District Court for the Southern District of New York)
Case filed: May 27, 2010
Qualifying Judgment/Order: November 15, 2012
12/7/2012 3/7/2013
2012-128 SEC v. Kris Chellam
Case number: 12-cv-7983 (United States District Court for the Southern District of New York)
Case filed: October 26, 2012
Qualifying Judgment/Order: November 5, 2012
12/7/2012 3/7/2013
2012-127 SEC v. Christel S. Scucci, Karen S. Beach, Cameron H. Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLC
Case number: 12-cv-00646 (United States District Court for the Middle District of Florida)
Case filed: April 30, 2012
Qualifying Judgment/Order: November 5, 2012
12/7/2012 3/7/2013
2012-126 In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation
Administrative Proceeding File No.: 3-15098
Case filed: November 16, 2012
Qualifying Judgment/Order: November 16, 2012
12/7/2012 3/7/2013
2012-125 SEC v. Joseph J. Monterosso, Luis E. Vargas, Lawrence E. Lynch, and Timothy Huff
Case number: 7-cv-61693 (United States District Court for the Southern District of Florida)
Case filed: November 21, 2007
Qualifying Judgment/Order: November 16, 2012
12/7/2012 3/7/2013
2012-124 SEC v. Anand Sekaran and Wasson Capital Advisors Ltd.
Case number: 12-cv-8199 (United States District Court for the Southern District of New York)
Case filed: November 9, 2012
Qualifying Judgment/Order: November 26, 2012
12/7/2012 3/7/2013