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. Updated 5-17-2013.

 

 

NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE

2013-51
In the Matter of Koninklijke Philips Electronics N.V.
Administrative Proceeding File No.: 3-15265
Case filed: April 5, 2013
Qualifying Judgment/Order: April 5, 2013
5/17/2013 8/15/2013

2013-50
SEC v. Jorge Gomez and Roberto Aleph Espinosa
Case number: 12-cv-21962 (United States District Court for the Southern District of Florida)
Case filed: May 25, 2012
Qualifying Judgment/Order: June 12, 2012
5/17/2013 8/15/2013

2013-49
SEC v. Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd.
Case number: 09-cv-1177 (United States District Court for the Northern District of California)
Case filed: March 18, 2009
Qualifying Judgment/Order: April 26, 2013
5/17/2013 8/15/2013

2013-48
SEC v. Matthew John Ryan and Prime Rate And Return, LLC, individually and doing business as American Integrity Financial Co.
Case number: 10-cv-0513 (United States District Court for the Northern District of New York)
Case filed: May 3, 2010
Qualifying Judgment/Order: April 2, 2013
5/17/2013 8/15/2013

2013-47
SEC v. Grant Ivan Grieve; Finvest Asset Management, LLC; and Finvest Fund Management, LLC
Case number: 09-cv-1198 (United States District Court for the Southern District of New York)
Case filed: February 10, 2009
Qualifying Judgment/Order: April 29, 2013
5/17/2013 8/15/2013

2013-46
In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. Lagassa
Administrative Proceeding File No.: 3-15299
Case filed: April 24, 2013
Qualifying Judgment/Order: April 24, 2013
5/17/2013 8/15/2013

2013-45
SEC v. Richard Verdiramo, Vincent L. Verdiramo, Esq., Edward Meyer, Jr., and Victoria Chen
Case number: 10-cv-1888 (United States District Court for the Southern District of New York)
Case filed: March 10, 2010 
Qualifying Judgment/Order: April 29, 2013
5/17/2013 8/15/2013

2013-44
Parker Drilling Company
Case number: 13-cv-00461 (United States District Court for the Eastern District of Virginia)
Case filed: April 16, 2013
Qualifying Judgment/Order: April 23, 2013
5/17/2013 8/15/2013

2013-43
SEC v. Stanford International Bank, Ltd., Stanford Group Company, Stanford Capital Management, LLC, R. Allen Stanford, James M. Davis, and Laura Pendergest-Holt
Case number: 09-cv-00298 (United States District Court for the Northern District of Texas)
Case filed: February 17, 2009
Qualifying Judgment/Order: April 25, 2013
5/17/2013 8/15/2013

2013-42
SEC v. Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC and Brewer Investment Advisors, LLC
Case number: 10-cv-6932 (United States District Court for the Northern District of Illinois)
Case filed: October 28, 2010
Qualifying Judgment/Order: March 29, 2013
5/17/2013 8/15/2013

2013-41
SEC v. True North Finance Corporation, f/k/a CS Financing Corporation, Capital Solutions Monthly Income Fund, LP, f/k/a Hennessey Financial Monthly Income Fund, LP, Capital Solutions Distributors, LLC, Capital Solutions Management, LP, Transactional Finance Fund Management, LLC, Todd A. Duckson, Michael W. Bozora, Timothy R. Redpath, and Owen Mark Williams 
Case number: 10-cv-03995 (United States District Court for the District of Minnesota)
Case filed: September 21, 2010
Qualifying Judgment/Order: April 15, 2013
5/17/2013 8/15/2013

2013-40
SEC v. Frank Bluestein
Case number: 09-cv-13809 (United States District Court for the Eastern District of Michigan)
Case filed: September 28, 2009
Qualifying Judgment/Order: April 24, 2013
5/17/2013 8/15/2013

 

More notices are listed in my previous post