Claim an Award
We post Notices of Covered Action for each SEC 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.
The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the SEC opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case.
Subject to the Whistleblower Amended Rules, individuals who voluntarily provided the SEC 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 by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action.
NOTE: On July 2, 2024, the Commission posted a new Form WB-APP for individuals seeking to apply for an award for a Covered Action. You may continue to use the prior version of the form for the 30-day period following the posting of the new form. Starting on August 1, 2024, please use the new Form WB-APP to apply for an award.
We strongly encourage Form WB-APPs to be submitted by email to FormWB-APPSubmission@SEC.GOV. Duplicate submissions of a Form WB-APP by multiple methods (e.g., fax, email, and mail) are discouraged as they may cause delays. Generally, submissions are acknowledged within 60 days.
Whistleblower Award Applications submitted by mail or fax should be sent to:
SEC Office of the Whistleblower (c/o ENF-CPU)
14420 Albemarle Point Place Suite 102 Chantilly, VA 20151-1750
Fax: 703-813-9322
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| 2013-044 | SEC v. Parker Drilling Company |
05/17/2013 | 08/15/2013 |
| 2013-043 | SEC v. Stanford International Bank, Ltd., Stanford Group Company, Stanford Capital Management, LLC, R. Allen Stanford, James M. Davis, and Laura Pendergest-Holt |
05/17/2013 | 08/15/2013 |
| 2013-042 | SEC v. Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC and Brewer Investment Advisors, LLC |
05/17/2013 | 08/15/2013 |
| 2013-041 | 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 |
05/17/2013 | 08/15/2013 |
| 2013-040 | SEC v. Frank Bluestein |
05/17/2013 | 08/15/2013 |
| 2013-039 | SEC v. A Chicago Convention Center, LLC, Anshoo R. Sethi, and Intercontinental Regional Center Trust of Chicago, LLC |
04/23/2013 | 07/22/2013 |
| 2013-038 | SEC v. Big Apple Consulting USA, Inc., MJMM Investments, LLC, Marc Jablon, Matthew Maguire, Mark C. Kaley, and Keith Jablon |
04/15/2013 | 07/14/2013 |
| 2013-037 | SEC v. 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis |
04/15/2013 | 07/14/2013 |
| 2013-036 | In the Matter of Banco Comercial Português, S.A. |
04/15/2013 | 07/14/2013 |
| 2013-035 | SEC v. Verde Retirement LLC, a California limited liability company, Verde FX Nevada, LLC, a California limited liability company, Covenant Capital Partners, a California corporation, and Steven L. Hamilton |
04/15/2013 | 07/14/2013 |
| 2013-034 | SEC v. City Capital Corporation, Ephren W. Taylor, II, and Wendy Jean Connor |
04/15/2013 | 07/14/2013 |
| 2013-033 | SEC v. Derek A. Nelson, Capital Mountain Holding Corp., Systems XXI, Act I, LLC, and Systems XXI, Act II, LLC |
04/15/2013 | 07/14/2013 |
| 2013-032 | SEC v. Bridge Premium Finance, LLC (f/k/a Berjac of Colorado, LLC), Michael J. Turnock, and William P. Sullivan, II |
04/15/2013 | 07/14/2013 |
| 2013-031 | SEC v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert C. Rice, and Robert S. Anderson |
04/15/2013 | 07/14/2013 |
| 2013-030 | SEC v. M. Mark McAdams and R. Dane Freeman |
04/15/2013 | 07/14/2013 |
| 2013-029 | SEC v. Oversea Chinese Fund Limited Partnership, Weizhen Tang & Associates, Inc., Weizhen Tang Corp., Winwin Capital Management, LLC, Winwin Capital Limited Partnership, J.O.R. & Associates, LLC, and Weizhen Tang |
04/15/2013 | 07/14/2013 |
| 2013-028 | SEC v. EFS, LLC, Freedom Fidelity, LLC, James N. Pratt, SP&V, LLC, and Timothy V. Coffin |
04/15/2013 | 07/14/2013 |
| 2013-027 | SEC v. Merendon Mining (Nevada) Inc, Larry Lee Adair, Milowe Allen Brost a/k/a/ Milow Brost, M.B. Gonne or Phillip K. Collins, Ward K. Capstick, Bradley Dean Regier, Gary Allen Sorenson a/k/a Don Grey Fox, Martin M. Werner, Syndicated Gold Depository Inc, now known as Bahamas Resources Alliance Ltd., Merendon Mining Corp. Ltd., Institute For Financial Learning Group of Companies, Inc. |
04/15/2013 | 07/14/2013 |
| 2013-026 | SEC v. Chetan Kapur and Lilaboc, LLC, d/b/a ThinkStrategy Capital Management, LLC. |
04/15/2013 | 07/14/2013 |
| 2013-025 | SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC. |
03/11/2013 | 06/09/2013 |
| 2013-024 | 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 |
03/11/2013 | 06/09/2013 |
| 2013-023 | SEC v. Peter Siris, Guerrilla Capital Management, LLC, and Hua Mei 21st Century, LLC |
03/11/2013 | 06/09/2013 |
| 2013-022 | 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 |
03/11/2013 | 06/09/2013 |
| 2013-021 | In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC |
03/11/2013 | 06/09/2013 |
| 2013-020 | SEC v. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc. |
03/11/2013 | 06/09/2013 |
| 2013-019 | SEC v. Gilbert G. Lundstrom, James A. Laphen, and Trevor A. Lundstrom |
03/11/2013 | 06/09/2013 |
| 2013-018 | SEC v. Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC and Richard H. Nickles |
03/11/2013 | 06/09/2013 |
| 2013-017 | In the Matter of Focus Point Solutions, Inc., The H Group, Inc., and Christopher Keil Hicks |
03/11/2013 | 06/09/2013 |
| 2013-016 | SEC v. Howard Brett Berger |
03/11/2013 | 06/09/2013 |
| 2013-015 | SEC v. David E. Ruskjer |
02/08/2013 | 05/09/2013 |
| 2013-014 | SEC v. Eli Lilly and Company |
02/08/2013 | 05/09/2013 |
| 2013-013 | SEC v. Igor Poteroba, Aleksey Koval and Alexander Vorobiev |
02/08/2013 | 05/09/2013 |
| 2013-012 | 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 |
02/08/2013 | 05/09/2013 |
| 2013-011 | SEC v. Gary J. Martel, D/B/A Martel Financial Group, and MFG Funding |
02/08/2013 | 05/09/2013 |
| 2013-010 | SEC v. Management Solutions, Inc., a Texas Corporation; Wendell A. Jacobson; and Allen R. Jacobson |
01/04/2013 | 04/04/2013 |
| 2013-009 | SEC v. BP p.l.c. |
01/04/2013 | 04/04/2013 |
| 2013-008 | SEC v. Tiger Asia Management, LLC, Tiger Asia Partners, LLC, Sung Kook (a/k/a Bill) Hwang, and Raymond Y.H. Park |
01/04/2013 | 04/04/2013 |
| 2013-006 | In the Matter of Allianz SE |
01/04/2013 | 04/04/2013 |
| 2013-005 | 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 |
01/04/2013 | 04/04/2013 |
| 2013-004 | In the Matter of Fiduciary Asset Management, LLC |
01/04/2013 | 04/04/2013 |
| 2013-003 | SEC v. EagleEye Asset Management, LLC and Jeffrey A. Liskov |
01/04/2013 | 04/04/2013 |
| 2013-002 | In the Matter of Aladdin Capital Management LLC and Aladdin Capital LLC |
01/04/2013 | 04/04/2013 |
| 2013-001 | SEC v. I. Joseph Massoud |
01/04/2013 | 04/04/2013 |
| 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 |
12/07/2012 | 03/07/2013 |
| 2012-129 | SEC v. Kenneth Ira Starr, Starr Investment Advisors, LLC, Starr & Company, LLC, and Jonathan Star Bristol |
12/07/2012 | 03/07/2013 |
| 2012-128 | SEC v. Kris Chellam |
12/07/2012 | 03/07/2013 |
| 2012-127 | SEC v. Christel S. Scucci, Karen S. Beach, Cameron H. Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLC |
12/07/2012 | 03/07/2013 |
| 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 |
12/07/2012 | 03/07/2013 |
| 2012-125 | SEC v. Joseph J. Monterosso, Luis E. Vargas, Lawrence E. Lynch, and Timothy Huff |
12/07/2012 | 03/07/2013 |
| 2012-124 | SEC v. Anand Sekaran and Wasson Capital Advisors Ltd. |
12/07/2012 | 03/07/2013 |
| 2012-123 | In the Matter of Massachusetts Mutual Life Insurance Company |
11/16/2012 | 02/14/2013 |
| 2012-122 | SEC v. Private Equity Management Group, Inc.; Private Equity Management Group, LLC; and Danny Pang |
11/16/2012 | 02/14/2013 |
| 2012-121 | SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc |
11/16/2012 | 02/14/2013 |
| 2012-120 | SEC v. Jonathan R. Curshen, Michael S. Krome, David C. Ricci, Ronny Morales Salazar, Robert L. Weidenbaum, Ariav "Eric" Weinbaum, and Yitzchak Zigdon a/k/a Izhack Zigdon |
11/16/2012 | 02/14/2013 |
| 2012-119 | SEC v. East Delta Resources Corp., Victor Sun, David Amsel, and Mayer Amsel |
11/16/2012 | 02/14/2013 |
| 2012-118 | SEC v. James S. Quay, a/k/a Jim Quay, a/k/a Stephen Quay, a/k/a Stephen Jameson, and Jeffrey A. Quay |
11/16/2012 | 02/14/2013 |
| 2012-117 | SEC v.Fabrizio Neves and Jose Luna |
11/08/2012 | 02/06/2013 |
| 2012-116 | SEC v. Robert L. Buckhannon, Terry D. Rawstern, Dale E. St. Jean, Gregory D. Tindall, Richard D. Mittasch, Christopher T. Paganes, Glenn M. Barikmo, and Imperium Investment Advisors, LLC |
11/08/2012 | 02/06/2013 |
| 2012-115 | SEC v. John Scott Clark, Impact Cash, LLC, a Utah Limited Liability Company and Impact Payment Systems, LLC a Nevada Limited Liability Company |
11/08/2012 | 02/06/2013 |
| 2012-114 | In the Matter of Hold Brothers On-Line Investment Services, LLC, Demostrate, LLC, Trade Alpha Corporate, Ltd, Steven Hold, Robert Vallone, and William Tobias |
11/08/2012 | 02/06/2013 |
| 2012-113 | SEC v. ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore |
11/08/2012 | 02/06/2013 |
| 2012-112 | SEC v. Orthofix International N.V |
11/08/2012 | 02/06/2013 |
| 2012-111 | In the Matter of New York Stock Exchange LLC, and NYSE Euronext |
11/08/2012 | 02/06/2013 |
| 2012-110 | SEC v. Blackout Media Corporation, formerly known as First Canadian American Holding Corporation, and Sandy Winick |
11/08/2012 | 02/06/2013 |
| 2012-109 | SEC v. Homeland Safety International, Inc. F/K/A Sniffex, Inc.; Mark B. Lindberg; Petar D. Mihaylov; Yuri P. Markov; Paul B. Johnson; Nicholas V. Klausgaard; and Ilona V. Klausgaard |
11/08/2012 | 02/06/2013 |
| 2012-108 | SEC v. Neil V. Moody and Christopher D. Moody |
11/08/2012 | 02/06/2013 |
| 2012-107 | SEC v. Larry Michael Parrish |
11/08/2012 | 02/06/2013 |
| 2012-106 | SEC. v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy |
11/08/2012 | 02/06/2013 |
| 2012-105 | In the Matter of Advanced Equities, Inc., Dwight O. Badger, and Keith G. Daubenspeck |
11/08/2012 | 02/06/2013 |
| 2012-104 | In the Matter of Goldman, Sachs & Co. |
11/08/2012 | 02/06/2013 |
| 2012-103 | SEC v. Oracle Corporation |
10/02/2012 | 12/31/2012 |
| 2012-102 | SEC v. Irwin Boock, Stanton B. J. DeFreitas, Nicolette D. Loisel, Roger L. Shoss, and Jason C. Wong |
10/02/2012 | 12/31/2012 |
| 2012-101 | SEC. v. Wyeth LLC |
10/02/2012 | 12/31/2012 |
| 2012-100 | SEC v. Pfizer Inc. |
10/02/2012 | 12/31/2012 |
| 2012-099 | SEC. v Nancy Shao Wen Chu, Elizabeth Tsang, aka Yuen Yee Tsang, and Eric Jon Strasser |
10/02/2012 | 12/31/2012 |
| 2012-098 | In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Well Fargo Securities, LLC and Shawn Patrick McMurtry |
10/02/2012 | 12/31/2012 |
| 2012-097 | SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC |
10/02/2012 | 12/31/2012 |
| 2012-096 | In the Matter of Jeffrey A. Wolfson, Robert A. Wolfson, and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC) |
09/04/2012 | 12/03/2012 |
| 2012-095 | SEC v. Titan Wealth Management, LLC, Point West Partners, LLC, and Thomas Lester Irby II |
09/04/2012 | 12/03/2012 |
| 2012-094 | SEC v. Omar Ali Rizvi, Bellwether Venture Capital Fund I, Inc., and Strategy Partners, LLC |
09/04/2012 | 12/03/2012 |
| 2012-093 | SEC v. Mizuho Securities USA Inc. |
09/04/2012 | 12/03/2012 |
| 2012-092 | SEC v. Jeffrey Alan Lowrance and First Capital Savings & Loan, Ltd. |
09/04/2012 | 12/03/2012 |
| 2012-091 | In the Matter of Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA |
09/04/2012 | 12/03/2012 |
| 2012-090 | SEC v. William K. Harrison and Eddie W. Sawyers |
09/04/2012 | 12/03/2012 |
| 2012-089 | SEC v. Harbert Management Corporation, HMC-New York Inc., and HMC Investors, LLC |
09/04/2012 | 12/03/2012 |
| 2012-088 | SEC v. Falconstor Software, Inc. |
09/04/2012 | 12/03/2012 |
| 2012-087 | SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates Inc. |
09/04/2012 | 12/03/2012 |
| 2012-086 | In the Matter of Delaware Asset Advisers and Wei (Alex) Wei |
09/04/2012 | 12/03/2012 |
| 2012-085 | SEC v. Manuel M. Bello, Ayuda Equity Funding LLC, and Amerifund Capital Holdings, LLC |
09/04/2012 | 12/03/2012 |
| 2012-084 | SEC v. Armor Holdings, Inc. |
09/04/2012 | 12/03/2012 |
| 2012-083 | SEC v. AMMB Consultant Sendirian Berhad |
09/04/2012 | 12/03/2012 |
| 2012-082 | SEC v. Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori |
08/01/2012 | 10/30/2012 |
| 2012-081 | In the Matter of Harbinger Capital Partners, LLC |
08/01/2012 | 10/30/2012 |
| 2012-080 | In the Matter of Howard L. Blum |
08/01/2012 | 10/30/2012 |
| 2012-079 | SEC v. Ralph R. Cioffi and Matthew M. Tannin |
08/01/2012 | 10/30/2012 |
| 2012-078 | SEC v. Kevan D. Acord, Philip C. Growney, Alberto J. Perez, Jose G. Perez, Sebastian De La Maza, and Thomas L. Borell |
08/01/2012 | 10/30/2012 |
| 2012-077 | SEC v. Spyglass Equity Systems, Inc., Richard L. Carter, Preston L. Sjoblom, Tyson D. Elliott, Flatiron Capital Partners, LLC, Flatiron Systems, LLC, and David E. Howard II |
08/01/2012 | 10/30/2012 |
| 2012-076 | In the Matter of OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc. |
08/01/2012 | 10/30/2012 |
| 2012-075 | SEC v. Phillip R. Trujillo, Wealth Management Resources, LLC, PTV 22, LLC, PTV 33, LLC, and PTV 44, LLC. |
08/01/2012 | 10/30/2012 |
| 2012-074 | SEC v. Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas |
08/01/2012 | 10/30/2012 |