Claim an Award
We post Notices of Covered Action for each Commission 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 Commission 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 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 by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action. Please send completed forms to the Office of the Whistleblower by mail at 100 F Street NE, Mail Stop 5971, Washington, DC 20549 or by fax at (703) 813-9322.
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| 2012-45 | SEC v. United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony "Tony" J. Oliva Case number: 10-cv-00568 (United States District Court for the District of New Mexico) Case filed: June 14, 2010 Qualifying Judgment/Order: March 2, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-44 | SEC v. Petroleum Unlimited LLC, Petroleum Unlimited II LLC, Roger A. Kimmel, Jr., Harry Nyce, Michel-Jean Geraud, Robert Rossi, Joseph Valko, and Morgan Kimmel, n/k/a Morgan Petitti Case number: 11-cv-80038 (United States District Court for the Southern District of Florida) Case filed: January 12, 2011 Qualifying Judgment/Order: March 19, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-43 | SEC v. Pentagon Capital Management PLC and Lewis Chester Case number: 08-cv-03324 (United States District Court of the Southern District of New York) Case filed: April 3, 2008 Qualifying Judgment/Order: March 28, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-42 | SEC v. Raymond P. Morris; E & R Holdings, LLC; Wise Financial Holdings, LLC; Momentum Leasing, LLC; James L. Haley; Cornerstone Capital Fund, LLC; Vantage Point Capital, LLC; Jay J. Linford; Freedom Group, LLC; and Luc D. Nguyen Case number: 11-cv-00021 (United States District Court for the District of Utah) Case filed: January 6, 2011 Qualifying Judgment/Order: March 21, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-41 | SEC v. Timothy J. McGee, Michael W. Zirinsky, Robert L. Zirinsky, Paulo Lam, a/k/a Paul Lam, and Marianna Sze Wan Ho Case number: 12-cv-01296 (United States District Court for the Eastern District of Pennsylvania) Case filed: March 13, 2012 Qualifying Judgment/Order: March 16, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-40 | SEC v. Neal R. Greenberg Case number: 11-cv-00313 (United States District Court for the District of Colorado) Case filed: February 7, 2011 Qualifying Judgment/Order: March 13, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-39 | SEC v. Matthew J. Gagnon Case number: 10-cv-11891 (United States District Court for the Eastern District of Michigan) Case filed: May 11, 2010 Qualifying Judgment/Order: March 22, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-38 | SEC v. Brenda A. Eschbach Case number: 12-cv-00244 (United States District Court for the Central District of California) Case filed: February 14, 2012 Qualifying Judgment/Order: March 16, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-37 | SEC v. Laurence M. Brown a/k/a Lawrence M. Brown and Ronald J. Mangini Case number: 10-cv-05564 (United States District Court for the Southern District of New York) Case filed: July 22, 2010 Qualifying Judgment/Order: March 22, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-36 | SEC v. Biomet, Inc. Case number: 12-cv-00454 (United States District Court for the District of Columbia) Case filed: March 26, 2012 Qualifying Judgment/Order: March 27, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-35 | SEC v. Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P. Case number: 12-cv-00409 (United States District Court for the Southern District of New York) Case filed: January 18, 2012 Qualifying Judgment/Order: April 6, 2012 |
05/02/2012 | 07/31/2012 |
| 2012-34 | SEC v. mUrgent Corporation, Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski Case number: 11-cv-00626 (United States District Court for the Central District of California) Case filed: April 21, 2011 Qualifying Judgment/Order: March 1, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-33 | In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh And Mark W. Wells Administrative Proceeding File No.: 3-13532 Case filed: June 30, 2009 Qualifying Judgment/Order: February 27, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-32 | SEC v. Nicos Achilleas Stephanou, Ramesh Chakrapania, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis, and Joseph Contorinis Case number: 09-cv-1043 (United States District Court for the Southern District of New York) Case filed: February 5, 2009 Qualifying Judgment/Order: February 29, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-31 | SEC v. Robert C. Butler Case number: 11-cv-03792 (United States District Court for the Central District of California) Case filed: May 3, 2011 Qualifying Judgment/Order: March 6, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-30 | SEC v. Smith & Nephew plc Case number: 12-cv-00187 (United States District Court for the District of Columbia) Case filed: February 6, 2012 Qualifying Judgment/Order: March 6, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-29 | SEC v. Magnum d'Or Resources, Inc., Joseph J. Glusic, Shannon Allen, Dwight Flatt, and David Della Sciucca, Jr. Case number: 11-cv-60920 (United States District Court for the Southern District of Florida) Case filed: April 29, 2011 Qualifying Judgment/Order: February 13, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-28 | SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Kozlowski, and Frank T. Noyes Case number: 05-cv-00480 (United States District Court for the District of Colorado) Case filed: March 15, 2005 Qualifying Judgment/Order: February 3, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-27 | SEC v. Andrey C. Hicks and Locust Offshore Management, LLC Case number: 11-cv-11888 (United States District Court for the District of Massachusetts) Case filed: October 26, 2011 Qualifying Judgment/Order: March 20, 2012 |
04/03/2012 | 07/02/2012 |
| 2012-26 | SEC v. Christopher T. Vulliez and Amphor Advisors, LLC Case number: 11-cv-03458 (United States District Court for the Southern District of New York) Case filed: May 20, 2011 Qualifying Judgment/Order: January 30, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-25 | SEC v. Symbol Technologies, Inc., Tomo Razmilovic, Kenneth Jaeggi, Leonard Goldner, Brian Burke, Michael Degennaro, Frank Borghese, Christopher Desantis, James Heuschneider, Gregory Mortenson, James Dean, and Robert Donlon Case number: 04-cv-02276 (United States District Court for the Eastern District of New York) Case filed: June 3, 2004 Qualifying Judgment/Order: January 24, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-24 | SEC v. Daniel E. Ruettiger, Rocco Brandonisio, Stephen Decesare, Pawel P. Dynkowski, Kevin S. Kaplan, Gregg R. Mulholland, Mehmet Mustafoglu, Joseph A. Padilla, Angelo R. Panetta, Kevin J. Quinn, Andrea M. Ritchie, Chad P. Smanjak, and Gary J. Yocom Case number: 11-cv-02011 (United States District Court for the District of Nevada) Case filed: December 16, 2011 Qualifying Judgment/Order: January 19, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-23 | SEC. v. Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC Case number: 11-cv-01143 (United States District Court for the Central District of California) Case filed: February 7, 2011 Qualifying Judgment/Order: January 25, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-22 | SEC v. Magyar Telekom, PLC and Deutsche Telekom, AG Case number: 11-cv-09646 (United States District Court for the Southern District of New York) Case filed: December 29, 2011 Qualifying Judgment/Order: January 3, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-21 | SEC v. James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt Case number: 11-cv-01712 (United States District Court for the District of Arizona) Case filed: August 30, 2011 Qualifying Judgment/Order: January 12, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-20 | SEC v. GE Funding Capital Market Services, Inc. Case number: 11-cv-07465 (United States District Court for the District of New Jersey) Case filed: December 23, 2011 Qualifying Judgment/Order: January 23, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-19 | SEC v. Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation Case number: 11-cv-02976 (United States District Court for the Central District of California) Case filed: April 8, 2011 Qualifying Judgment/Order: January 25, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-18 | SEC v. CytoCore, Inc., Daniel J. Burns, and Robert F. McCullough, Jr. Case number: 11-cv-00246 (United States District Court for the Northern District of Illinois) Case filed: January 13, 2011 Qualifying Judgment/Order: January 31, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-17 | SEC v. Carlo G. Chiaese and C.G.C. Advisors, LLC Case number: 10-cv-05110 (United States District Court for the District of New Jersey) Case filed: October 5, 2010 Qualifying Judgment/Order: January 19, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-16 | SEC v. Christopher Love Blackwell, AV Bar Reg, Inc., and Millers A Game, LLC Case number: 11-cv-00234 (United States District Court for the Northern District of Texas) Case filed: February 7, 2011 Qualifying Judgment/Order: January 4, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-15 | SEC v. Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser Case number: 11-cv-01564 (United States District Court for the Central District of California) Case filed: October 11, 2011 Qualifying Judgment/Order: February 3, 2012 |
03/05/2012 | 06/03/2012 |
| 2012-14 | SEC v. Eric J. Aronson; Vincent J. Buonauro, Jr.; Robert S. Kondratick; Fredric H. Aaron; PermaPave Industries, LLC; PermaPave USA Corp.; PermaPave Distributions, Inc.; Permeable Solutions, Inc.; Verigreen, LLC; and Interlink-US-Network, Ltd. Case number: 11-cv-07033 (United States District Court for the Southern District of New York) Case filed: October 6, 2011 Qualifying Judgment/Order: January 19, 2012 |
03/05/2012 | 06/03/2012 |
"Finally, in deciding upon the appropriate amount of an award, the rule indicates that the Commission will focus on the timeliness and quality of a whistleblower's assistance."