SEC.gov | Whistleblower Program: Notices of Covered Action

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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
2011-042	In the Matter of Diageo plc Administrative Proceeding File No.: 3-14490 Case filed: July 27, 2011	08/12/2011	11/10/2011
2011-041	SEC v. Matthew C. Devlin, Jamil A. Bouchareb, Daniel A. Corbin, Frederick E. Bowers, Thomas R. Faulhaber, Eric A. Holzer, Jeffrey R. Glover, Corbin Investment Holdings LLC, and Augustus Management Case number: 08-cv-11001 (United States District Court for the Southern District of New York) Case filed: December 18, 2008	08/12/2011	11/10/2011
2011-040	SEC v. Dell, Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, and Nicholas A.R. Dunning Case number: 10-cv-01245 (United States District Court for the District of Columbia) Case filed: July 22, 2010	08/12/2011	11/10/2011
2011-039	In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA Administrative Proceeding File No.: 3-14216 Case filed: February 2, 2011	08/12/2011	11/10/2011
2011-038	SEC v. Joseph A. Dawson Case number: 11-cv-01615 (United States District Court for the Northern District of Illinois) Case filed: March 8, 2011	08/12/2011	11/10/2011
2011-037	SEC v. Credit Bancorp, Ltd., Credit Bancorp, Inc., Richard Jonathan Blech, Thomas M. Rittweger, and Douglas C. Brandon Case number: 99-cv-11395 (United States District Court for the Southern District of New York) Case filed: November 11, 1999	08/12/2011	11/10/2011
2011-036	SEC v. ConnectAJet.com, Inc., Martin T. Cantu, Martin M. Cantu, Firenze Funds LLC, Timothy T. Page, Testre LP, Verona Funds LLC, and Stephen Fayette Case number: 09-cv-01742 (United States District Court for the Northern District of Texas) Case filed: September 18, 2009	08/12/2011	11/10/2011
2011-035	SEC v. Nicolas Patrick Benoit Condroyer and Gilles Robert Roger Case number: 09-cv-03600 (United States District Court for the Northern District of Georgia) Case filed: December 22, 2009	08/12/2011	11/10/2011
2011-034	SEC v. Comverse Technology, Inc. Case number: 11-cv-01704 (United States District Court for the Eastern District of New York) Case filed: April 7, 2011	08/12/2011	11/10/2011
2011-033	SEC v. Citigroup Inc. Case number: 10-cv-01277 (United States District Court for the District of Columbia) Case filed: July 29, 2010	08/12/2011	11/10/2011
2011-032	SEC v. Randy M. Cho Case number: 09-cv-6261 (United States District Court for the Northern District of Illinois) Case filed: October 27, 2009	08/12/2011	11/10/2011
2011-031	SEC v. Chimay Capital Management Inc. and Guy Albert de Chimay Case number: 10-cv-04582 (United States District Court for the Southern District of New York) Case filed: June 11, 2010	08/12/2011	11/10/2011
2011-030	SEC v. Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments Case number: 11-cv-00136 (United States District Court for the Northern District of California) Case filed: January 11, 2011	08/12/2011	11/10/2011
2011-029	In the Matter of Carlson Capital, LP Administrative Proceeding File No.: 3-14066 Case filed: September 23, 2010	08/12/2011	11/10/2011
2011-028	SEC v. Gaston E. Cantens and Teresita Cantens Case number: 10-cv-20635 (United States District Court for the Southern District of Florida) Case filed: March 3, 2010	08/12/2011	11/10/2011
2011-027	SEC v. Canopy Financial, Inc. and Jeremy J. Blackburn Case number: 09-cv-07429 (United States District Court for the Northern District of Illinois) Case filed: November 30, 2009	08/12/2011	11/10/2011
2011-026	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 Case number: 10-cv-02859 (United States District Court for the Middle District of Florida) Case filed: December 21, 2010	08/12/2011	11/10/2011
2011-025	In the Matter of Brookside Capital LLC Administrative Proceeding File No.: 3-14444 Case filed: June 28, 2011	08/12/2011	11/10/2011
2011-024	SEC v. BroCo Investments, Inc., and Valery Maltsev Case number: 10-cv-02217 (United States District Court for the Southern District of New York) Case filed: March 15, 2010	08/12/2011	11/10/2011
2011-023	SEC v. Joseph V. Braas and Michael J. Schlager Case number: 11-cv-00087 (United States District Court for the Eastern District of Pennsylvania) Case filed: January 6, 2011	08/12/2011	11/10/2011
2011-022	In the Matter of BNY Mellon Securities LLC Administrative Proceeding File No.: 3-14191 Case filed: January 14, 2011	08/12/2011	11/10/2011
2011-021	SEC v. Carl E. Binette and Peter E. Talbot Case number: 09-cv-30107 (United States District Court for the District Of Massachusetts) Case filed: July 13, 2009	08/12/2011	11/10/2011
2011-020	SEC v. Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper Case number: 09-cv-00068 (United States District Court for the District of Hawaii) Case filed: February 18, 2009	08/12/2011	11/10/2011
2011-019	SEC v. Berkshire Resources LLC, Berkshire (40L) LLP, Berkshire 2006-5 LLP, Passmore-5 LLP, Gueydan Canal 28-5 LLP, Gulf Coast Development #12 LLP, Drilling Deep in the Louisiana Water J.V., Jason T. Rose, David G. Rose, Mark D. Long, and Yolanda C. Velazquez Case number: 09-cv-00704 (United States District Court for the Southern District of Indiana) Case filed: June 8, 2009	08/12/2011	11/10/2011
2011-018	SEC v. Gregg M.S. Berger, Francis A. Tribble, How Wai Hui, a.k.a. John Hui, Kwong-Chung Chan, a.k.a. Bernard Chan, Xiaoqing Du, a.k.a. Angela Du, Global Peopleline Telecom, Inc., Chi Shing Ng, a.k.a. Daniel Ng, China Digital Media Corporation, Mordechai Broudo, Shay Ben-Asulin, and M-Wise, Inc. Case number: 11-cv-10403 (United States District Court for the Eastern District of Michigan) Case filed: February 1, 2011	08/12/2011	11/10/2011
2011-017	SEC v. Ben-Wal Leasing Company, Ben-Wal Management, Inc., and Jerry E. Benson Case number: 09-cv-06223 (United States District Court for the Central District of California) Case filed: August 26, 2009	08/12/2011	11/10/2011
2011-016	In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, and Barr Rosenberg Research Center, LLC Administrative Proceeding File No.: 3-14224 Case filed: February 3, 2011	08/12/2011	11/10/2011
2011-015	SEC v. Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia Case number: 09-cv-21592 (United States District Court for the Southern District of Florida) Case filed: June 11, 2009	08/12/2011	11/10/2011
2011-014	In the Matter of Aristeia Capital, LLC Administrative Proceeding File No.: 3-14360 Case filed: May 2, 2011	08/12/2011	11/10/2011
2011-013	SEC v. Sonja Anticevic Case number: 05-cv-06991 (United States District Court for the Southern District of New York) Case filed: August 5, 2005	08/12/2011	11/10/2011
2011-012	SEC v. Daryl O. Anderson Case number: 09-cv-01799 (United States District Court for the District of Nevada) Case filed: September 10, 2009	08/12/2011	11/10/2011
2011-011	In the Matter of American Pegasus LDG LLC, American Pegasus Investment Management Inc., Benjamin P. Chui, Charles E. Hall, Jr. and Triffany Mok Administrative Proceeding File No.: 3-14169 Case filed: December 21, 2010	08/12/2011	11/10/2011
2011-010	SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer Case number: 09-cv-61716 (United States District Court for the Southern District of Florida) Case filed: October 28, 2009	08/12/2011	11/10/2011
2011-009	SEC v. Alliance One International, Inc. Case number: 10-cv-01319 (United States District Court for the District of Columbia) Case filed: August 6, 2010	08/12/2011	11/10/2011
2011-008	SEC v. Edward A. Allen, David L. Olson, and A&O Investments LLC Case number: 10-cv-01143 (United States District Court for the Northern District of Ohio) Case filed: May 20, 2010	08/12/2011	11/10/2011
2011-007	SEC v. Jacob “Kobi” Alexander, David Kreinberg, and William F. Sorin Case number: 06-cv-03844 (United States District Court for the Eastern District of New York) Case filed: August 9, 2006	08/12/2011	11/10/2011
2011-006	SEC v. Alcatel-Lucent, S.A. Case number: 10-cv-24620 (United States District Court for the Southern District of Florida) Case filed: December 27, 2010	08/12/2011	11/10/2011
2011-005	SEC v. Hazem Khalid Al-Braikan, United Gulf Bank (B.S.C.) E.C., KIPCO Asset Management Co., and Al-Raya Investment Co. Case number: 09-cv-06533 (United States District Court for the Southern District of New York) Case filed: July 23, 2009	08/12/2011	11/10/2011
2011-004	SEC v. Advanced Technologies Group LTD, Alexander Stelmak, and Abelis Raskas Case number: 10-cv-04868 (United States District Court for the Southern District of New York) Case filed: June 23, 2010	08/12/2011	11/10/2011
2011-003	SEC v. David Abish, Christopher Betts, Mark Charvat, Michael Cohn, James Corcoran, Charles Distefano, Paul Feeny, Stephen Gourlay, Brian Kearney, Michael Maccaull, Timothy Matthews, Robert Pratt, Mario Rodriguez, William Scuteri, Scott Siegel, Donald Turney, Andrew Tursi and David Weeks Case number: 00-cv-00978 (United States District Court for the Southern District of New York) Case filed: February 9, 2000	08/12/2011	11/10/2011
2011-002	SEC v. ABB LTD Case number: 10-cv-01648 (United States District Court for the District of Columbia) Case filed: Sept. 29, 2010	08/12/2011	11/10/2011
2011-001	SEC v. Giuseppe Tullio Abatemarco Case number: 10-cv-09527 (United States District Court for the Southern District of New York) Case filed: April 20, 2011	08/12/2011	11/10/2011

Last Reviewed or Updated: March 17, 2025

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