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 |
|---|---|---|---|
| 2013-121 | SEC v. The NIR Group, LLC; Corey Ribotsky; and Daryl Dworkin |
12/20/2013 | 03/20/2014 |
| 2013-120 | SEC v. Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc., and Kaleidoscope Real Estate, Inc. |
12/20/2013 | 03/20/2014 |
| 2013-119 | SEC v. Senen Pousa and Investment Intelligence Corporation PTY LLC |
12/20/2013 | 03/20/2014 |
| 2013-118 | SEC v. Imperiali, Inc., Daniel Imperato, Charles Fiscina, and Lawrence A. O'Donnell |
12/20/2013 | 03/20/2014 |
| 2013-117 | SEC v. Steven Palladino and Viking Financial Group, Inc. |
12/20/2013 | 03/20/2014 |
| 2013-116 | SEC v. RBS Securities Inc. |
12/20/2013 | 03/20/2014 |
| 2013-115 | SEC v. Robert L. Duncan |
12/20/2013 | 03/20/2014 |
| 2013-114 | In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC
In the Matter of Jonathan Samuel Daspin
In the Matter of Thomas Lekargeren |
12/20/2013 | 03/20/2014 |
| 2013-113 | In the Matter of Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC |
12/20/2013 | 03/20/2014 |
| 2013-112 | In the Matter of Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation |
12/20/2013 | 03/20/2014 |
| 2013-111 | In the Matter of Fifth Third Bancorp and Daniel Poston |
12/05/2013 | 03/05/2014 |
| 2013-110 | SEC v. Diebold, Inc. |
11/21/2013 | 02/19/2014 |
| 2013-109 | SEC v. Berton M. Hochfeld and Hochfeld Capital Management, L.L.C. |
11/21/2013 | 02/19/2014 |
| 2013-108 | SEC v. Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation |
11/21/2013 | 02/19/2014 |
| 2013-107 | SEC v. Edward T. Stein |
11/21/2013 | 02/19/2014 |
| 2013-106 | SEC v. Small Business Capital Corp., Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC. |
11/21/2013 | 02/19/2014 |
| 2013-105 | SEC v. China MediaExpress Holdings, Inc., and Zheng Cheng |
11/21/2013 | 02/19/2014 |
| 2013-104 | In the Matter of Stryker Corporation |
11/21/2013 | 02/19/2014 |
| 2013-103 | In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern |
11/21/2013 | 02/19/2014 |
| 2013-102 | In the Matter of Manarin Investment Counsel, Ltd., Manarin Securities Corp., and Roland R. Manarin |
11/21/2013 | 02/19/2014 |
| 2013-101 | SEC v. Edmund E. Wilson and Walter L. Ross |
10/22/2013 | 01/20/2014 |
| 2013-100 | In the Matter of TD Bank, N.A. |
10/22/2013 | 01/20/2014 |
| 2013-099 | In the Matter of Shadron L. Stastney |
10/22/2013 | 01/20/2014 |
| 2013-098 | SEC v. Petro-Suisse LTD. and Mark Gasarch |
10/22/2013 | 01/20/2014 |
| 2013-097 | SEC v. Brian G. Elrod and Nova Dean Pack |
10/22/2013 | 01/20/2014 |
| 2013-096 | SEC v. The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., Frank L. Pavlico III, a/k/a Frank Lorenzo, Brynee K. Baylor, Baylor & Jackson, P.L.L.C |
10/22/2013 | 01/20/2014 |
| 2013-095 | In the Matter of Manikay Partners LLC |
10/22/2013 | 01/20/2014 |
| 2013-094 | SEC v. Marcin Malarz, Jacek Sienkiewicz, and Arthur Lin |
10/22/2013 | 01/20/2014 |
| 2013-093 | In the Matter of Knight Capital Americas LLC |
10/22/2013 | 01/20/2014 |
| 2013-092 | In the Matter of JPMorganChase & Co. |
10/22/2013 | 01/20/2014 |
| 2013-091 | In the Matter of JGP Global Gestão de Recursos Ltda. |
10/22/2013 | 01/20/2014 |
| 2013-090 | SEC v Yusaf Jawed, Grifphon Asset Management LLC, Grifphon Holdings, LLC, and Robert P. Custis |
10/22/2013 | 01/20/2014 |
| 2013-089 | SEC v. Harbinger Capital Partners LLC; Philip A. Falcone; and Peter A. Jenson |
10/22/2013 | 01/20/2014 |
| 2013-088 | In the Matter of Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC |
10/22/2013 | 01/20/2014 |
| 2013-087 | SEC v. GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum |
10/22/2013 | 01/20/2014 |
| 2013-086 | SEC v. Envision Direct L.L.C. and Gary R. Headding |
10/22/2013 | 01/20/2014 |
| 2013-085 | In the Matter of Deerfield Management Company, L.P. |
10/22/2013 | 01/20/2014 |
| 2013-084 | SEC v. Phillip J. DeZwirek |
09/20/2013 | 12/19/2013 |
| 2013-083 | SEC v. John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, Ltd., Praetorian G Power I, LLC, Praetorian G Power II, LLC, Praetorian G Power IV, LLC, Praetorian G Power V, LLC, Praetorian G Power VI, LLC, David E. Howard II, John R. Arnold, First American Service Transmittals, Inc., Joseph Almazon, and Spartan Capital Partners |
09/20/2013 | 12/19/2013 |
| 2013-082 | SEC v. Joseph Simone; Island Capital Management, Inc., Joseph Lando; Joseph Caracciolo; Alfred Varricchio; Anthony Pianelli; Jill Pianelli; JAP JAP Enterprises, LLC; Brian Fabrizzi; Donald Sorrentino; Anthony Carannante, individually and d/b/a A&C Management; Steven Daronzio, individually and d/b/a/ A&C Management; Rochelle Roman; Shaun Sarnicola; Anthony Tanico; Andrea Lando-Tanico; AJT Ltd; AJGT Ltd.; Michael McCormack; Donna Centola; DMAC Services, Inc.; Andrew Caccioppoli; Thomas Macli; Donna Macli; Lumac Corp.; Gary Manfre; Ricahrd Manfre; and RAM Solutions, Inc. |
09/20/2013 | 12/19/2013 |
| 2013-081 | SEC v. Scott London and Bryan Shaw |
09/20/2013 | 12/19/2013 |
| 2013-080 | SEC v. Firas A. Hamdan, individually and doing business as FAH Capital Partners |
09/20/2013 | 12/19/2013 |
| 2013-079 | SEC v. Badin Rungruangnavarat |
09/20/2013 | 12/19/2013 |
| 2013-078 | SEC v. David B. Welliver and Dblaine Capital, LLC |
09/20/2013 | 12/19/2013 |
| 2013-077 | SEC v. Richard DeMaria |
09/20/2013 | 12/19/2013 |
| 2013-076 | SEC v. Art Intellect, Inc., a Utah Corporation, d/b/a Mason Hill and Virtual MG, Patrick Merrill Brody, Laura A. Roser, and Gregory D. Wood |
08/16/2013 | 11/14/2013 |
| 2013-075 | In the Matter of A.R. Schmeidler & Co., Inc. |
08/16/2013 | 11/14/2013 |
| 2013-074 | SEC v. Igors Nagaicevs |
08/16/2013 | 11/14/2013 |
| 2013-073 | SEC v. Robert Stinson, Jr., Life's Good, Inc., Life's Good Stabl Mortgage Fund, LLC, Life's Good High Yield Mortgage Fund, LLC, Life's Good Capital Growth Fund, LLC, IA Capital Fund, LLC, and Keystone State Capital Corporation |
08/16/2013 | 11/14/2013 |
| 2013-072 | SEC v. Mack D. Murrell, David Teekell, and Charles W. Adams |
08/16/2013 | 11/14/2013 |
| 2013-071 | SEC v. Bryan Arias, Hugo A. Arias, Anthony C. Ciccone, Salvatore Ciccone, Diane Kaylor, Jason A. Keryc, Anthony Massaro, Christopher E. Curran, Ryan K. Dunaske, Michael P. Dunne, Martin C. Hartmann III, Michael D. Keryc, Ronald R. Roaldsen, Jr., and Laura Ann Tordy |
08/16/2013 | 11/14/2013 |
| 2013-070 | SEC v. Keyuan Petrochemicals, Inc. and Aichun Li |
08/16/2013 | 11/14/2013 |
| 2013-069 | SEC v. Fuqi International, Inc. and Yu Kwai Chong |
08/16/2013 | 11/14/2013 |
| 2013-068 | SEC v. International Business Machines Corporation |
08/16/2013 | 11/14/2013 |
| 2013-067 | In the Matter of ABN AMRO Bank, N.V. |
08/16/2013 | 11/14/2013 |
| 2013-066 | SEC v. Ryan M. Reynolds, Jason Wynn, Carlton Fleming, Beverage Creations, Inc., Bellatalia, LP, Wynn Industries, LLC, and Thomas Wade Investments, LLC |
08/16/2013 | 11/14/2013 |
| 2013-065 | SEC v. Geoffrey J. Eiten and National Financial Communications, Corp. |
08/16/2013 | 11/14/2013 |
| 2013-064 | In the Matter of UBS Securities LLC |
08/06/2013 | 11/04/2013 |
| 2013-063 | SEC v. William Graulich, IV and iVest International Holdings, Inc. |
07/22/2013 | 10/20/2013 |
| 2013-062 | SEC v. Victor Dosti and Whittier Trust Company |
07/22/2013 | 10/20/2013 |
| 2013-061 | In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated |
07/22/2013 | 10/20/2013 |
| 2013-060 | SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley |
07/22/2013 | 10/20/2013 |
| 2013-059 | SEC v. Tyco International LTD |
07/22/2013 | 10/20/2013 |
| 2013-058 | SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc. |
07/22/2013 | 10/20/2013 |
| 2013-057 | SEC v. MayfieldGentry Realty Advisors, LLC, Chauncey C. Mayfield, Blair D. Ackman, Marsha Bass, W. Emery Matthews, and Alicia M. Diaz |
07/22/2013 | 10/20/2013 |
| 2013-056 | In the Matter of Total, S.A. |
06/19/2013 | 09/17/2013 |
| 2013-055 | SEC v. RINO International Corporation, Dejun “David” Zou, and Jianping “Amy” Qiu |
06/19/2013 | 09/17/2013 |
| 2013-054 | SEC v. Joel I. Wilson, Diversified Group Partnership Management, LLC, and American Realty Funds Corporation |
06/19/2013 | 09/17/2013 |
| 2013-053 | In the Matter of UBS O’Connor, LLC |
06/19/2013 | 09/17/2013 |
| 2013-052 | SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens |
06/19/2013 | 09/17/2013 |
| 2013-051 | In the Matter of Koninklijke Philips Electronics N.V. |
05/17/2013 | 08/15/2013 |
| 2013-050 | SEC v. Jorge Gomez and Roberto Aleph Espinosa |
05/17/2013 | 08/15/2013 |
| 2013-049 | SEC v. Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd. |
05/17/2013 | 08/15/2013 |
| 2013-048 | SEC v. Matthew John Ryan and Prime Rate And Return, LLC, individually and doing business as American Integrity Financial Co. |
05/17/2013 | 08/15/2013 |
| 2013-047 | SEC v. Grant Ivan Grieve; Finvest Asset Management, LLC; and Finvest Fund Management, LLC |
05/17/2013 | 08/15/2013 |
| 2013-046 | In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. Lagassa |
05/17/2013 | 08/15/2013 |
| 2013-045 | SEC v. Richard Verdiramo, Vincent L. Verdiramo, Esq., Edward Meyer, Jr., and Victoria Chen |
05/17/2013 | 08/15/2013 |
| 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 |
Last Reviewed or Updated: Nov. 12, 2025