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 |
|---|---|---|---|
| 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 |
| 2012-073 | SEC v. Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett |
08/01/2012 | 10/30/2012 |
| 2012-072 | SEC v. Phillip W. Offill, Jr., David B. Stocker, Curtis-Case, Inc., Shane A. Mullholand, Ryan M. Reynolds, Timothy T. Page, Steven P. Fischer, RSMR Capital Group, Inc., Dissemination Services, L.L.C., Page Properties, L.P., and ATN Enterprises, L.L.C. |
08/01/2012 | 10/30/2012 |
| 2012-071 | SEC v. Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group |
07/05/2012 | 10/03/2012 |
| 2012-070 | SEC v. Robert Glenn Bard and Vision Specialist Group, LLC |
07/05/2012 | 10/03/2012 |
| 2012-069 | SEC v. H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC |
07/05/2012 | 10/03/2012 |
| 2012-068 | SEC v. Strategic Management & Opportunity Corporation; Robert J. Pratt, and Jeffrey A. Brommer |
07/05/2012 | 10/03/2012 |
| 2012-067 | In the Matter of Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino |
07/05/2012 | 10/03/2012 |
| 2012-066 | SEC v. James Roland Dial, Evan Nicolas Jarvis, and Alexander W. Ellerman |
07/05/2012 | 10/03/2012 |
| 2012-065 | SEC v. James Clements and Zeina Smidi |
07/05/2012 | 10/03/2012 |
| 2012-064 | SEC v. Wealth Management LLC; James Putman; and Simone Fevola |
07/05/2012 | 10/03/2012 |
| 2012-063 | SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc. |
07/05/2012 | 10/03/2012 |
| 2012-062 | SEC v. New Futures Trading International Corporation and Henry Roche |
07/05/2012 | 10/03/2012 |
| 2012-061 | SEC v. U.S. Sustainable Energy Corp., John H. Rivera |
07/05/2012 | 10/03/2012 |
| 2012-060 | SEC v. Paul R. Beckwith |
06/04/2012 | 09/02/2012 |
| 2012-059 | SEC v. Matthew H. Kluger and Garrett D. Bauer |
06/04/2012 | 09/02/2012 |
| 2012-058 | In the Matter of Gualario & Co., LLC and Ronald Gualario |
06/04/2012 | 09/02/2012 |
| 2012-057 | SEC v. Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla |
06/04/2012 | 09/02/2012 |
| 2012-056 | SEC v. Francois E. Durmaz (aka Mahmut E. Durmaz), Robert C. Pribilski, USA Retirement Management Services (aka USA Financial Management Services, Inc.) |
06/04/2012 | 09/02/2012 |
| 2012-055 | SEC v. Marco Glisson |
06/04/2012 | 09/02/2012 |
| 2012-054 | In the Matter of Martin Currie Inc., and Martin Currie Investment Management Ltd. |
06/04/2012 | 09/02/2012 |
| 2012-053 | In the Matter of Goldman, Sachs & Co. |
06/04/2012 | 09/02/2012 |
| 2012-052 | SEC v. Garth Ronald Peterson |
06/04/2012 | 09/02/2012 |
| 2012-051 | SEC v. Usee, Inc., Terry E. Wiese, and Scott A. Wiese |
06/04/2012 | 09/02/2012 |
| 2012-050 | SEC v. Halek Energy, LLC, CBO Energy, Inc., Jason A. Halek, and Christopher Chad Wilbourn |
06/04/2012 | 09/02/2012 |
| 2012-049 | SEC v. Option One Mortgage Corporation n/k/a Sand Canyon Corporation |
06/04/2012 | 09/02/2012 |
| 2012-048 | SEC v. Kenneth A. Dachman, Scott A. Wolf, and Stone Lion Management, Inc. |
06/04/2012 | 09/02/2012 |
| 2012-047 | In the Matter of GMB Capital Management LLC n/k/a Clearstream Investments LLC, GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran |
06/04/2012 | 09/02/2012 |
| 2012-046 | In the Matter of UBS Financial Services Inc. of Puerto Rico |
06/04/2012 | 09/02/2012 |
| 2012-045 | 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 |
05/02/2012 | 07/31/2012 |
| 2012-044 | 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 |
05/02/2012 | 07/31/2012 |
| 2012-043 | SEC v. Pentagon Capital Management PLC and Lewis Chester |
05/02/2012 | 07/31/2012 |
| 2012-042 | 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 |
05/02/2012 | 07/31/2012 |
| 2012-041 | SEC v. Timothy J. McGee, Michael W. Zirinsky, Robert L. Zirinsky, Paulo Lam, a/k/a Paul Lam, and Marianna Sze Wan Ho |
05/02/2012 | 07/31/2012 |
| 2012-040 | SEC v. Neal R. Greenberg |
05/02/2012 | 07/31/2012 |
| 2012-039 | SEC v. Matthew J. Gagnon |
05/02/2012 | 07/31/2012 |
| 2012-038 | SEC v. Brenda A. Eschbach |
05/02/2012 | 07/31/2012 |
| 2012-037 | SEC v. Laurence M. Brown a/k/a Lawrence M. Brown and Ronald J. Mangini |
05/02/2012 | 07/31/2012 |
| 2012-036 | SEC v. Biomet, Inc. |
05/02/2012 | 07/31/2012 |
| 2012-035 | 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. |
05/02/2012 | 07/31/2012 |
| 2012-034 | SEC v. mUrgent Corporation, Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski |
04/03/2012 | 07/02/2012 |
| 2012-033 | 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 |
04/03/2012 | 07/02/2012 |
| 2012-032 | SEC v. Nicos Achilleas Stephanou, Ramesh Chakrapania, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis, and Joseph Contorinis |
04/03/2012 | 07/02/2012 |
| 2012-031 | SEC v. Robert C. Butler |
04/03/2012 | 07/02/2012 |
| 2012-030 | SEC v. Smith & Nephew PLC |
04/03/2012 | 07/02/2012 |
| 2012-029 | SEC v. Magnum d'Or Resources, Inc., Joseph J. Glusic, Shannon Allen, Dwight Flatt, and David Della Sciucca, Jr. |
04/03/2012 | 07/02/2012 |
| 2012-028 | SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Kozlowski, and Frank T. Noyes |
04/03/2012 | 07/02/2012 |
| 2012-027 | SEC v. Andrey C. Hicks and Locust Offshore Management, LLC |
04/03/2012 | 07/02/2012 |
| 2012-026 | SEC v. Christopher T. Vulliez and Amphor Advisors, LLC |
03/05/2012 | 06/03/2012 |
Last Reviewed or Updated: March 17, 2025