August 2015 SEC Whistleblower Awards List
The SEC Office of the Whistleblower post Notices of Covered 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. 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. View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| | In the Matter of Mead Johnson Nutrition Company Administrative Proceeding File No.: 3-16704 Case Filed: July 28, 2015 Qualifying Judgment/Order: July 28, 2015 | 8/31/2015 | 11/29/2015 |
| | In the Matter of Wisteria Global, Inc. and Hiroshi Fujigami Administrative Proceeding File No.: 3-16675 Case Filed: July 6, 2015 Qualifying Judgment/Order: July 6, 2015 | 8/31/2015 | 11/29/2015 |
| | In the Matter of ITG Inc. and AlterNet Securities, Inc. Administrative Proceeding File No.: 3-16742 Case Filed: August 12, 2015 Qualifying Judgment/Order: August 12, 2015 | 8/31/2015 | 11/29/2015 |
| | In the Matter of OZ Management, LP Administrative Proceeding File No.: 3-16686 Case Filed: July 14, 2015 Qualifying Judgment/Order: July 14, 2015 | 8/31/2015 | 11/29/2015 |
| | In the Matter of VERO Capital Management, LLC, Robert Geiger, George Barbaresi, Esq, and Steven Downey, CPA Administrative Proceeding File No.: 3-16328 Case Filed: December 29, 2014 Qualifying Judgment/Order: July 8, 2015 | 8/31/2015 | 11/29/2015 |
| | SEC v. Mikhail Galas, Alexander Hawatmeh, Christopher Mwroca, and Tovy Pustovit Case Number: 14-cv-05621 (United States District Court for the Western District of Washington) Case Filed: August 5, 2014 Qualifying Judgment/Order: July 21, 2015 | 8/31/2015 | 11/29/2015 |
| | In the Matter of Guggenheim Partners Investment Management, LLC Administrative Proceeding File No.: 3-16735 Case Filed: August 10, 2015 Qualifying Judgment/Order: August 10, 2015 | 8/31/2015 | 11/29/2015 |
| | SEC v. Frank Tamayo Case Number: 14-cv-05844 (United States District Court for the District of New Jersey) Case Filed: September 19, 2014 Qualifying Judgment/Order: July 14, 2015 | 8/31/2015 | 11/29/2015 |
| | SEC v. George G. Levin and Frank J. Preve Case Number: 12-cv-21917 (United States District Court for the Southern District of Florida) Case Filed: May 22, 2012 Qualifying Judgment/Order: August 3, 2015 | 8/31/2015 | 11/29/2015 |
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