July 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 |
|---|---|---|---|
| | SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr. Case number: 12-cv-10692 (United States District Court for the Central District of California) Case filed: December 14, 2012 Qualifying Judgment/Order: May 11, 2015 | 7/31/2015 | 10/29/2015 |
| | SEC v. Joshua A. Yudell Case number: 15-cv-04548 (United States District Court for the Southern District of New York) Case filed: June 11, 2015 Qualifying Judgment/Order: June 16, 2015 | 7/31/2015 | 10/29/2015 |
| | SEC v. Andrew L. Evans Case number: 15-cv-02551 (United States District Court for the Northern District of California) Case filed: June 9, 2015 Qualifying Judgment/Order: June 10, 2015 | 7/31/2015 | 10/29/2015 |
| | In the Matter of Kohlberg Kravis Roberts & Co. L.P. Administrative Proceeding File No.: 3-16656 Case filed: June 29, 2015 Qualifying Judgment/Order: June 29, 2015 | 7/31/2015 | 10/29/2015 |
| | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-16665 Case filed: June 30, 2015 Qualifying Judgment/Order: June 30, 2015 | 7/31/2015 | 10/29/2015 |
| | In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton Administrative Proceeding File No.: 3-16672 Case filed: July 1, 2015 Qualifying Judgment/Order: July 1, 2015 | 7/31/2015 | 10/29/2015 |
| | In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield Administrative Proceeding File No.: 3-16575 Case filed: June 5, 2015 Qualifying Judgment/Order: June 5, 2015 | 7/31/2015 | 10/29/2015 |
| | SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller Case number: 10-cv-01235 (United States District Court for the Northern District of Ohio) Case filed: June 2, 2010 Qualifying Judgment/Order: May 26, 2015 | 7/31/2015 | 10/29/2015 |
| | In the Matter of Helmut Anscheringer Administrative Proceeding File No.: 3-16589 Case filed: June 15, 2015 Qualifying Judgment/Order: June 15, 2015 | 7/31/2015 | 10/29/2015 |
| | SEC v. Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner Case number: 14-cv-80823 (United States District Court for the Southern District of Florida) Case filed: June 23, 2014 Qualifying Judgment/Order: June 22, 2015 | 7/31/2015 | 10/29/2015 |
| | In the Matter of Alphabridge Capital Management, LLC, Thomas T. Kutzen, and Michael J. Carino Administrative Proceeding File No.: 3-16670 Case filed: July 1, 2015 Qualifying Judgment/Order: July 1, 2015 | 7/31/2015 | 10/29/2015 |
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