SEC Publishes Notices of Covered Actions for April 2018-Are You Eligible for a SEC Whistleblower Reward?
The Securities and Exchange Commission (SEC) is authorized to provide monetary awards to whistleblowers with information that leads to an enforcement action when more than $1,000,000 in sanctions is ordered. Whistleblowers can receive between 10 and 30 percent of the money collected by the SEC.
On a monthly basis the SEC Office of the Whistleblower publishes Notices of Covered Action for each SEC action where a final judgment or order results in monetary sanctions exceeds $1 million.
The Notice posting for a case does not mean the SEC has decided that a whistleblower tip, complaint or referral led to the SEC opening an investigation or filing an action with respect to the case or that a whistleblower award will be paid in association with the case. Individuals who believe they qualify for a SEC whistleblower award due to their information and assistance with an SEC enforcement action must apply for a SEC whistleblower award, subject to the SEC whistleblower rules, within 90 calendars from the date of the Notice below.
If you have knowledge of Securities or Commodities Fraud and would like the assistance of experienced SEC whistleblower attorneys to help you claim a SEC whistleblower reward, contact Kohn, Kohn & Colapinto.
For more information see: Key Resources for Filing a SEC Whistleblower Claim.
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| APRIL 2018 | |||
| 2018-44 New |
Case Number: 17-cv-02528 (United States District Court for the Northern District of Illinois) Date Filed: April 3, 2017 Date of Qualifying Judgment/Order: March 9, 2018 |
04/30/2018 | 07/29/2018 |
| 2018-43 New |
Case Number: 18-cv-00616 (United States District Court for the Eastern District of California) Date Filed: March 22, 2018 Date of Qualifying Judgment/Order: March 27, 2018 |
04/30/2018 | 07/29/2018 |
| 2018-42 New |
In the Matter of Voya Investments, LLC and Direct Services LLC Administrative Proceeding File No.: 3-18393 Date Filed: March 8, 2018 Date of Qualifying Judgment/Order: March 8, 2018 |
04/30/2018 | 07/29/2018 |
| 2018-41 New |
Administrative Proceeding File No.: 3-18408 Date Filed: March 27, 2018 Date of Qualifying Judgment/Order: March 27, 2018 |
04/30/2018 | 07/29/2018 |
| 2018-40 New |
In the Matter of Steven Zoernack and EquityStar Capital Management, LLC Administrative Proceeding File No.: 3-17157 Date Filed: March 8, 2016 Date of Qualifying Judgment/Order: February 26, 2018 |
04/30/2018 | 07/29/2018 |
| 2018-39 New |
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Administrative Proceeding File No.: 3-18392 Date Filed: March 8, 2016 Date of Qualifying Judgment/Order: March 8, 2018 |
04/30/2018 | 07/29/2018 |
| 2018-38 New |
Matthew W. Fox and Wayne Energy, LLC Case Number: 17-cv-00271 (United States District Court for the Eastern District of Texas) Date Filed: April 19, 2017 Date of Qualifying Judgment/Order: March 8, 2018 |
04/30/2018 | 07/29/2018 |
| 2018-37 New |
Case Number: 14-cv-14692 (United States District Court for the District of Massachusetts) Date Filed: December 22, 2014 Date of Qualifying Judgment/Order: March 22, 2018 |
04/30/2018 | 07/29/2018 |
| 2018-36 New |
SEC v. James Hugh Brennan III; Douglas Albert Dyer; and Broad Street Ventures, LLC Card Number:16-cv-00307 (United States District Court for the Eastern District of Tennessee) Date Filed: July 20, 2016 Date of Qualifying Judgment/Order: February 20, 2018 |
04/30/2018 | 07/29/2018 |
| 2018-35 New |
SEC v. Revolutions Medical Corp. and Rondald L. Wheet Card Number: 12-cv-03298 (United States District Court for the Northern District of Georgia) Date Filed: September 21, 2012 Date of Qualifying Judgment/Order: March 16, 2018 |
04/30/2018 | 07/29/2018 |
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