SEC Whistleblower Award List December 2016
The SEC Office of the Whistleblower posts 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 by the SEC, individuals have 90 calendar days to apply for an award.
Click here for SEC whistleblower Resources.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| | In the Matter of EZTD Inc. Administrative Proceeding File No.: 3-17673 Case filed: November 10, 2016 Qualifying Judgment/Order: November 10, 2016 | 12/31/2016 | 03/31/2017 |
| | SEC v. Southlake Resources Group, LLC, Cody M. Winters, and Nicholas R. Hamilton Case number: 16-cv-00992 (United States District Court for the Northern District of Texas) Case filed: October 24, 2016 Qualifying Judgment/Order: October 27, 2016 | 12/31/2016 | 03/31/2017 |
| | SEC v. Embraer, S.A. Case number: 16-cv-62501 (United States District Court for the Southern District of Florida) Case filed: October 24, 2016 Qualifying Judgment/Order: October 31, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of Ronald D. Morley and The New Wealth, LLC Administrative Proceeding File No.: 3-17658 Case filed: November 1, 2016 Qualifying Judgment/Order: November 1, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of Michael L. Reger Administrative Proceeding File No.: 3-17653 Case filed: October 31, 2016 Qualifying Judgment/Order: October 31, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of JP Morgan Chase & Co., Administrative Proceeding File No.: 3-17684 Case filed: November 17, 2016 Qualifying Judgment/Order: November 17, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Administrative Proceeding File No.: 3-17628 Case filed: October 18, 2016 Qualifying Judgment/Order: October 18, 2016 | 12/31/2016 | 03/31/2017 |
| | SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack Case number: 11-cv-00755 (United States District Court for the Eastern District of Wisconsin) Case filed: August 10, 2011 Qualifying Judgment/Order: December 6, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of Credit Suisse AG, Inc. Administrative Proceeding File No.: 3-17617 Case filed: October 5, 2016 Qualifying Judgment/Order: October 5, 2016 | 12/31/2016 | 03/31/2017 |
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The SEC Office of the Whistleblower posts 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 by the SEC, individuals have 90 calendar days to apply for an award.
Click here for SEC whistleblower Resources.
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| | In the Matter of EZTD Inc. Administrative Proceeding File No.: 3-17673 Case filed: November 10, 2016 Qualifying Judgment/Order: November 10, 2016 | 12/31/2016 | 03/31/2017 |
| | SEC v. Southlake Resources Group, LLC, Cody M. Winters, and Nicholas R. Hamilton Case number: 16-cv-00992 (United States District Court for the Northern District of Texas) Case filed: October 24, 2016 Qualifying Judgment/Order: October 27, 2016 | 12/31/2016 | 03/31/2017 |
| | SEC v. Embraer, S.A. Case number: 16-cv-62501 (United States District Court for the Southern District of Florida) Case filed: October 24, 2016 Qualifying Judgment/Order: October 31, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of Ronald D. Morley and The New Wealth, LLC Administrative Proceeding File No.: 3-17658 Case filed: November 1, 2016 Qualifying Judgment/Order: November 1, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of Michael L. Reger Administrative Proceeding File No.: 3-17653 Case filed: October 31, 2016 Qualifying Judgment/Order: October 31, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of JP Morgan Chase & Co., Administrative Proceeding File No.: 3-17684 Case filed: November 17, 2016 Qualifying Judgment/Order: November 17, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Administrative Proceeding File No.: 3-17628 Case filed: October 18, 2016 Qualifying Judgment/Order: October 18, 2016 | 12/31/2016 | 03/31/2017 |
| | SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack Case number: 11-cv-00755 (United States District Court for the Eastern District of Wisconsin) Case filed: August 10, 2011 Qualifying Judgment/Order: December 6, 2016 | 12/31/2016 | 03/31/2017 |
| | In the Matter of Credit Suisse AG, Inc. Administrative Proceeding File No.: 3-17617 Case filed: October 5, 2016 Qualifying Judgment/Order: October 5, 2016 | 12/31/2016 | 03/31/2017 |
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