SEC Whistleblower Awards List February 2016
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2016-39 | SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012 | 2/29/2016 | 5/29/2016 |
| 2016-38 | SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013 | 2/29/2016 | 5/29/2016 |
| 2016-37 | SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-36 | SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-35 | SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-34 | In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-33 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-32 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-31 | SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-30 | SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-29 | In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-28 | SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-27 | In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-26 | SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-25 | SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-24 | In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-23 | In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-22 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-21 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| | SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016 | 2/29/2016 | 5/29/2016 |
| | In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| < 2016-18 | In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-17 | SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015 |
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
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.
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2016-39 | SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012 | 2/29/2016 | 5/29/2016 |
| 2016-38 | SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013 | 2/29/2016 | 5/29/2016 |
| 2016-37 | SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-36 | SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-35 | SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-34 | In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-33 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-32 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-31 | SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-30 | SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-29 | In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-28 | SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-27 | In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-26 | SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-25 | SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-24 | In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-23 | In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-22 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-21 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| | SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016 | 2/29/2016 | 5/29/2016 |
| | In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| < 2016-18 | In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-17 | SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015 |
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
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.
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2016-39 | SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012 | 2/29/2016 | 5/29/2016 |
| 2016-38 | SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013 | 2/29/2016 | 5/29/2016 |
| 2016-37 | SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-36 | SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-35 | SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-34 | In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-33 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-32 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-31 | SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-30 | SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-29 | In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-28 | SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-27 | In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-26 | SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-25 | SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-24 | In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-23 | In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-22 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-21 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| | SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016 | 2/29/2016 | 5/29/2016 |
| | In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| < 2016-18 | In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-17 | SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015 |
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
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.
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2016-39 | SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012 | 2/29/2016 | 5/29/2016 |
| 2016-38 | SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013 | 2/29/2016 | 5/29/2016 |
| 2016-37 | SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-36 | SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-35 | SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-34 | In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-33 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-32 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-31 | SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-30 | SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-29 | In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-28 | SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-27 | In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-26 | SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-25 | SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-24 | In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-23 | In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-22 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-21 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| | SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016 | 2/29/2016 | 5/29/2016 |
| | In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| < 2016-18 | In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-17 | SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015 |
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
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.
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2016-39 | SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012 | 2/29/2016 | 5/29/2016 |
| 2016-38 | SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013 | 2/29/2016 | 5/29/2016 |
| 2016-37 | SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-36 | SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-35 | SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-34 | In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-33 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-32 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-31 | SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-30 | SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-29 | In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-28 | SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-27 | In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-26 | SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-25 | SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-24 | In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-23 | In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-22 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-21 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| | SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016 | 2/29/2016 | 5/29/2016 |
| | In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| < 2016-18 | In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-17 | SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015 |
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
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.
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2016-39 | SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012 | 2/29/2016 | 5/29/2016 |
| 2016-38 | SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013 | 2/29/2016 | 5/29/2016 |
| 2016-37 | SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-36 | SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-35 | SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-34 | In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-33 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-32 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-31 | SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-30 | SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-29 | In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-28 | SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-27 | In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-26 | SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-25 | SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-24 | In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-23 | In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-22 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-21 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| | SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016 | 2/29/2016 | 5/29/2016 |
| | In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| < 2016-18 | In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-17 | SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015 |
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
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.
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2016-39 | SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012 | 2/29/2016 | 5/29/2016 |
| 2016-38 | SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013 | 2/29/2016 | 5/29/2016 |
| 2016-37 | SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-36 | SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-35 | SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-34 | In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-33 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-32 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-31 | SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-30 | SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-29 | In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-28 | SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-27 | In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-26 | SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-25 | SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-24 | In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-23 | In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-22 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-21 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| | SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016 | 2/29/2016 | 5/29/2016 |
| | In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| < 2016-18 | In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-17 | SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015 |
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
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.
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2016-39 | SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012 | 2/29/2016 | 5/29/2016 |
| 2016-38 | SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013 | 2/29/2016 | 5/29/2016 |
| 2016-37 | SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-36 | SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-35 | SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-34 | In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-33 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-32 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-31 | SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-30 | SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-29 | In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-28 | SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-27 | In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-26 | SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-25 | SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-24 | In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-23 | In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-22 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-21 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| | SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016 | 2/29/2016 | 5/29/2016 |
| | In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| < 2016-18 | In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-17 | SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015 |
Learn more about whistleblower awards at our Whistleblower Protection Resources section.
The decision to blow the whistle, or not, is always complex. It must be made with as much information as possible. The Whistleblower Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself is the essential reference guide for whistleblowers. If you are considering blowing the whistle, this is the most comprehensive guide available.
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.
View the updated list below:
| NOTICE NO. | ACTION | NOTICE DATE | CLAIM DUE DATE |
|---|---|---|---|
| 2016-39 | SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual Case number: 12-cv-01120 (United States District Court for the District of Utah) Case filed: December 10, 2012 Qualifying Judgment/Order: December 17, 2012 | 2/29/2016 | 5/29/2016 |
| 2016-38 | SEC v. Stephen C. Bond Case number: 10-cv-01358 (United States District Court for the Northern District of California) Case filed: March 31, 2010 Qualifying Judgment/Order: August 12, 2013 | 2/29/2016 | 5/29/2016 |
| 2016-37 | SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation Case number: 15-cv-00416 (United States District Court for the District of Utah) Case filed: June 12, 2015 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-36 | SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin Case number: 11-cv-01356 (United States District Court for the Northern District of California) Case filed: March 22, 2011 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-35 | SEC v. Michael Donnelly Case number: 15-cv-05673 (United States District Court for the Eastern District of Pennsylvania) Case filed: October 19, 2015 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-34 | In the Matter of Ocwen Financial Corp. Administrative Proceeding File No.: 3-17060 Case filed: January 20, 2016 Qualifying Judgment/Order: January 20, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-33 | In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-17053 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-32 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17078 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-31 | SEC v. Enrica Cotellessa-Pitz Case number: 11-cv-09302 (United States District Court for the Southern District of New York) Case filed: December 19, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-30 | SEC v. Eric Lipkin Case number: 11-cv-03826 (United States District Court for the Southern District of New York) Case filed: June 6, 2011 Qualifying Judgment/Order: January 5, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-29 | In the Matter of SAP SE Administrative Proceeding File No.: 3-17080 Case filed: February 1, 2016 Qualifying Judgment/Order: February 1, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-28 | SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation Case number: 12-cv-02164 (United States District Court for the Southern District of California) Case filed: September 4, 2012 Qualifying Judgment/Order: January 21, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-27 | In the Matter of SciClone Pharmaceuticals, Inc Administrative Proceeding File No.: 3-17101 Case filed: February 4, 2016 Qualifying Judgment/Order: February 4, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-26 | SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis Case number: 13-cv-02575 (United States District Court for the Southern District of New York) Case filed: April 18, 2013 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-25 | SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen Case number: 11-cv-00895 (United States District Court for the District of Columbia) Case filed: May 13, 2011 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-24 | In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-17077 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-23 | In the Matter of Equinox Fund Management, LLC Administrative Proceeding File No.: 3-17057 Case filed: January 19, 2016 Qualifying Judgment/Order: January 19, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-22 | In the Matter of State Street Bank and Trust Company Administrative Proceeding File No.: 3-17055 Case filed: January 14, 2016 Qualifying Judgment/Order: January 14, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-21 | In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-17079 Case filed: January 31, 2016 Qualifying Judgment/Order: January 31, 2016 | 2/29/2016 | 5/29/2016 |
| | SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides Case number: 11-cv-03656 (United States District Court for the District of Minnesota) Case filed: December 21, 2011 Qualifying Judgment/Order: January 28, 2016 | 2/29/2016 | 5/29/2016 |
| | In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA Administrative Proceeding File No.: 3-16729 Case filed: January 12, 2016 Qualifying Judgment/Order: January 12, 2016 | 2/29/2016 | 5/29/2016 |
| < 2016-18 | In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Administrative Proceeding File No.: 3-17107 Case filed: February 9, 2016 Qualifying Judgment/Order: February 9, 2016 | 2/29/2016 | 5/29/2016 |
| 2016-17 | SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC Case number: 14-cv-03247 (United States District Court for the Southern District of New York) Case filed: May 5, 2014 Qualifying Judgment/Order: July 31, 2015 |
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