SEC Whistleblower Awards List – February 2017
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 “Continue Reading” to view the list.
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| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| | In the Matter of Sociedad Quimica y Minera de Chile, S.A. Administrative Proceeding File No.: 3-17774 Case filed: January 13, 2017 Qualifying Judgment/Order: January 13, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of MDC Partners Inc. Administrative Proceeding File No.: 3-17795 Case filed: January 18, 2017 Qualifying Judgment/Order: January 18, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. Timothy S. Durham, James F. Cochran, and Rick D. Snow Case number: 11-cv-00370 (United States District Court for the Southern District of Indiana) Case filed: March 16, 2011 Qualifying Judgment/Order: January 18, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. Andrew W.W. Caspersen and Irving Place III SPV, LLC Case number: 16-cv-02249 (United States District Court for the Southern District of New York) Case filed: March 28, 2016 Qualifying Judgment/Order: January 30, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. Charles A. Bennett Case number: 14-cv-09828 (United States District Court for the Southern District of New York) Case filed: December 15, 2014 Qualifying Judgment/Order: January 10, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Morgan Stanley Smith Barney, LLC Administrative Proceeding File No.: 3-17773 Case filed: January 13, 2017 Qualifying Judgment/Order: January 13, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of L3 Technologies, Inc. Administrative Proceeding File No.: 3-17769 Case filed: January 11, 2017 Qualifying Judgment/Order: January 11, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Allergan, Inc. Administrative Proceeding File No.: 3-17790 Case filed: January 17, 2017 Qualifying Judgment/Order: January 17, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of ITG Inc. Administrative Proceeding File No.: 3-17770 Case filed: January 12, 2017 Qualifying Judgment/Order: January 12, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Citigroup Global Markets, Inc. Administrative Proceeding File No.: 3-17817 Case filed: January 26, 2017 Qualifying Judgment/Order: January 26, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Harding Advisory LLC and Wing F. Chau Administrative Proceeding File No.: 3-15574 Case filed: October 18, 2013 Qualifying Judgment/Order: January 6, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Orthofix International N.V. Administrative Proceeding File No.: 3-17800 Case filed: January 18, 2017 Qualifying Judgment/Order: January 18, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. Gregg R. Mulholland Case number: 15-cv-03668 (United States District Court for the Eastern District of New York) Case filed: June 23, 2015 Qualifying Judgment/Order: January 11, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Biomet, Inc. Administrative Proceeding File No.: 3-17771 Case filed: January 12, 2017 Qualifying Judgment/Order: January 12, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Citadel Securities LLC Administrative Proceeding File No.: 3-17772 Case filed: January 13, 2017 Qualifying Judgment/Order: January 13, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. Oxford City Football Club, Inc., and Thomas Anthony Guerriero Case number: 15-cv-62594 (United States District Court for the Southern District of Florida) Case filed: December 10, 2015 Qualifying Judgment/Order: January 26, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Orthofix International N.V. Administrative Proceeding File No.: 3-17791 Case filed: January 18, 2017 Qualifying Judgment/Order: January 18, 2017In the Matter of Jeffrey Hammel, CPA Administrative Proceeding File No.: 3-17792 Case filed: January 18, 2017 Qualifying Judgment/Order: January 18, 2017In the Matter of Brian McCollum Administrative Proceeding File No.: 3-17793 Case filed: January 18, 2017 Qualifying Judgment/Order: January 18, 2017In the Matter of Kenneth Mack and Bryan McMillan Administrative Proceeding File No.: 3-17794 Case filed: January 18, 2017 Qualifying Judgment/Order:January 18, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Cadbury Limited and Mondelēz International, Inc Administrative Proceeding File No.: 3-17759 Case filed: January 6, 2017 Qualifying Judgment/Order: January 6, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. AJN Investments, LLC and Jason Adam Ogden Case number: 16-cv-63036 (United States District Court for the Southern District of Florida) Case filed: December 28, 2016 Qualifying Judgment/Order: January 19, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of Citigroup Global Markets, Inc. Administrative Proceeding File No.: 3-17808 Case filed: January 24, 2017 Qualifying Judgment/Order: January 24, 2017In the Matter of Morgan Stanley Smith Barney, LLC Administrative Proceeding File No.: 3-17809 Case filed: January 24, 2017 Qualifying Judgment/Order: January 24, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. Robert DeWayne Milligan Case number: 15-cv-07308 (United States District Court for the Central District of California) Case filed: September 17, 2015 Qualifying Judgment/Order: January 17, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. James M. Louks and FiberPoP Solutions, Inc. Case number: 15-cv-03456 (United States District Court for the District of Minnesota) Case filed: September 1, 2015 Qualifying Judgment/Order: January 13, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. Vu H. Le a/k/a Vinh H. Le, and TeamVinh.com LLC Case number: 15-cv-04366 (United States District Court for the District of Minnesota) Case filed: December 15, 2015 Qualifying Judgment/Order: February 1, 2017 | 02/28/2017 | 05/29/2017 |
| | In the Matter of the Bank of New York Mellon Corporation Administrative Proceeding File No.: 3-17768 Case filed: January 12, 2017 Qualifying Judgment/Order: January 12, 2017 | 02/28/2017 | 05/29/2017 |
| | SEC v. Christopher R. Esposito, Anthony Jay Pignatello, James Gondolfe, Renee Galizio, Lionshare Ventures LLC, and Cannabiz Mobile, Inc. Case number: 16-cv-10960 (United States District Court for the District of Massachusetts) Case filed: May 26, 2016 Qualifying Judgment/Order: January 27, 2017 | 02/28/2017 | 05/29/2017 |
