SEC.gov | Whistleblower Program: Notices of Covered Action

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We post Notices of Covered Action for each SEC 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.

The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the SEC opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case.

Subject to the Whistleblower Amended Rules, individuals who voluntarily provided the SEC 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 by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action.

NOTE: On July 2, 2024, the Commission posted a new Form WB-APP for individuals seeking to apply for an award for a Covered Action. You may continue to use the prior version of the form for the 30-day period following the posting of the new form. Starting on August 1, 2024, please use the new Form WB-APP to apply for an award.

We strongly encourage Form WB-APPs to be submitted by email to FormWB-APPSubmission@SEC.GOV. Duplicate submissions of a Form WB-APP by multiple methods (e.g., fax, email, and mail) are discouraged as they may cause delays. Generally, submissions are acknowledged within 60 days.

Whistleblower Award Applications submitted by mail or fax should be sent to:

SEC Office of the Whistleblower (c/o ENF-CPU)

14420 Albemarle Point Place Suite 102 Chantilly, VA 20151-1750

Fax: 703-813-9322

Whistleblower Office Hotline

202-551-4790


Notice No.	Action	Notice Date	Claim Due Date
2011-167	SEC v. Stuart H. Wolff and Peter B. Tafeen Case number: 05-cv-03132 (United States District Court for the Central District of California) Case filed: April 28, 2005	08/12/2011	11/10/2011
2011-166	SEC v. Winning Kids, Inc., Christian Hainsworth, Robert Comiskey, Edward Tamimi, and Victor Selenow Case number: 10-cv-80186 (United States District Court for the Southern District of Florida) Case filed: January 29, 2010	08/12/2011	11/10/2011
2011-165	SEC v. David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC Case number: 09-cv-02709 (United States District Court for the Central District of California) Case filed: April 20, 2009	08/12/2011	11/10/2011
2011-164	SEC v. Blake G. Williams, Tbeck Capital. Inc., Warren Street Investments, Inc., Victoria Financial Consultants LLC, BGW Enterprises, Inc., Emerging Resources, Inc., Valek Investments, Inc., Derek Lopez, and DA Big Kahuna LLC Case number: 10-cv-01068 (United States District Court for the Northern District of Texas) Case filed: May 27, 2010	08/12/2011	11/10/2011
2011-163	SEC v. Darrel West and Own My Travel LLC Case number: 09-cv-01419 (United States District Court for the Middle District of Florida) Case filed: August 14, 2009	08/12/2011	11/10/2011
2011-162	In the Matter of Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) Administrative Proceeding File No.: 3-14320 Case filed: April 5, 2011	08/12/2011	11/10/2011
2011-161	SEC v. Martin T. Wegener, Wealth Resources LLC, and Wealth Resources, Inc. Case number: 10-cv-00566 (United States District Court for the Western District of Michigan) Case filed: June 14, 2010	08/12/2011	11/10/2011
2011-160	SEC v. Watermark Financial Services Group, Inc., Watermark M-One Holdings, Inc., M-One Financial Services LLC, Watermark Capital Group LLC, Guy W. Gane, Jr., and Lorenzo Altadonna Case number: 08-cv-00361 (United States District Court for the Western District of New York) Case filed: May 15, 2008	08/12/2011	11/10/2011
2011-16	In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, and Barr Rosenberg Research Center, LLC Administrative Proceeding File No.: 3-14224 Case filed: February 3, 2011	08/12/2011	11/10/2011
2011-159	SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan Case number: 10-cv-09239 (United States District Court for the Southern District of New York) Case filed: December 10, 2010	08/12/2011	11/10/2011
2011-158	SEC v. Video Without Boundaries, Inc. (d/b/a China Logistics Group Inc), Vernon Jeffrey Harrell, and David J. Aubel Case number: 08-cv-61517 (United States District Court for the Southern District of Florida) Case filed: September 24, 2008	08/12/2011	11/10/2011
2011-157	SEC v. Jose O. Vianna, Jr., and Creswell Equities, Inc. Case number: 10-cv-01842 (United States District Court for the Southern District of New York) Case filed: March 9, 2010	08/12/2011	11/10/2011
2011-156	SEC v. VesCor Capital Corp., VesCor Capital, Inc., VesCorp Capital LLC, VesCorp Capital IV-A LLC, VesCorp Capital IV-M LLC, and Val E. Southwick Case number: 08-cv-00012 (United States District Court for the District of Utah) Case filed: February 6, 2008	08/12/2011	11/10/2011
2011-155	SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Maceiras, Leonardo Maceiras Jr., and Nildo Verdeja Case number: 07-cv-22570 (United States District Court for the Southern District of Florida) Case filed: September 28, 2007	08/12/2011	11/10/2011
2011-154	SEC v. Universal Corporation Case number: 10-cv-01318 (United States District Court for the District of Columbia) Case filed: August 6, 2010.	08/12/2011	11/10/2011
2011-153	SEC v. UBS Financial Services Inc. Case number: 11-cv-02539 (United States District Court for the District of New Jersey) Case filed: May 4, 2011	08/12/2011	11/10/2011
2011-152	SEC v. UBS AG Case number: 09-cv-00316 (United States District Court for the District of Columbia) Case filed: February 18, 2009	08/12/2011	11/10/2011
2011-151	SEC v. Tyson Foods, Inc. Case number: 11-cv-00350 (United States District Court for the District of Columbia) Case filed: February 10, 2011	08/12/2011	11/10/2011
2011-150	SEC v. David P. Turner and Ousama N. Naaman Case number: 10-cv-01309 (United States District Court for the District of Columbia) Case filed: August 5, 2010	08/12/2011	11/10/2011
2011-15	SEC v. Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia Case number: 09-cv-21592 (United States District Court for the Southern District of Florida) Case filed: June 11, 2009	08/12/2011	11/10/2011
2011-149	SEC v. Lambert Vander Tuig, The Carolina Development Company, Inc., and Jonathan Carman Case number: 06-cv-00172 (United States District Court for the Central District of California) Case filed: February 16, 2006	08/12/2011	11/10/2011
2011-148	SEC v. Tuco Trading LLC and Douglas G. Frederick Case number: 08-cv-00400 (United States District Court for the Southern District of California) Case filed: March 4, 2008	08/12/2011	11/10/2011
2011-147	SEC v. Transocean Inc. Case number: 10-cv-01891 (United States District Court for the District of Columbia) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-146	SEC v. Tidewater Inc. Case number: 10-cv-04180 (United States District Court for the Eastern District of Louisiana) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-145	SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff Case number: 11-cv-00889 (United States District Court for the District of Columbia) Case filed: May 12, 2011	08/12/2011	11/10/2011
2011-144	SEC v. TG Capital LLC, Thanh Viet “Jeremy” Cao, and Lodavina Grosnickle Case number: 07-cv-00579 (United States District Court for the Central District of California) Case filed: May 22, 2007	08/12/2011	11/10/2011
2011-143	SEC v. Tecumseh Holdings Corporation, Tecumseh Tradevest LLC, S.B. Cantor & Co., Inc., John L. Milling, Gerard A. McCallion, Anthony M. Palovchik, and Dale Carone Case number: 03-cv-5490 (United States District Court for the Southern District of New York) Case filed: July 24, 2003	08/12/2011	11/10/2011
2011-142	In the Matter of TD Ameritrade, Inc. Administrative Proceeding File No.: 3-14225 Case filed: February 3, 2011	08/12/2011	11/10/2011
2011-141	SEC v. Sun Empire LLC, ECAM LLC a/k/a Empire Capital Asset Management, Delilah A. Proctor, and Shauntel A. Mccoy Case number: 09-cv-00399 (United States District Court for the Central District of California) Case filed: April 2, 2009	08/12/2011	11/10/2011
2011-140	SEC v. Robert J. Sucarato d/b/a/ New York Financial Company Case number: 09-cv-04953 (United States District Court for the District of New Jersey) Case filed: September 25, 2009	08/12/2011	11/10/2011
2011-14	In the Matter of Aristeia Capital, LLC Administrative Proceeding File No.: 3-14360 Case filed: May 2, 2011	08/12/2011	11/10/2011
2011-139	SEC v. James D. Sterling Case number: 10-cv-08206 (United States District Court for the Southern District of New York) Case filed: October 29, 2010	08/12/2011	11/10/2011
2011-138	SEC v. Star Exploration, Inc. and James T. Gurgainers Case number: 08-cv-02248 (United States District Court for the Northern District of Texas) Case filed: December 22, 2008	08/12/2011	11/10/2011
2011-137	SEC v. Daniel Spitzer, Draseena Funds Group, Corp., Kenzie Financial Management, Inc. Kenzie Services LLC, Aneesard Management LLC, Nerium Management Co., DN Management Co. LLC, Arrow Fund, LLC, Arrow Fund II, LLC, Conservium Fund, LLC, Nerium Currency Fund, LP, Senior Strength Q Fund, LLC, Ssecurity Fund, LLC, Three Oaks Advanced Fund, LLC, Three Oaks Currency Fund, LP, Three Oaks Fund, LP, Three Oaks Fund 25, LLC, Three Oaks Senior Strength Fund, LLC, and USFirst Fund, LLC Case number: 10-cv-03758 (United States District Court for the Northern District of Illinois) Case filed: June 17, 2010	08/12/2011	11/10/2011
2011-136	SEC v. Brian J. Smart, and Smart Assets, LLC Case number: 09-cv-00224 (United States District Court for the District of Utah) Case filed: March 11, 2009	08/12/2011	11/10/2011
2011-135	SEC v. Sierra Brokerage Services, Inc., Richard Geiger, Jeffrey A. Richardson, Aaron Tsai, Michael E. Markow, Global Guarantee Corporation, Francois Goelo, Yongzhi Yang, K&J Consulting, Limited, Ke Luo, M&M Management, Limited, and Jerome B. Armstrong Case number: 03-cv-00326 (United States District Court for the Southern District of Ohio) Case filed: April 14, 2003	08/12/2011	11/10/2011
2011-134	SEC v. Shidaal Express, Inc. and Mohamud Abdi Ahmed Case number: 09-cv-02610 (United States District Court for the Southern District of California) Case filed: November 19, 2009	08/12/2011	11/10/2011
2011-133	SEC v. Rodney S. Shehyn, Rodney D. Marr, Donald L. Marr, and Karen S. Leigh Case number: 04-cv-02003 (United States District Court for the Southern District of New York) Case filed: March 15, 2004	08/12/2011	11/10/2011
2011-132	SEC v. Satyam Computer Services Limited d.b.a. Mahindra Satyam Case number: 11-cv-00672 (United States District Court for the District of Columbia) Case filed: April 5, 2011	08/12/2011	11/10/2011
2011-131	SEC v. Mark E. Salyer Case number: 08-cv-00179 (United States District Court for the Eastern District of Tennessee) Case filed: June 23, 2008	08/12/2011	11/10/2011
2011-130	In the Matter of Royal Dutch Shell plc and Shell International Exploration and Production Inc. Administrative Proceeding File No.: 3-14107 Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-13	SEC v. Sonja Anticevic Case number: 05-cv-06991 (United States District Court for the Southern District of New York) Case filed: August 5, 2005	08/12/2011	11/10/2011
2011-129	SEC v. Rockwell Energy of Texas LLC, Rockwell Energy Management LLC, Gregory S. Shindler, Bradley M. James, W. Todd Smith, Stuart E. Rawitt, and Brian W. Walsh Case number: 09-cv-04080 (United States District Court for the Southern District of Texas) Case filed: December 23, 2009	08/12/2011	11/10/2011
2011-128	In the Matter of Rockwell Automation, Inc. Administrative Proceeding File No.: 3-14364 Case filed: May 3, 2011	08/12/2011	11/10/2011
2011-127	SEC v. Rockford Funding Group, LLC Case number: 09-cv-10047 (United States District Court for the Southern District of New York) Case filed: December 8, 2009	08/12/2011	11/10/2011
2011-126	SEC v. Archie Paul Reynolds and Success Trust Case number: 06-cv-01801 (United States District Court for the Northern District of Georgia) Case filed: August 2, 2006	08/12/2011	11/10/2011
2011-125	SEC v. Regions Bank Case number: 09-cv-22821 (United States District Court for the Southern District of Florida) Case filed: September 21, 2009	08/12/2011	11/10/2011
2011-124	SEC v. Steven L. Rattner Case number: 10-cv-08699 (United States District Court for the Southern District of New York) Case filed: November 18, 2010	08/12/2011	11/10/2011
2011-123	SEC v. RAE Systems Inc. Case number: 10-cv-02093 (United States District Court for the District of Columbia) Case filed: December 10, 2010	08/12/2011	11/10/2011
2011-122	SEC v. Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah Case number: 09-cv-01560 (United States District Court for the District of Arizona) Case filed: July 28, 2009	08/12/2011	11/10/2011
2011-121	SEC v. Joseph D. Radcliffe and Michael J. Radcliffe Case number: 11-cv-00091 (United States District Court for the District of Columbia) Case filed: January 14, 2011	08/12/2011	11/10/2011
2011-120	SEC v. Pride International, Inc. Case number: 10-cv-04335 (United States District Court for the Southern District of Texas) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-12	SEC v. Daryl O. Anderson Case number: 09-cv-01799 (United States District Court for the District of Nevada) Case filed: September 10, 2009	08/12/2011	11/10/2011
2011-119	In the Matter of Gordon Brent Pierce, Newport Capital Corp., and Jenirob Company Ltd. Administrative Proceeding File No.: 3-13927 Case filed: June 8, 2010	08/12/2011	11/10/2011
2011-118	SEC v. Panalpina, Inc. Case number: 10-cv-04334 (United States District Court for the Southern District of Texas) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-117	SEC v. One or More Unknown Traders in the Common Stock of Certain Issuers Case number: 07-cv-00431 (United States District Court for the District of Columbia) Case filed: March 6, 2007	08/12/2011	11/10/2011
2011-116	SEC v. Onele Trading & Finance Ltd Case number: 10-cv-09159 (United States District Court for the Southern District of New York) Case filed: December 8, 2010	08/12/2011	11/10/2011
2011-115	SEC v. One Equity Corporation, Triangle Equities Group, Inc., Victory Management Group, Inc., Dafcan Finance, Inc., Michael S. Spillan and Melissa K. Spillan Case number: 08-cv-00667 (United States District Court for the Southern District of Ohio) Case filed: July 10, 2008	08/12/2011	11/10/2011
2011-114	SEC v. Robert Olins, Spatialight, Inc., and Argyle Capital Management Corp. Case number: 07-cv-06423 (United States District Court for the Northern District of California) Case filed: December 20, 2007	08/12/2011	11/10/2011
2011-113	SEC v. Novus Technologies, LLC, a Utah limited liability company, Ralph W. Thompson, Jr., Duane C. Johnson, RCH2, LLC, a Utah limited liability company, Robert Casey Hall, and Eric J. Wheeler Case number: 07-cv-00235 (United States District Court for the District of Utah) Case filed: April 11, 2007	08/12/2011	11/10/2011
2011-112	SEC v. Noble Corporation Case number: 10-cv-04336 (United States District Court for the Southern District of Texas) Case filed: November 4, 2010	08/12/2011	11/10/2011
2011-111	SEC v. NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur Case number: 11-cv-02016 (United States District Court for the District of Kansas) Case filed: January 12, 2011	08/12/2011	11/10/2011
2011-110	In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. McIntosh, James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz Administrative Proceeding File No.: 3-13994 Case filed: August 5, 2010	08/12/2011	11/10/2011
2011-11	In the Matter of American Pegasus LDG LLC, American Pegasus Investment Management Inc., Benjamin P. Chui, Charles E. Hall, Jr. and Triffany Mok Administrative Proceeding File No.: 3-14169 Case filed: December 21, 2010	08/12/2011	11/10/2011
2011-109	SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Koslowski, and Frank T. Noyes Case number: 05-cv-00480 (United States District Court for the District of Colorado) Case filed: March 15, 2005	08/12/2011	11/10/2011
2011-108	SEC v. Angelo Mozilo, David Sambol, and Eric Sieracki Case number: 09-cv-03994 (United States District Court for the Central District of California) Case filed: June 4, 2009	08/12/2011	11/10/2011
2011-107	SEC v. William G. Mortensen and Feng Zheng Case number: 10-cv-01142 (United States District Court for the Northern District of Texas) Case filed: June 9, 2010	08/12/2011	11/10/2011
2011-106	SEC v. Brad A. Morrice, Patti M. Dodge, David N. Kenneally Case number: 09-cv-01426 (United States District Court for the Central District of California) Case filed: December 7, 2009	08/12/2011	11/10/2011
2011-105	In the Matter of Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA Administrative Proceeding File No.: 3-13847 Case filed: June 22, 2011	08/12/2011	11/10/2011
2011-104	SEC v. Millennium Bank, United Trust of Switzerland S.A., UT of S, LLC, Millennium Financial Group, William J. Wise d/b/a Sterling Administration, d/b/a Sterling Investment Services, d/b/a Millennium Aviation, Kristi M. Hoegel, a/k/a Kristi M. Christopher, a/k/a Bessy Lu, Jacqueline S. Hoegel, a/k/a Jacquline S. Hoegel, a/k/a Jackie S. Hoegel, Philippe Angeloni, and Brijesh Chopra Case number: 09-cv-00050 (United States District Court for the Northern District of Texas) Case filed: March 26, 2009	08/12/2011	11/10/2011
2011-103	SEC v. Mike Watson Capital LLC, Michael P. Watson, and Joshua F. Escobeda Case number: 11-cv-00275 (United States District Court for the District of Utah) Case filed: March 23, 2011	08/12/2011	11/10/2011
2011-102	SEC v. Merrill Scott & Associates Ltd., Merrill Scott & Associates, Inc., Phoenix Overseas Advisors Ltd., Gilbralter Permanente Assurance, Ltd., Patrick M. Brody, David E. Ross II, and Michael Licopantis Case number: 02-cv-00039 (United States District Court for the District of Utah) Case filed: January 15, 2002	08/12/2011	11/10/2011
2011-101	In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated Administrative Proceeding File No.: 3-14204 Case filed: January 25, 2011	08/12/2011	11/10/2011
2011-100	SEC v. Paul P. Merklinger and Encore Associated Leasing, LLC Case number: 08-cv-13184 (United States District Court for the Eastern District of Michigan) Case filed: July 24, 2008	08/12/2011	11/10/2011
2011-10	SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer Case number: 09-cv-61716 (United States District Court for the Southern District of Florida) Case filed: October 28, 2009	08/12/2011	11/10/2011
2011-1	SEC v. Giuseppe Tullio Abatemarco Case number: 10-cv-09527 (United States District Court for the Southern District of New York) Case filed: April 20, 2011	08/12/2011	11/10/2011
Award Claim 2024-121 New	In the Matter of Icahn Enterprises L.P. Administrative Proceeding File No.: 3-22011 Date Filed: August 19, 2024 Date of Qualifying Judgment/Order: August 19, 2024	09/30/2024	12/29/2024

Last Reviewed or Updated: July 23, 2024

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