Sec Protects Access to Whistleblower Rewards

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.

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NOTICE NO. ACTION NOTICE DATE CLAIM DUE DATE

2016-172
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

2016-171
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

2016-170
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

2016-169
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

2016-168
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

2016-167
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

2016-166
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

2016-165
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

2016-164
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