Liberty, Brittany Liberty Paul Hess Richard Liberty George Marcus, Esq. TaubeĪdministrative Proceeding File No.: 3-20836ĭate of Qualifying Judgment/Order: April 28, 2022 In the Matter of Medley Management Inc., Brook B. Sohrab ("Sam") Sharma, Robert Farkas, and Raymond TrapaniĬase Number: 18-cv-2909 (United States District Court for the Southern District of New York) LLCĪdministrative Proceeding File No.: 3-20855ĭate of Qualifying Judgment/Order: May 17, 2022Īdministrative Proceeding File No.: 3-20844ĭate of Qualifying Judgment/Order: May 6, 2022 In the Matter of Allianz Global Investors U.S. Rose, and Derek UldricksĪdministrative Proceeding File No.: 3-20869ĭate of Qualifying Judgment/Order: May 23, 2022 In the Matter of Virtua Capital Management, LLC, Quynh Palomino, Jack D. In the Matter of RiverSource Distributors, Inc.Īdministrative Proceeding File No.: 3-20871ĭate of Qualifying Judgment/Order: May 25, 2022 Butler, Prosperity Economics Partners, LLC, and Partners for Prosperity, LLCĪdministrative Proceeding File No.: 3-20454 In the Matter of First Republic Investment Management, Inc.Īdministrative Proceeding File No.: 3-20865ĭate of Qualifying Judgment/Order: May 19, 2022Ĭase Number: 22-cv-10791 (United States District Court for the Eastern District of Michigan)ĭate of Qualifying Judgment/Order: April 19, 2022 In the Matter of BNY Mellon Investment Adviser, Inc.Īdministrative Proceeding File No.: 3-20867ĭate of Qualifying Order/Judgment: May 23, 2022
Doyle, and Digi Outdoor Media, Inc.Ĭase Number: 17-cv-01809 (United States District Court for the Western District of Washington)ĭate of Qualifying Judgment/Order: May 18, 2022 SEC Office of the Whistleblower (c/o ENF-CPU) Until further notice, any Whistleblower Award Applications submitted by mail should be sent to the following address due to the mandatory telework posture at the SEC’s Washington, DC headquarters:
We strongly encourage any WB-APPs to be submitted via fax at (703) 813-9322. 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.
Subject to the Final Rules, individuals who voluntarily provided the SEC with original information after Jthat led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award. 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. The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. 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. Whistleblower Award Applications can also be submitted by fax to (703) 813-9322. Until further notice, any Whistleblower Award Applications submitted by mail should be sent to the following address due to the mandatory telework posture at the SEC’s Washington, DC headquarters: SEC Office of the Whistleblower (c/o ENF-CPU) 14420 Albemarle Point Place, Suite 102, Chantilly, VA 20151-1750.
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