In the Matter of YieldStreet Inc., and YieldStreet Management, LLCĪdministrative Proceeding File No.: 3-21651ĭate of Qualifying Judgment/Order: September 12, 2023 In the Matter of GlennCap LLC and Jonathan Vincent GlennĪdministrative Proceeding File No.: 3-21667ĭate of Qualifying Judgment/Order: September 14, 2023 Hild, Eric Rohr, and Darren StumbergerĬase Number: 19-cv-08086 (United States District Court for the Southern District of New York)ĭate of Qualifying Judgment/Order: September 19, 2023Ĭase Number: 22-cv-04674 (United States District Court for the Southern District of New York)ĭate of Qualifying Judgment/Order: September 8, 2023 Seong Yeol Lee and Ameritrust CorporationĬase Number: 23-cv-00125 (United States District Court for the District of Connecticutĭate of Qualifying Judgment/Order: September 5, 2023Īdministrative Proceeding File No.: 3-21703ĭate of Qualifying Judgment/Order: September 22, 2023 Miller, Dynasty Toys, Inc., The 7M EGroup Corp., Concept Management Company LLC, and Dynasty, IncĬase Number: 23-cv-00765 (United States District Court for the Central District of California)ĭate of Qualifying Judgment/Order: September 20, 2023 SEC Office of the Whistleblower (c/o ENF-CPU) Whistleblower Award Applications submitted by mail or fax should be sent to: Generally, submissions are acknowledged within 60 days. We strongly encourage Form WB-APPs to be submitted by email to Duplicate submissions of a Form WB-APP by multiple methods (e.g., fax, email, and mail) are discouraged as they may cause delays. 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 Whistleblower Amended 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.
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