- SEC v.
Citigroup Inc., Civil Action No. 1:10-CV-01277 Notice of Covered
- In the
Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Administrative Proceeding File
No. 3-14204 Notice of Covered Action
- 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, Michael J. Schultz, Administrative Proceeding File No.
3-13994 Notice of Covered Action
- In the
Matter of Wells Fargo Securities LLC (f/k/a Wachovia Capital
Markets LLC), Adinistrative Proceeding File No.
of Covered Action
- In the
Matter of Morgan Stanley Investment Management
Inc., Administrative Proceeding File No. 3-14628 Notice of Covered
The SEC's Order
acknowledges that all five applications were timely filed; however, each was
responded to by the Claims Review Staff with a Preliminary
Determination recommending denial. In explaining the basis for the denials, the Order
asserts that as to four of the five Covered Actions,
Claimant's tips were submitted "after those matters were settled." In
light of that finding, Claimant's tips could not have led to a successful
enforcement action (which is a predicate for entitlement for an award) because
by the time the information was received, the enforcement action had already
been successfully concluded via settlement.
As to the Morgan
Stanley Investment Management, Inc. Covered Action, the SEC's
Order asserted that following the submission of Claimant's
tip, Staff determined to take "no further action" and did not forward
the tip to any Staff assigned to the
Finally, the Order offers this
under Footnote 2: