Whistleblower
Advocates
Award Winning Attorneys
SEC WHISTLEBLOWER PROGRAM
SEC Whistleblower Awards to Date
Established by the Dodd-Frank Act in 2010, the SEC’s bounty program grants eligible whistleblowers 10-30% of monetary sanctions levied by the SEC in an enforcement action where total sanctions exceed $1 million.
In our list of whistleblower bounties granted to date, we do more than just tell you an award amount. We want our clients & friends to know what factors contributed to the tipster’s success, and to provide key documents issued by the SEC for each award. For additional information, learn more about how the SEC whistleblower award process works.
| Amount Awarded | Date | Description | Factors | Key Docs |
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| 275K | 4/05/2016 | The whistleblower provided information that led to the successful SEC enforcement action. The award was subject to an offset for an unpaid Final Judgment against the whistleblower in a related, but different matter. |
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| 260K | 11/15/2019 | Whistleblowers were injured investors, who provided information and assistance that led to a successful enforcement action against recidivists. The Commission noted that they were interviewed early in the process and that the award is relatively low because the monetary sanctions collected were less than ordered. |
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| 225K | 5/20/2016 | Whistleblowers provided information and assistance relating to possible securities violations to the SEC. This information led to a corporate accounting investigation. Their monetary award was increased due to the assistance provided to the Staff, after the Commission's investigation was opened. |
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| 200K | 6/03/2021 | According to the SEC's Order, Claimant provided meaningful information and ongoing assistance that advanced the agency's investigation and assisted in establishing the underlying misconduct. Claimant's failure to submit a Form TCR within 30 days of first contacting the SEC was waived, as the Form was submitted within 30 days of Claimant learning of the requirement. |
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| 180K | 6/03/2021 | Claimant alerted the Commission to fraudulent conduct in a new geographic area the Commission was previously unaware of, leading to a successful enforcement action and related action brought by another agency. |
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| 150K | 10/30/2013 | Whistleblower provided valuable and timely information that allowed the SEC to stop an ongoing securities violations before additional investors were harmed. Due to collection problems, the award percentage was likely increased. |
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| 125K | 6/23/2020 | Whistleblower provided information that led to a successful enforcement action. The Staff noted that the whistleblower's tip caused the opening of an SEC and related investigation, quality assistance was provided to both agencies, and a vulnerable investor population was protected from fraudsters. The award was relatively low because the related collections were low. |
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| 125K | 8/30/2013 | Whistleblowers provided the SEC and DOJ with information about an ongoing sham hedge fund. Part of the whistleblowers' monetary awards were based upon monies collected in a related criminal action. |
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| 100K | 4/23/2021 | Award based on multiple factors, including that Claimant suffered personal and professional hardships to voluntarily report information which helped end an ongoing fraud. |
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| 100K | 1/07/2021 | Claimant provided independent analysis of information from various publicly available documents. His/her analysis was, as required, “revelatory in utilizing [the] publicly available information in a way that [went] beyond the information itself.” However, the SEC found that Claimant provided only “limited assistance” and reduced the award. |
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Balance of Investor Protection Fund From Which Awards Are Paid (as of FY2021)
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SEC Whistleblower Awards Paid (As of FY2021)
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Number of SEC whistleblower submissions in FY2021
