LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS
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
1M 10/12/2017 The whistleblower provided new information and substantial corroboration of possible securities violations. The Commission noted that the wrongdoing related to a regulated entity and impacted retail investors, a Commission priority. The Commission noted that the whistleblower did not submit the information in the form required by Rule 21F-9(d), but waived the requirement due to special circumstances.
  • Significance of the Information Provided
900K 2/25/2021 Claimant’s information and assistance enabled the SEC to shut down an ongoing fraud. Claimant’s noncompliance with the requirement of timely submitting information via a Form TCR was waived pursuant to a newly adopted rule.
  • Significance of the Information Provided
  • Assistance Provided
900K 11/19/2020 The SEC found, inter alia, that Claimant’s information prompted its investigation and served important law enforcement interests regarding difficult-to-detect violations in foreign jurisdictions.
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
900K 12/09/2016 The whistleblower provided high-quality information that led to several successful SEC enforcement action against wrongdoers.
  • Significance of the Information Provided
  • Assistance Provided
800K 2/25/2021 Claimant met with SEC staff and provided documentary evidence of false and misleading statements to investors, enabling the agency to recover millions of dollars for harmed investors. A new rule was invoked to waive Claimant’s noncompliance with a “form and manner” submission requirement.
  • Significance of the Information Provided
800K 10/15/2020 The Commission awarded a whistleblower more than $800,000 for providing key information that led to two successful enforcement actions.  
  • Significance of the Information Provided
750K 11/05/2020 A whistleblower was awarded $750,000 for alerting the SEC to an ongoing fraud and articulating "the likely mechanics of the fraudulent scheme."
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
750K 12/07/2020 By this Order, the SEC awarded two Claimant/whistleblowers in the approximate amounts of $500,000 and $250,000, respectively. The Claimant who received the larger award “was the main source of information,” and was not disqualified under the present facts and circumstances for not following procedural requirements of the whistleblower program.
  • Significance of the Information Provided
  • Assistance Provided
  • Participation in Internal Compliance Systems
700K 2/19/2021 The SEC found, inter alia, that Claimant’s documents, information and other assistance about a fraudulent reporting scheme conserved agency resources.
  • Significance of the Information Provided
  • Assistance Provided
  • Participation in Internal Compliance Systems
700K 1/15/2016 A whistleblower, who was an industry analyst, provided the SEC with a high-quality analysis about possible securities violations.
  • Significance of the Information Provided
$ 0 m

Balance of Investor Protection Fund From Which Awards Are Paid (as of FY2021)

$ 0 b+

SEC Whistleblower Awards Paid (As of FY2021)

0 +

Number of SEC whistleblower submissions in FY2021

More in SEC Whistleblower Awards
Facts & Figures

Awards Denied
Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal, NPR and The New Yorker
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