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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
$82M 3/19/2018 The Commission announced the highest ever whistleblower award to three whistleblowers who provided significant information that led to a successful enforcement action. Significantly, the Commission...
  • Significance of the Information Provided
  • Assistance Provided
  • Unreasonable Reporting Delay
$54M 9/06/2018 Two whistleblowers provided specific and timely information to the Commission that led to a successful enforcement action. Whistleblower one was first to report, but the other whistleblower...
  • Significance of the Information Provided
  • Assistance Provided
  • Unreasonable Reporting Delay
$50M 3/26/2019 Two whistleblowers provided high-quality information that assisted the SEC in bringing a successful enforcement action, efficiently. The Staff described them as providing "smoking gun" evidence and...
  • Significance of the Information Provided
  • Assistance Provided
  • Unreasonable Reporting Delay
  • Interference with Internal Compliance and Reporting Systems
$35M 9/22/2014 A foreign whistleblower provided the SEC with key information about an ongoing fraud that would have been very difficult to detect without his/her assistance. The monetary award was reduced...
  • Significance of the Information Provided
  • Assistance Provided
  • Unreasonable Reporting Delay
$27M 4/16/2020 Whistleblower provided valuable information and assistance that led to a successful enforcement action. The Staff noted that the conduct was partly overseas and difficult to detect, substantial and...
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
  • Participation in Internal Compliance Systems
  • Unreasonable Reporting Delay
$22M 8/30/2016 The whistleblower, a company employee, provided the SEC with detailed information and assistance that led to the successful enforcement action. Without the whistleblower's courage, information and...
  • Significance of the Information Provided
  • Assistance Provided
$20M 11/14/2016 The whistleblower promptly came forward and provided valuable information that led to the successful SEC enforcement action. Notably, the whistleblower enabled the the Staff to stop the wrongdoers...
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
$18M 4/28/2020 Whistleblower provided valuable information and assistance that led to a successful enforcement action. The Staff noted that the tip initiated an OCIE exam, millions of dollars were returned to...
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
  • Participation in Internal Compliance Systems
$17M 6/09/2016 The whistleblower, a former company employee, provided the SEC with detailed information and assistance that led to the successful enforcement action. The whistleblower enabled the Staff to...
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
  • Participation in Internal Compliance Systems
$14M 9/30/2013 Whistleblower provided information and assistance about ongoing securities violations that allowed the SEC to bring an enforcement action against the perpetrators within 6 months and recover...
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
$ 0 m

Balance of Investor Protection Fund From Which Awards Are Paid (as of FY2019)

$ 0 m

SEC Whistleblower Awards Paid to Date

0

Number of SEC whistleblower submissions in FY2019

More in SEC Whistleblower Awards
Facts & Figures

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