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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
$8M 11/30/2017 Two whistleblowers were granted awards. The first alerted the Staff to the particular misconduct that would become the focus of the Staff's investigation. The second provided additional significant...
  • Significance of the Information Provided
  • Assistance Provided
  • Participation in Internal Compliance Systems
$7M 2/28/2020 Whistleblower provided valuable information and assistance that led to a successful investigation. The Staff noted that the whistleblower showed great tenacity and effort in attempting to expose...
  • Significance of the Information Provided
  • Assistance Provided
$6M 5/17/2016 The whistleblower, a company insider, provided detailed information to the SEC that led to a successful enforcement. But for this tip, it would have been nearly impossible for the Commission to...
  • Significance of the Information Provided
$5.5M 1/06/2016 The whistleblower, a current employee, provided information about ongoing securities violations by his/her company. The whistleblower helped to prevent further harm to a vulnerable investor...
  • Significance of the Information Provided
  • Law Enforcement Interest
$5M 4/20/2020 Whistleblower provided valuable information and assistance that led to a successful enforcement action. The Staff noted that the tip prompted an OCIE examination and an enforcement action, provided...
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
$4.5M 5/24/2019 Whistleblower provided information to his/her company, which triggered an investigation and subsequent reporting to the SEC and a related successful enforcement action. This is the first time a...
  • Significance of the Information Provided
  • Participation in Internal Compliance Systems
$4.1M 12/05/2017 Whistileblower, a former company insider, reported a wide-spread, multi-year securities violation and provided assistance throughout the SEC's investigation. The Staff noted that whistleblower was...
  • Significance of the Information Provided
  • Assistance Provided
  • Participation in Internal Compliance Systems
$4M 4/25/2017 Whistleblower provided the SEC with detailed and specific information about serious misconduct and provided additional assistance during the ensuing investigation. In particular, the whistleblower...
  • Significance of the Information Provided
  • Assistance Provided
$4M 9/24/2018 The whistleblower, a foreign national, provided information that caused an investigation to be open and assistance that led to a successful enforcement action.
  • Significance of the Information Provided
  • Assistance Provided
$4M 9/20/2016 The whistleblower provided information that led to the successful SEC enforcement action. No additional information was disclosed.
$ 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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