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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
$4M 1/23/2017 whistleblowers that assisted the Staff after the investigation was opened.
  • Significance of the Information Provided
  • Assistance Provided
$3.8M 7/14/2020 The Securities and Exchange Commission awarded $3.8 million to a whistleblower who provided significant information that helped the SEC disrupt an ongoing scheme.  The resulting enforcement action...
  • Significance of the Information Provided
$3.5M 12/05/2016 The whistleblower provided information that led to a successful enforcement action. No additional information was provided.
  • Significance of the Information Provided
$3.5M 5/13/2016 The whistleblower, a company employee, provided information and materials about possible securities violations that bolstered an ongoing investigation and related settlement negotiations. The...
  • Significance of the Information Provided
  • Assistance Provided
$3M 7/17/2015 A whistleblower, who was a company insider, provided the SEC with specific and detailed information that comprehensively laid out the complex fraudulent scheme, which would have been very difficult...
  • Significance of the Information Provided
  • Assistance Provided
$3M 6/03/2019 Two whistleblowers provided information that resulted in an investigation and related successful enforcement action, involving violations that impacted retail investors. The Staff noted the...
  • Significance of the Information Provided
  • Assistance Provided
  • Participation in Internal Compliance Systems
$2.5M 7/24/2017 Whistleblower was an employee of a domestic government agency who provided a timely tip and continued assistance, including testimony, that helped launch and accelerate an SEC investigation,...
  • Significance of the Information Provided
  • Assistance Provided
$2.2M 4/05/2018 The whistleblower, a former company insider, provided information to another federal agency and later reported the possible securities violation to the Commission resulting in a successful...
  • Significance of the Information Provided
$2.1M 4/12/2018 The whistleblower, a former company insider, provided information that led to multiple successful enforcement actions. The Commission noted the award was reduced based upon the finding that he/she...
  • Significance of the Information Provided
  • Assistance Provided
  • Unreasonable Reporting Delay
$2M 4/03/2020 Whistleblower provided valuable information and assistance to an ongoing investigation and successful enforcement action. The Staff noted that he/she had provided information that would have been...
  • 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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