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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
$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
$1.8M 8/29/2019 Whistleblower provided information and assistance that led to a successful enforcement action, involving overseas violations. The Commission noted that the whistleblower reported internally and...
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
  • Participation in Internal Compliance Systems
$1.8M 3/08/2016 Three whistleblowers provided information that led to a successful enforcement action. The first whistleblower to report the possible violations received a substantially largest award than the...
  • Significance of the Information Provided
  • Assistance Provided
$1.7M 7/27/2017 A company insider reported a hard-to-detect violation of the securities laws, thereafter providing critical information that helped end the multi-year fraud. The SEC stated that millions of...
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
  • Culpability
  • Unreasonable Reporting Delay
$1.6M 3/23/2020 Whistleblower provided valuable information and assistance that led to some of the charges brought in the successful enforcment action. The Staff noted that the whistleblower reported something...
  • Significance of the Information Provided
  • Assistance Provided
  • Unreasonable Reporting Delay
$1.6M 4/22/2015 A whistleblower, who was a compliance professional, provided information and assistance to the SEC. He/she reported when there was a reasonable basis to believe that disclosure to the SEC was...
  • Significance of the Information Provided
  • Interference with Internal Compliance and Reporting Systems
$1.5M 9/14/2018 Whistleblower provided information and assistance that was critical to the overall success of the enforcement action. The Commission noted that the award was severely reduced because of...
  • Significance of the Information Provided
  • Assistance Provided
  • Unreasonable Reporting Delay
$1M 10/12/2017 Whistleblower, a company outsider, provided the SEC with new information and substantial corroborating documentation of a securities law violation by a registered entity that impacted retail...
  • Significance of the Information Provided
$0.9M 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
$700K 6/19/2020 Whistleblower provided valuable information and assistance that led to a successful enforcement action. The Staff noted that the whistleblower reported internally, provided significant ongoing...
  • Significance of the Information Provided
  • Assistance Provided
  • Law Enforcement Interest
  • Participation in Internal Compliance Systems
$ 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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