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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
$45K 1/22/2020 Whistleblower was an injured investor, who provided valuable information to an ongoing investigation that resulted in greater efficiency. The Staff emphasized that the whistleblower had provided...
  • Significance of the Information Provided
  • Assistance Provided
$38K 9/20/2019 Whistleblower provided information and assistance that led to two enforcement actions involving retail investors--a Commission priority. The Staff noted that the whistleblower acted quickly to...
  • Significance of the Information Provided
  • Assistance Provided
Not Yet Determined 7/22/2014 Whistleblower provided the SEC with information that led to a successful enforcement. No additional information has been disclosed.
  • Significance of the Information Provided
Not Yet Determined 9/29/2015 Whistleblowers provided information that led to a successful enforcement action. No additional information was disclosed.
Not Yet Determined 2/28/2017 The whistleblower provided information that led to a successful enforcement action. The award was subject to an off-set for the Claimant's culpability in connection with the securities law...
  • Significance of the Information Provided
  • Culpability
  • Unreasonable Reporting Delay
Not Yet Determined 9/28/2015 Whistleblowers provided information that led to a successful 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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