Claim an Award
We post Notices of Covered Action for each SEC action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.
The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the SEC opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case.
Subject to the Whistleblower Amended Rules, individuals who voluntarily provided the SEC with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award.
Once a Notice of Covered Action is posted, individuals have 90 calendar days to apply for an award by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action.
NOTE: On July 2, 2024, the Commission posted a new Form WB-APP for individuals seeking to apply for an award for a Covered Action. You may continue to use the prior version of the form for the 30-day period following the posting of the new form. Starting on August 1, 2024, please use the new Form WB-APP to apply for an award.
We strongly encourage Form WB-APPs to be submitted by email to FormWB-APPSubmission@SEC.GOV. Duplicate submissions of a Form WB-APP by multiple methods (e.g., fax, email, and mail) are discouraged as they may cause delays. Generally, submissions are acknowledged within 60 days.
Whistleblower Award Applications submitted by mail or fax should be sent to:
SEC Office of the Whistleblower (c/o ENF-CPU)
14420 Albemarle Point Place Suite 102 Chantilly, VA 20151-1750
Fax: 703-813-9322
Whistleblower Office Hotline
202-551-4790Notice No. | Action | Notice Date | Claim Due Date |
---|---|---|---|
2025-076
New |
In the Matter of Snow Lake Capital (HK) Limited |
01/31/2025 | 05/01/2025 |
2025-075
New |
SEC v. Morningview Financial, LLC and Miles M. Riccio |
01/31/2025 | 05/01/2025 |
2025-074
New |
In the Matter of Deutsche Bank Securities Inc. |
01/31/2025 | 05/01/2025 |
2025-073
New |
SEC v. Jerome O'Hara and George Perez |
01/31/2025 | 05/01/2025 |
2025-072
New |
In the Matter of Tai Mo Shan Limited |
01/31/2025 | 05/01/2025 |
2025-071
New |
In the Matter of Cantor Fitzgerald, L.P. |
01/31/2025 | 05/01/2025 |
2025-070
New |
SEC v. Brad Hare and Mammoth West Corporation |
01/31/2025 | 05/01/2025 |
2025-069
New |
In the Matter of Becton, Dickinson and Company |
01/31/2025 | 05/01/2025 |
2025-068
New |
SEC v. Leena Jaitley, d/b/a Managed Options Trading and Options by Pros |
01/31/2025 | 05/01/2025 |
2025-067
New |
In the Matter of AAR Corp. |
01/31/2025 | 05/01/2025 |
2025-066
New |
SEC v. Guosheng Qi and Gridsum Holding Inc. |
01/31/2025 | 05/01/2025 |
2025-065
New |
SEC v. Ronald Bauer a/k/a Ronald J. Bauer and Ronald Jacob Bauer, Craig James Auringer, Alon Friedlander, Massililiano ("Max") Pozzoni, Daniel Mark Ferris, Petar Dmitrov Mihaylov, David Sidoo and Adam Christopher Kambeitz |
01/31/2025 | 05/01/2025 |
2025-064
New |
SEC v. Christopher Slaga a/k/a Keith Renko, Q4 Capital Group, LLC, J4 Capital Advisors LLC, and Hayden Greene |
01/31/2025 | 05/01/2025 |
2025-063
New |
SEC v. Austal Limited and Austal USA, LLC |
01/31/2025 | 05/01/2025 |
2025-062
New |
In the Matter of Flagstar Bancorp, Inc., now known as "Flagstar Financial, Inc." |
01/31/2025 | 05/01/2025 |
2025-061
New |
SEC v. Edward S. Walczak |
01/31/2025 | 05/01/2025 |
2025-060 | In the Matter of J.P. Morgan Securities LLC |
12/31/2024 | 03/31/2025 |
2025-059 | In the Matter of J.P. Morgan Investment Management Inc. |
12/31/2024 | 03/31/2025 |
2025-058 | In the Matter of FiveT Capital AG |
12/31/2024 | 03/31/2025 |
2025-057 | In the Matter of J.P. Morgan Securities LLC |
12/31/2024 | 03/31/2025 |
2025-056 | SEC v. Mikhail Kokorich |
12/31/2024 | 03/31/2025 |
2025-055 | In the Matter of Elanco Animal Health Inc. |
12/31/2024 | 03/31/2025 |
2025-054 | In the Matter of BIT Mining, Ltd. |
12/31/2024 | 03/31/2025 |
2025-053 | SEC v. Joseph C. Lewis, Carolyn W. Carter, Patrick J. O'Connor, and Bryan L. Waugh |
12/31/2024 | 03/31/2025 |
2025-052 | In the Matter of United Parcel Service, Inc. |
12/31/2024 | 03/31/2025 |
2025-051 | SEC v. Pavel Ruiz |
12/31/2024 | 03/31/2025 |
2025-050 | SEC v. Donna Dellomo, Yoon Um, and The Lovesac Company |
12/31/2024 | 03/31/2025 |
2025-049 | In the Matter of Invesco Advisers, Inc. |
12/31/2024 | 03/31/2025 |
2025-048 | SEC v. Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC; R&D Global, LLC |
11/29/2024 | 02/27/2025 |
2025-047 | In the Matter of WisdomTree Asset Management, Inc. |
11/29/2024 | 02/27/2025 |
2025-046 | In the Matter of Gustavo Dolfino |
11/29/2024 | 02/27/2025 |
2025-045 | In the Matter of Marathon Asset Management, L.P. |
11/29/2024 | 02/27/2025 |
2025-044 | SEC v. James Bernard Moore, and Universal Voicetech, Inc. |
11/29/2024 | 02/27/2025 |
2025-043 | SEC v. Raskob Kambourian Financial Advisors, Ltd. |
11/29/2024 | 02/27/2025 |
2025-042 | In the Matter of TD Securities (USA) LLC |
11/29/2024 | 02/27/2025 |
2025-041 | In the Matter of Moog Inc. |
11/29/2024 | 02/27/2025 |
2025-040 | SEC v. Cassava Sciences, Inc.; Remi Barbier; and Lindsay Burns |
11/29/2024 | 02/27/2025 |
2025-039 | In the Matter of RTX Corporation |
11/29/2024 | 02/27/2025 |
2025-038 | SEC v. Toller Stern Financial, LLC, Francisco Javier Malave Hernandez, and Ricardo Javier Guerra Farias |
11/29/2024 | 02/27/2025 |
2025-037 | SEC v. PreIPO Corp., John A. Mattera and David P. Grzan |
11/29/2024 | 02/27/2025 |
2025-036 | SEC v. Prager Metis CPAs, LLC and Prager Metis CPAs LLP |
11/29/2024 | 02/27/2025 |
2025-035 | SEC v. Adam P. Rogas and Paul G. Korol |
11/29/2024 | 02/27/2025 |
2025-034 | In the Matter of Unisys Corporation |
11/29/2024 | 02/27/2025 |
2025-033 | SEC v. Shawn E. Good |
11/29/2024 | 02/27/2025 |
2025-032 | In the Matter of Zymergen Inc. |
10/31/2024 | 01/29/2025 |
2025-031 | SEC v. Mmobuosi Odogwu Banye (a/k/a Dozy Mmobuosi), Tingo Group, Inc., Agri-Fintech Holdings, Inc. (f/k/a Tingo, Inc.), and Tingo International Holdings, Inc. |
10/31/2024 | 01/29/2025 |
2025-030 | In the Matter of S&P Global Ratings |
10/31/2024 | 01/29/2025 |
2025-029 | In the Matter of Moody’s Investors Service, Inc. |
10/31/2024 | 01/29/2025 |
2025-028 | In the Matter of Fitch Ratings, Inc. |
10/31/2024 | 01/29/2025 |
2025-027 | In the Matter of eToro USA LLC |
10/31/2024 | 01/29/2025 |
2025-026 | In the Matter of BNY Mellon Securities Corporation LLC |
10/31/2024 | 01/29/2025 |
2025-025 | In the Matter of Stifel, Nicolaus & Company, Inc. |
10/31/2024 | 01/29/2025 |
2025-024 | In the Matter of Intesa Sanpaolo IMI Securities Corp. |
10/31/2024 | 01/29/2025 |
2025-023 | In the Matter of CIBC World Markets Corp. and CIBC Private Wealth Advisors, Inc. |
10/31/2024 | 01/29/2025 |
2025-022 | In the Matter of Canaccord Genuity LLC |
10/31/2024 | 01/29/2025 |
2025-021 | In the Matter of Robert Seropian |
10/31/2024 | 01/29/2025 |
2025-020 | In the Matter of Vora Wealth Management, PLLC and Dharmesh Virendra Vora |
10/31/2024 | 01/29/2025 |
2025-019 | SEC v. Zera Financial LLC, Luis A. Romero, aka Luis A. Romero- Naverette; aka Luis A. Romero- Naverrette |
10/31/2024 | 01/29/2025 |
2025-018 | In the Matter of WM Technology, Inc. |
10/31/2024 | 01/29/2025 |
2025-017 | SEC v. JMJ Capital Group and Richard Lee Ramirez |
10/31/2024 | 01/29/2025 |
2025-016 | SEC v. Shaohua (Michael) Yin and Benjamin Bin Chow |
10/31/2024 | 01/29/2025 |
2025-015 | In the Matter of Deere & Company |
10/31/2024 | 01/29/2025 |
2025-014 | In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
10/31/2024 | 01/29/2025 |
2025-013 | In the Matter of Harvest Volatility Management, LLC |
10/31/2024 | 01/29/2025 |
2025-012 | In the Matter of Glazer Capital, LLC |
10/31/2024 | 01/29/2025 |
2025-011 | In the Matter of Invesco Distributors, Inc. and Invesco Advisers, Inc. |
10/31/2024 | 01/29/2025 |
2025-010 | SEC v. Third Friday Management, LLC and Michael E. Lewitt |
10/31/2024 | 01/29/2025 |
2025-009 | In the Matter of Macquarie Investment Management Business Trust |
10/31/2024 | 01/29/2025 |
2025-008 | In the Matter of Acadia Healthcare Company, Inc. |
10/31/2024 | 01/29/2025 |
2025-007 | SEC v. Kris A. Swaffer, Sean K. Williams, and POHIH, Inc. |
10/31/2024 | 01/29/2025 |
2025-006 | In the Matter of FirstEnergy Corp. |
10/31/2024 | 01/29/2025 |
2025-005 | SEC v. The Heartland Group Ventures, LLC; Heartland Production and Recovery LLC; Heartland Production and Recovery Fund LLC; Heartland Production and Recovery Fund II LLC; The Heartland Group Fund III LLC; Heartland Drilling Fund I, LP; Carson Oil Field Development Fund II, LP; Alternative Office Solutions, LLC; Arcooil Corp.; Barron Petroleum LLC; James Ikey; John Muratore; Thomas Brad Pearsey; Manjit Singh (aka Roger) Sahota; and Rustin Brunson |
10/31/2024 | 01/29/2025 |
2025-004 | SEC v. Carebourn Capital, L.P. and Chip Alvin Rice |
10/31/2024 | 01/29/2025 |
2025-003 | In the Matter of Centerline Investment Management Limited |
10/31/2024 | 01/29/2025 |
2025-002 | In the Matter of Keurig Dr Pepper Inc. |
10/31/2024 | 01/29/2025 |
2025-001 | SEC v. Patrick N. Thayer |
10/31/2024 | 01/29/2025 |
2024-137 | In the Matter of Apex Clearing Corporation |
09/30/2024 | 12/29/2024 |
2024-136 | SEC v. Brenda A. Smith, Broad Reach Capital, LP, Broad Reach Partners, LLC, and Bristol Advisors, LLC |
09/30/2024 | 12/29/2024 |
2024-135 | In the Matter of Sound Point Capital Management, LP |
09/30/2024 | 12/29/2024 |
2024-134 | In the Matter of Edward D. Jones & Co., L.P. |
09/30/2024 | 12/29/2024 |
2024-133 | In the Matter of OTC Link LLC |
09/30/2024 | 12/29/2024 |
2024-132 | In the Matter of Cadaret, Grant & Co., Inc. |
09/30/2024 | 12/29/2024 |
2024-131 | In the Matter of Raymond James & Associates, Inc. |
09/30/2024 | 12/29/2024 |
2024-130 | In the Matter of P. Schoenfeld Asset Management LP |
09/30/2024 | 12/29/2024 |
2024-129 | In the Matter of LPL Financial LLC |
09/30/2024 | 12/29/2024 |
2024-128 | In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC |
09/30/2024 | 12/29/2024 |
2024-127 | In the Matter of Ameriprise Financial Services, LLC |
09/30/2024 | 12/29/2024 |
2024-126 | In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc. |
09/30/2024 | 12/29/2024 |
2024-125 | In the Matter of RBC Capital Markets, LLC |
09/30/2024 | 12/29/2024 |
2024-124 | SEC v. Richard Xia, a/k/a Yi Xia, and Fleet New York Metropolitan Regional Center, LLC, f/k/a Federal New York Metropolitan Regional Center, LLC |
09/30/2024 | 12/29/2024 |
2024-123 | SEC v Ripple Labs, Inc., Bradley Garlinghouse, and Christian A. Larsen |
09/30/2024 | 12/29/2024 |
2024-122 | In the Matter of Truist Securities, Inc., Truist Investment Services, Inc., and Trust Advisory Services, Inc. |
09/30/2024 | 12/29/2024 |
2024-120 | SEC v. Terraform Labs PTE, Ltd., and Do Hyeong Kwon |
09/30/2024 | 12/29/2024 |
2024-119 | Date of Qualifying JudgmSEC v. Alexander Elbanna, Digital World Exchange, LLC, BoostedPro, LLC, and D.W. Exchange, LLC |
09/30/2024 | 12/29/2024 |
2024-118 | In the Matter of Zheng (Bruno) Wu |
09/30/2024 | 12/29/2024 |
2024-117 | In the Matter of Ideanomics, Inc. (f/k/a Seven Stars Cloud Group, Inc.), Alfred Poor, and Federico Tovar |
09/30/2024 | 12/29/2024 |
2024-116 | In the Matter of Hilltop Securities Inc. |
09/30/2024 | 12/29/2024 |
2024-115 | In the Matter of Cetera Advisor Networks LLC and Cetera Investment Services LLC |
09/30/2024 | 12/29/2024 |
2024-114 | In the Matter of First Trust Portfolios L.P. |
09/30/2024 | 12/29/2024 |
2024-113 | In the Matter of Great Point Capital, LLC |
09/30/2024 | 12/29/2024 |
Last Reviewed or Updated: July 23, 2024