Whistleblower Actions During Government Shutdown
Notice: Due to a lapse in appropriations, the U.S. Securities and Exchange Commission is currently closed. During the closure, time sensitive or critical tips, complaints, or referrals should be submitted via the electronic portal only. The Office of the Whistleblower will continue to accept whistleblower applications for awards. All such applications must comply with the instructions, including timelines, on the Office of the Whistleblower Notices of Covered Action page. All other timelines relating to whistleblower award applications, including requests for the record or reconsideration, also remain in place. Thank you.
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
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| 2017-024 | SEC v. Christopher R. Esposito, Anthony Jay Pignatello, James Gondolfe, Renee Galizio, Lionshare Ventures LLC, and Cannabiz Mobile, Inc. |
02/28/2017 | 05/29/2017 |
| 2017-023 | SEC v. Randal Kent Hansen, RAHFCO Management Group, LLC, Vincent Puma, and Hudson Capital Partners Corporation |
01/31/2017 | 05/01/2017 |
| 2017-022 | In the Matter of Morgan Stanley & Co. LLC |
01/31/2017 | 05/01/2017 |
| 2017-021 | In the Matter of United Continental Holdings, Inc. |
01/31/2017 | 05/01/2017 |
| 2017-020 | SEC v. David L. Fleet |
01/31/2017 | 05/01/2017 |
| 2017-019 | In the Matter of Harold D. Garrison |
01/31/2017 | 05/01/2017 |
| 2017-018 | SEC v. Patrick S. Carter, 808 Renewable Energy Corporation, 808 Investments, LLC, Martin J. Kinchloe, Peter Kirkbride, West Coast Commodities, LLC, Thomas A. Flowers, and T.A. Flowers LLC |
01/31/2017 | 05/01/2017 |
| 2017-017 | SEC v. Diverse Financial Corporation, Roy Dekel, and David Kandell |
01/31/2017 | 05/01/2017 |
| 2017-016 | In the Matter of Pacific Investment Management Company, LLC |
01/31/2017 | 05/01/2017 |
| 2017-015 | SEC v. Yin Nan "Michael" Wang, Wendy Ko, Velocity Investment Group, Inc., Bio Profit Series I, LLC, Bio Profit Series II, LLC, Bio Profit Series III, LLC, Bio Profit Series V, LLC, and Rockwell Realty Management, Inc. |
01/31/2017 | 05/01/2017 |
| 2017-014 | In the Matter of Deutsche Bank Securities Inc. |
01/31/2017 | 05/01/2017 |
| 2017-013 | SEC v. Edward F. Panos |
01/31/2017 | 05/01/2017 |
| 2017-012 | SEC v. Caledonian Bank, LTD., Caledonian Securities LTD., Clear Water Securities, Inc., Legacy Global Markets S.A., and Verdmont Capital, S.A. |
01/31/2017 | 05/01/2017 |
| 2017-011 | In the Matter of General Cable Corporation |
01/31/2017 | 05/01/2017 |
| 2017-010 | In the Matter of General Cable Corporation |
01/31/2017 | 05/01/2017 |
| 2017-009 | In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited In the Matter of Alok Saraf, CA |
01/31/2017 | 05/01/2017 |
| 2017-008 | In the Matter of Dennis Ira Ringer |
01/31/2017 | 05/01/2017 |
| 2017-007 | SEC v. Ash Narayan, The Ticket Reserve Inc. a/k/a/ Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky |
01/31/2017 | 05/01/2017 |
| 2017-006 | In the Matter of SandRidge Energy, Inc. |
01/31/2017 | 05/01/2017 |
| 2017-005 | SEC v. Teva Pharmaceuticals, LTD. |
01/31/2017 | 05/01/2017 |
| 2017-004 | SEC v. City of Miami, Florida and Michael Boudreaux |
01/31/2017 | 05/01/2017 |
| 2017-003 | SEC v. Interinvest Corporation, Inc., and Hans Peter Black |
01/31/2017 | 05/01/2017 |
| 2017-002 | In the Matter of State Street Bank and Trust Company |
01/31/2017 | 05/01/2017 |
| 2017-001 | SEC v. John W. Femenia, Shawn C. Hegedus, Danielle C. Laurenti, Coram Real Estate Holding, Inc., Goldstar P.S. Inc., Roger A. Williams, Kenneth M. Raby, Frank M. Burgess, James A. Hayes, Matthew J. Musante, Anthony C. Musante, and Aaron M. Wens |
01/31/2017 | 05/01/2017 |
| 2016-172 | In the Matter of EZTD Inc. |
12/31/2016 | 03/31/2017 |
| 2016-171 | SEC v. Southlake Resources Group, LLC, Cody M. Winters, and Nicholas R. Hamilton |
12/31/2016 | 03/31/2017 |
| 2016-170 | SEC v. Embraer, S.A. |
12/31/2016 | 03/31/2017 |
| 2016-169 | In the Matter of Ronald D. Morley and The New Wealth, LLC |
12/31/2016 | 03/31/2017 |
| 2016-168 | In the Matter of Michael L. Reger |
12/31/2016 | 03/31/2017 |
| 2016-167 | In the Matter of JP Morgan Chase & Co., |
12/31/2016 | 03/31/2017 |
| 2016-166 | In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA |
12/31/2016 | 03/31/2017 |
| 2016-165 | SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack |
12/31/2016 | 03/31/2017 |
| 2016-164 | In the Matter of Credit Suisse AG, Inc. |
12/31/2016 | 03/31/2017 |
| 2016-163 | In the Matter of Calvert Investment Management, Inc. |
11/30/2016 | 02/28/2017 |
| 2016-162 | In the Matter of Artis Capital Management, L.P. and Michael W. Harden |
11/30/2016 | 02/28/2017 |
| 2016-161 | SEC v. Charles P. Copeland, Copeland Wealth Management, a Financial Advisory Corporation, and Copeland Wealth Management, a Real Estate Corporation |
11/30/2016 | 02/28/2017 |
| 2016-160 | In the Matter of Bank Leumi le-Israel B.M., Leumi Private Bank, and Bank Leumi (Luxembourg) S.A. |
11/30/2016 | 02/28/2017 |
| 2016-159 | In the Matter of GlaxoSmithKline plc |
11/30/2016 | 02/28/2017 |
| 2016-158 | In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA |
11/30/2016 | 02/28/2017 |
| 2016-157 | In the Matter of Deutsche Bank Securities Inc. |
11/30/2016 | 02/28/2017 |
| 2016-156 | SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina |
11/30/2016 | 02/28/2017 |
| 2016-155 | SEC v. Anthony C. Zufelt, Joseph A. Nelson, David M. Decker, Jr., Cache D. Decker, Zufelt Business Services, Inc. (d/b/a Zufelt, Inc.), Silver Leaf Investments, Inc. JCN, Inc., JCN Capital, LLC, and JCN International, LLC |
11/30/2016 | 02/28/2017 |
| 2016-154 | SEC v. Paul R. Downey, Jeffry P. Downey, and John M. Leonard |
11/30/2016 | 02/28/2017 |
| 2016-153 | SEC v. Aegis Oil, LLC, and Patrick Reagan Beason |
11/30/2016 | 02/28/2017 |
| 2016-152 | SEC v. JCS Enterprises, Inc. d/b/a JCS Enterprises Services, Inc., T.B.T.I. Inc., Joseph Signore, and Paul L. Schumack, II |
11/30/2016 | 02/28/2017 |
| 2016-151 | SEC v. Zenergy International, Inc., Bosko R. Gasich, Robert J. Luiten, Scott H. Wilding, Skyline Capital, Inc., Ronald Martino, and Diane D. Dalmy |
11/30/2016 | 02/28/2017 |
| 2016-150 | SEC v. Yossef Kahlon, a/k/a Jossef Kahlon, and TJ Management Group, LLC |
11/30/2016 | 02/28/2017 |
| 2016-149 | SEC v. Richard Weed, Thomas Brazil and Coleman Flaherty III |
11/30/2016 | 02/28/2017 |
| 2016-148 | SEC v. Saleem Khan, Ammar Akbari, Roshanlal Chaganlal and Ranjan Mendonsa |
10/31/2016 | 01/29/2017 |
| 2016-147 | In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA |
10/31/2016 | 01/29/2017 |
| 2016-146 | In the Matter of BOKF, NA |
10/31/2016 | 01/29/2017 |
| 2016-145 | In the Matter of Ernst & Young LLP and Gregory S. Bednar, CPA |
10/31/2016 | 01/29/2017 |
| 2016-144 | SEC v. Norstra Energy Inc., Glen Landry and Eric Dany |
10/31/2016 | 01/29/2017 |
| 2016-143 | SEC v. Christopher Plummer, Lex M. Cowsert, and Cytogenix, Inc. |
10/31/2016 | 01/29/2017 |
| 2016-142 | SEC v. North Hills Management, LLC, and Mark Evan Bloom |
10/31/2016 | 01/29/2017 |
| 2016-141 | SEC v. PLCMGMT LLC, dba Prometheus Law, James A. Catipay, and David A. Aldrich |
10/31/2016 | 01/29/2017 |
| 2016-140 | In the Matter of Portugal Telecom, SGPS, S.A., now known as Pharol SGPS, S.A. |
10/31/2016 | 01/29/2017 |
| 2016-139 | SEC v. Manuel E. Jesus aka Manny Backus, et al. |
10/31/2016 | 01/29/2017 |
| 2016-138 | In the Matter of Anheuser-Busch InBev SA/NV |
10/31/2016 | 01/29/2017 |
| 2016-137 | In the Matter of UBS Financial Services Inc. |
10/31/2016 | 01/29/2017 |
| 2016-136 | In the Matter of Ernst & Young LLP, Robert J. Brehl, CPA, Pamela J. Hartford, CPA, and Michael T. Kamienski, CPA |
10/31/2016 | 01/29/2017 |
| 2016-135 | In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
10/31/2016 | 01/29/2017 |
| 2016-134 | In the Matter of Weatherford International PLC, f/k/a Weatherford International Ltd, James Hudgins, CPA, and Darryl Kitay, CPA |
10/31/2016 | 01/29/2017 |
| 2016-133 | In the Matter of Russell C. Schalk, Jr. |
10/31/2016 | 01/29/2017 |
| 2016-132 | SEC v. China Northeast Petroleum Holdings Limited; Wang Hongjun (a/k/a Hongjun Wang); Ju Guizhi (a/k/a Guizhi Ju); and Jiang Chao (a/k/a Chao Jiang) |
10/31/2016 | 01/29/2017 |
| 2016-131 | In the Matter of Michael A. Horowitz and Moshe Marc Cohen |
10/31/2016 | 01/29/2017 |
| 2016-130 | SEC v. Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela M. Hass |
10/31/2016 | 01/29/2017 |
| 2016-129 | SEC v. Veros Partners, Inc., Matthew D. Haab, Jeffrey B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, FarmGrowCap LLC, PinCap LLC |
10/31/2016 | 01/29/2017 |
| 2016-128 | In the Matter of First Reserve Management, L.P. |
10/31/2016 | 01/29/2017 |
| 2016-127 | SEC v. Daniel Thibeault, GL Capital Partners, LLC, GL Investment Services, LLC, Graduate Leverage, LLC (d/b/a GL Advisor and GL Holdings Corp.), and Taft Financial Services, LLC |
10/31/2016 | 01/29/2017 |
| 2016-126 | In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank |
10/31/2016 | 01/29/2017 |
| 2016-125 | SEC v. James M. Donnan, III and Gregory L. Crabtree |
10/31/2016 | 01/29/2017 |
| 2016-124 | In the Matter of WL Ross & Co. LLC |
09/30/2016 | 12/29/2016 |
| 2016-123 | In the Matter of Barry B. Clare |
09/30/2016 | 12/29/2016 |
| 2016-122 | In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. |
09/30/2016 | 12/29/2016 |
| 2016-121 | In the Matter of RBC Capital Markets, LLC |
09/30/2016 | 12/29/2016 |
| 2016-120 | In the Matter of AstraZeneca PLC |
09/30/2016 | 12/29/2016 |
| 2016-119 | In the Matter of optionsXpress, Inc., and Jonathan I. Feldman |
09/30/2016 | 12/29/2016 |
| 2016-118 | In the Matter of Key Energy Services, Inc. |
09/30/2016 | 12/29/2016 |
| 2016-117 | SEC v. Robert L. Sonfield, Donald C. Bradley, Jeffrey W. Bradley, Jason Landess, Marc Lane, Roger Brewer |
09/30/2016 | 12/29/2016 |
| 2016-116 | SEC v. Secured Income Reserve, Inc., Ilona A. Mandelbaum, David A. Zimmerman, Tamda Marketing, Inc., and Matthew H. Sage |
09/30/2016 | 12/29/2016 |
| 2016-115 | SEC v. Gary C. Snisky |
09/30/2016 | 12/29/2016 |
| 2016-114 | SEC v. Southern Cross Resources Group, Inc., Michael A. Nasatir, and Andrew L. Madenberg |
09/30/2016 | 12/29/2016 |
| 2016-113 | SEC v. Cedric Cañas Maillard |
09/30/2016 | 12/29/2016 |
| 2016-112 | SEC v. Tyson D. Williams and Stanley D. Parrish |
08/31/2016 | 11/29/2016 |
| 2016-111 | SEC v. Luca International Group, LLC; Luca Resources Group, LLC; Luca Energy Fund, LLC; Entholpy EMC, Inc.; Bingqing Yang; Lei (Lily) Lei; Anthony V. Pollace; and Yong (Michael) Chen |
08/31/2016 | 11/29/2016 |
| 2016-110 | SEC v. Malcolm Segal |
08/31/2016 | 11/29/2016 |
| 2016-109 | SEC v. Thomas C. Conradt, David J. Weishaus, and Trent Martin |
08/31/2016 | 11/29/2016 |
| 2016-108 | SEC v. Michael J. Oppenheim |
08/31/2016 | 11/29/2016 |
| 2016-107 | SEC v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo |
08/31/2016 | 11/29/2016 |
| 2016-106 | In the Matter of Citigroup Global Markets, Inc. |
08/31/2016 | 11/29/2016 |
| 2016-105 | SEC v. Lee D. Weiss, Family Endowment Partners, LP |
08/31/2016 | 11/29/2016 |
| 2016-104 | In the Matter of Johnson Controls, Inc. |
08/31/2016 | 11/29/2016 |
| 2016-103 | SEC v. CKB168 Holdings LTD., WIN168 Biz Solutions LTD., CKB168 LTD., CKB168 Biz Solution, Inc., Cyber Kids Best Education LTD., Rayla Melcher Santos, Hung Wai ("Howard") Shern, Rui ling ("Florence") Leung, Daliang ("David") Guo, Yao Lin, Chih Hsuan "Kiki" Lin, Wen Chen Hwang (aka "Wendy Lee"), Toni Tong Chen, Cheongwha "Heywood" Chang, Joan Congyi Ma (aka "JC Ma"), and Heidi Mao Liu (aka "Heidi Mao") |
08/31/2016 | 11/29/2016 |
| 2016-102 | In the Matter of LAN Airlines S. A. |
08/31/2016 | 11/29/2016 |
| 2016-101 | SEC v. First Mortgage Corporation, Inc., Clement Ziroli, Sr., Clement Ziroli, Jr., Pac W. Dong, Ronald T. Vargus, Scott Lehrer, and Edward Joseph Sanders |
08/31/2016 | 11/29/2016 |
| 2016-100 | SEC v. James Y. Lee |
08/31/2016 | 11/29/2016 |
| 2016-099 | SEC v. Jammin' Java Corp., dba Marley Coffee, Shane G. Whittle, Wayne S. P. Weaver, Michael K. Sun, Rene Berlinger, Stephen B. Wheatley, Kevin P. Miller, Mohammed A. Al-Barwani, Alexander J. Hunter, and Thomas E. Hunter |
08/31/2016 | 11/29/2016 |
| 2016-098 | SEC v. Keith Greenberg |
07/29/2016 | 10/27/2016 |
| 2016-097 | SEC v. Andrew K. Proctor and Atlas JG, LLC |
07/29/2016 | 10/27/2016 |
Last Reviewed or Updated: Sept. 30, 2025