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 |
---|---|---|---|
2020-060 | In the Matter of Cantor Fitzgerald & Co. |
05/29/2020 | 08/27/2020 |
2020-059 | SEC v. Marvin Mychal-Christopher Kendricks, a/k/a “Mychal Kendricks,” and Damilare Sonoiki |
05/29/2020 | 08/27/2020 |
2020-058 | SEC v. International Investment Group, LLC. |
05/29/2020 | 08/27/2020 |
2020-057 | In the Matter of Monomoy Capital Management, L.P. |
05/29/2020 | 08/27/2020 |
2020-056 | In the Matter of RBC Capital Markets LLC |
05/29/2020 | 08/27/2020 |
2020-055 | SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat At Joe’s, LTD. n/k/a SPYR, Inc. |
05/29/2020 | 08/27/2020 |
2020-054 | In the Matter of Eni S.p.A. |
05/29/2020 | 08/27/2020 |
2020-053 | SEC v. Ronald L. Blackburn, Andrew V. Reid, Bruce A. Gwyn, Michael A. Mulshine, Lee C. Schlesinger, Samuel E. Whitley, and Treaty Energy Corporation |
05/29/2020 | 08/27/2020 |
2020-052 | SEC v. Castleberry Financial Services Group, LLC, T. Jonathon Turner, f/k/a/ “Jon Barri Brothers,” and Norman M. Strell |
05/29/2020 | 08/27/2020 |
2020-051 | SEC v. Scott O. Hirsch and Kenneth L. Friedman |
05/29/2020 | 08/27/2020 |
2020-050 | SEC v. The End of the Rainbow Partners, LLC., the Estate of Michael F. Anderson |
05/29/2020 | 08/27/2020 |
2020-049 | SEC v. Jeffrey E. Wall and The Lighthouse Events, LLC |
05/29/2020 | 08/27/2020 |
2020-048 | SEC v. Philip E. Riehl |
04/30/2020 | 07/29/2020 |
2020-047 | SEC v. PTG Capital Partners LTD, PST Capital Group LTD, Nedko Nedev, Strategic Capital Partners Muster Limited, and Strategic Wealth Investments, Inc. |
04/30/2020 | 07/29/2020 |
2020-046 | SEC v. Evegenii Zavodchiko, Extra Trading Company, Andrey Bokarev, Radion Panko, Green Road Corporation, Natalia Andreevna Alepko, Solar Line Inc., Anton Maslov, Tarek Investors Inc. |
04/30/2020 | 07/29/2020 |
2020-045 | SEC v. Henry Ford f/k/a Cleothus Lefty Jackson and Fallcatcher, Inc. |
04/30/2020 | 07/29/2020 |
2020-044 | SEC v. Gregory T. Dean and Donald J. Fowler |
04/30/2020 | 07/29/2020 |
2020-043 | SEC v. ICOBox and Nikolay Evdokimov |
04/30/2020 | 07/29/2020 |
2020-042 | SEC v. Neil Burkholz, Frank Bianco, Palm Financial Management, LLC, and Shore Management Systems, LLC |
04/30/2020 | 07/29/2020 |
2020-041 | In the Matter of Cardinal Health, Inc. |
04/30/2020 | 07/29/2020 |
2020-040 | In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC |
04/30/2020 | 07/29/2020 |
2020-039 | SEC v. Francis J. van Steenberge and Nicolas Zanen |
04/30/2020 | 07/29/2020 |
2020-038 | SEC v. Alexander Charles White and Paul Douglas Vandivier |
04/30/2020 | 07/29/2020 |
2020-037 | SEC v. Gregg D. Caplitz and Insight Onsite Strategic Management, LLC |
04/30/2020 | 07/29/2020 |
2020-036 | In the Matter of Wells Fargo & Company |
03/31/2020 | 06/29/2020 |
2020-035 | SEC v. James W. Self, Jr., and Stephen R. Goldfield |
03/31/2020 | 06/29/2020 |
2020-034 | SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong |
03/31/2020 | 06/29/2020 |
2020-033 | SEC v. Nicholas Lattanzio, Black Diamond Investments, LP, Black Diamond GP, LLC, Black Diamond Investments LLC, and Black Diamond Capital Appreciation Fund, L.P. |
03/31/2020 | 06/29/2020 |
2020-032 | SEC v. Christopher Freeman Brogdon |
03/31/2020 | 06/29/2020 |
2020-031 | SEC v. Robert A. Ferrante and Marilyn R. Thomassen |
03/31/2020 | 06/29/2020 |
2020-030 | In the Matter of Diageo, plc. |
03/31/2020 | 06/29/2020 |
2020-029 | In the Matter of Catalyst Capital Advisors, LLC and Jerry Szilagyi |
03/31/2020 | 06/29/2020 |
2020-028 | SEC v. John Abio, also known as Tre Brandenberg, and Abio Financial Group, Inc. |
03/31/2020 | 06/29/2020 |
2020-027 | SEC v. Tennstar Energy, Inc. f/k/a Black Gold Resources, Inc. David R. Greenlee, David A. Stewart, Jr., and Richard “Ric” P. Underwood |
03/31/2020 | 06/29/2020 |
2020-026 | SEC v. Landon M. Smith |
02/28/2020 | 05/28/2020 |
2020-025 | SEC v. Scott Charles Messier and Jay Zola Scoratow |
02/28/2020 | 05/28/2020 |
2020-024 | SEC v. James B. Catledge, Derek F. C. Elliot, EMI Resorts (S.V.G) INC., EMI Sun Village, Inc., Sun Village Juan Dolio, Inc. |
02/28/2020 | 05/28/2020 |
2020-023 | SEC v. Michael B. Rothenberg, and Rothenberg Ventures LLC (f/k/a Frontier Technology Venture Capital LLC and Rothenberg Ventures Management Company, LLC) |
02/28/2020 | 05/28/2020 |
2020-022 | In the Matter of J.P. Morgan Securities LLC |
02/28/2020 | 05/28/2020 |
2020-021 | SEC v. Carlos Ghosn and Gregory L. Kelly |
02/28/2020 | 05/28/2020 |
2020-020 | SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC |
02/28/2020 | 05/28/2020 |
2020-019 | SEC v. Jay Costa Kelter |
02/28/2020 | 05/28/2020 |
2020-018 | SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano |
02/28/2020 | 05/28/2020 |
2020-017 | SEC v. Guardian Oil & Gas, Inc., Guardian Oil & Natural Gas, Inc., and Rick D. Mullins |
02/28/2020 | 05/28/2020 |
2020-016 | SEC v. Ariel Darvasi and Amir Waldman |
02/28/2020 | 05/28/2020 |
2020-015 | SEC v. Robert G. Pearson and Illinois Stock Transfer Company (d/b/a IST Shareholder Services) |
02/28/2020 | 05/28/2020 |
2020-014 | SEC v. Loren W. Holzhueter, and ISC, Inc. (d/b/a Insurance Service Center) |
01/31/2020 | 04/30/2020 |
2020-013 | SEC v. Richard Johnathan Eden and Christopher Michael Neumann |
01/31/2020 | 04/30/2020 |
2020-012 | SEC v. Richard T. Cunniffe |
01/31/2020 | 04/30/2020 |
2020-011 | In the Matter of MetLife, Inc. |
01/31/2020 | 04/30/2020 |
2020-010 | In the Matter of Jefferies LLC |
01/31/2020 | 04/30/2020 |
2020-009 | SEC v. Telefonaktiebolaget LM Ericsson |
01/31/2020 | 04/30/2020 |
2020-008 | SEC v. Iconix Brand Group, Inc. |
01/31/2020 | 04/30/2020 |
2020-007 | SEC v. John Special |
01/31/2020 | 04/30/2020 |
2020-006 | SEC v. Michael E. Cone and Greenview Investment Partners, L.P. |
01/31/2020 | 04/30/2020 |
2020-005 | SEC v. Natural Diamonds Investment Co., Eagle Financial Diamond Group Inc a/k/a Diamante Atelier, Argyle Coin, LLC, Jose Angel Aman, Harold Seigel, and Jonathan H. Seigel |
01/31/2020 | 04/30/2020 |
2020-004 | In the Matter of Kornitzer Capital Management, Inc. and John C. Kornitzer |
01/31/2020 | 04/30/2020 |
2020-003 | SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken |
01/31/2020 | 04/30/2020 |
2020-002 | SEC v. Micheal A. Skerry |
01/31/2020 | 04/30/2020 |
2020-001 | SEC v. Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley |
01/31/2020 | 04/30/2020 |
2019-211 | SEC v. Reginald (“Reggie”) Middleton, Veritaseum, Inc., and Veritaseum, LLC |
12/31/2019 | 03/30/2020 |
2019-210 | In the Matter of Morgan Stanley Smith Barney LLC |
12/31/2019 | 03/30/2020 |
2019-209 | SEC v. Toon Goggles, Inc., and Ira Warkol |
12/31/2019 | 03/30/2020 |
2019-208 | SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez |
12/31/2019 | 03/30/2020 |
2019-207 | SEC v. David Sechovicz |
12/31/2019 | 03/30/2020 |
2019-206 | In the Matter of Bethany Liou and Golden California Regional Center, LLC |
12/31/2019 | 03/30/2020 |
2019-205 | SEC v. Palm House Hotel LLLP, South Atlantic Regional Center, LLC, Joseph J. Walsh, Sr., and Robert V. Matthews |
12/31/2019 | 03/30/2020 |
2019-204 | SEC v. Zhunrize, Inc., and Jeff Pan |
12/31/2019 | 03/30/2020 |
2019-203 | SEC v. The Nutmeg Group, LLC, Randall Goulding, and David Goulding |
12/31/2019 | 03/30/2020 |
2019-202 | In the Matter of Mid Atlantic Financial Management, Inc. |
11/29/2019 | 02/27/2020 |
2019-201 | In the Matter of Founders Financial Securities, LLC |
11/29/2019 | 02/27/2020 |
2019-200 | In the Matter of IC Advisory Services, Inc. |
11/29/2019 | 02/27/2020 |
2019-199 | In the Matter of Block.one |
11/29/2019 | 02/27/2020 |
2019-198 | SEC v. PlexCorps (a/k/a and d/b/a PlexCoin and Sidepay.ca), Dominic Lacroix and Sabrina Paradis-Royer |
11/29/2019 | 02/27/2020 |
2019-197 | In the Matter of Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC) |
11/29/2019 | 02/27/2020 |
2019-196 | SEC v. Sandy J. Masselli, J.R., Carlyle Gaming & Entertainment Ltd., Intercapital Partners Ltd. (a/k/a Intercapital Partners Ltd. Liability Companyand Intercapital Partners, LLC), Intercapital Management Ltd., and Appnostiq Interactive Ltd. |
11/29/2019 | 02/27/2020 |
2019-195 | In the Matter of GFI Securities LLC |
11/29/2019 | 02/27/2020 |
2019-194 | SEC v. American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Howard J. Allen III and Kerri L. Wasserman |
11/29/2019 | 02/27/2020 |
2019-193 | In the Matter of Herbalife Nutrition, Ltd. |
11/29/2019 | 02/27/2020 |
2019-192 | In the Matter of Independent Financial Group LLC |
11/29/2019 | 02/27/2020 |
2019-191 | In the Matter of Wedbush Securities |
11/29/2019 | 02/27/2020 |
2019-190 | In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty |
11/29/2019 | 02/27/2020 |
2019-189 | In the Matter of Essex Financial Services, Inc. |
11/29/2019 | 02/27/2020 |
2019-188 | In the Matter of Bill Few Associates, Inc. |
11/29/2019 | 02/27/2020 |
2019-187 | SEC v. Mylan N.V. |
11/29/2019 | 02/27/2020 |
2019-186 | In the Matter of FCA US LLC and Fiat Chrysler Automobiles N.V. |
11/29/2019 | 02/27/2020 |
2019-185 | In the Matter of Serge Matta |
11/29/2019 | 02/27/2020 |
2019-184 | In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp. |
11/29/2019 | 02/27/2020 |
2019-183 | SEC v. Lek Securities Corporation, Samuel Lek, Vali Managemtn Partners dba Avalon FA Ltd, Nathan Fayyer, and Sergey Pustelnik a/k/a Serge Pustelnik |
11/29/2019 | 02/27/2020 |
2019-182 | SEC v. Victory Ho |
11/29/2019 | 02/27/2020 |
2019-181 | In the Matter of Barclays PLC |
11/29/2019 | 02/27/2020 |
2019-180 | In the Matter of Leonardo Cornide and Jorge Falcon |
11/29/2019 | 02/27/2020 |
2019-179 | In the Matter of Tyler T. Tysdal, Grant M. Carter, Impact Opportunities Fund Management, LLC, TitleCard Capital Group, LLC, and TitleCard Capital Management, LLC |
11/29/2019 | 02/27/2020 |
2019-178 | SEC v. Alpine Securities Corporation |
11/29/2019 | 02/27/2020 |
2019-177 | SEC v. Taj Jerry Mahabub, GenAudio, Inc., and Astound Holdings, Inc. |
11/29/2019 | 02/27/2020 |
2019-176 | In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC) |
11/29/2019 | 02/27/2020 |
2019-175 | In the Matter of Gary F. Pryor and The Pinnacle Companies, LLC |
11/29/2019 | 02/27/2020 |
2019-174 | SEC v. Equitybuild, Inc., Equitybuild Finance, LLC, Jerome H. Cohen, and Shaun D. Cohen |
11/29/2019 | 02/27/2020 |
2019-173 | SEC v. Scott Stacy Phelps and James Michael Harper |
11/29/2019 | 02/27/2020 |
2019-172 | SEC v. Earl D. Miller, 5 Star Commercial, LLC, and 5 Star Capital Fund, LLC |
11/29/2019 | 02/27/2020 |
Last Reviewed or Updated: March 17, 2025