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
2011-058

SEC v. Jason M. Genet
Case number: 09-cv-04215 (United States District Court for the Eastern District of New York)
Case filed: September 30, 2009

08/12/2011 11/10/2011
2011-057

SEC v. General Electric Company, Ionics, Inc., and Amersham plc
Case number: 10-cv-01258 (United States District Court for the District of Columbia)
Case filed: July 27, 2010

08/12/2011 11/10/2011
2011-056

SEC v. Gendreau & Associates, Inc., and Jacques R. Gendreau
Case number: 09-cv-03697 (United States District Court for the Central District of California)
Case filed: May 26, 2009

08/12/2011 11/10/2011
2011-055

In the Matter of Gartmore Investment Limited
Administrative Proceeding File No.: 3-14154
Case filed: December 8, 2010

08/12/2011 11/10/2011
2011-054

SEC v. Galleon Management LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat, New Castle Funds LLC, Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far & Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, and S2 Capital Management LP
Case number: 09-cv-08811 (United States District Court for the Southern District of New York)
Case filed: November 5, 2009

08/12/2011 11/10/2011
2011-053

SEC v. FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a/ FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez
Case number: 09-cv-04755 (United States District Court for the Southern District of New York)
Case filed: May 20, 2009

08/12/2011 11/10/2011
2011-052

SEC v. Gregory Todd Froning
Case number: 10-cv-01503 (United States District Court for the Northern District of Texas)
Case filed: August 2, 2010

08/12/2011 11/10/2011
2011-051

SEC v. Founding Partners Capital Management Company, William Gunlicks, Sun Capital, Inc., Sun Capital Healthcare, Inc., Founding Partners Stable-Value Fund LP, Founding Partners Stable-Value Fund II LP, Founding Partners Global Fund Ltd., and Founding Partners Hybrid-Value Fund LP
Case number: 09-cv-00229 (United States District Court for the Middle District of Florida)
Case filed: April 20, 2009

08/12/2011 11/10/2011
2011-050

SEC v. Otto Sam Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC
Case number: 11-cv-04447 (United States District Court for the Eastern District of Pennsylvania)
Case filed: July 12, 2011

08/12/2011 11/10/2011
2011-049

SEC v. Thomas P. Flanagan and Thomas T. Flanagan
Case number: 10-cv-04885 (United States District Court for the Northern District of Illinois)
Case filed: August 4, 2010

08/12/2011 11/10/2011
2011-048

SEC v. Robert Feinblatt, Jeffrey Yokuty, Trivium Capital Management LLC, Sunil Bhalla, and Shammara Hussain
Case number: 11-cv-00170 (United States District Court for the Southern District of New York)
Case filed: January 10, 2011

08/12/2011 11/10/2011
2011-047

SEC v. Anthony Fareri, Fareri Financial Services, Inc. d/b/a/ Amerifinancial, and Anthony Fareri & Associates, Inc.
Case number: 09-cv-80360 (United States District Court for the Southern District of Florida)
Case filed: March 3, 2009

08/12/2011 11/10/2011
2011-046

SEC v. Robert M. Esposito, Gregory A. King, Jack R. Belluscio, and Anscott Industries, Inc.
Case number: 08-cv-00494 (United States District Court for the Middle District of Florida)
Case filed: March 17, 2008

08/12/2011 11/10/2011
2011-045

SEC v. Earthly Mineral Solutions, Inc., Natural Minerals Processing Company, Roy D. Higgs, Frank L. Schwartz, and Rick Lawton
Case number: 07-cv-01057 (United States District Court for the District of Nevada)
Case filed: August 9, 2007

08/12/2011 11/10/2011
2011-044

SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon
Case number: 03-cv-12154 (United States District Court for the District of Massachusetts)
Case filed: November 4, 2003

08/12/2011 11/10/2011
2011-043

SEC v. Gianluca Di Nardo, Corralero Holdings, Inc., Oscar Ronzoni, Paolo Busardo, Tatus Corp., and A-Round Investment SA (originally filed as SEC v. One or More Purchasers of Call Options for the Common Stock of DRS Technologies, Inc. and American Power Conversion Corp.)
Case number: 08-cv-06609 (United States District Court for the Southern District of New York)
Case filed: July 25, 2008

08/12/2011 11/10/2011
2011-042

In the Matter of Diageo plc
Administrative Proceeding File No.: 3-14490
Case filed: July 27, 2011

08/12/2011 11/10/2011
2011-041

SEC v. Matthew C. Devlin, Jamil A. Bouchareb, Daniel A. Corbin, Frederick E. Bowers, Thomas R. Faulhaber, Eric A. Holzer, Jeffrey R. Glover, Corbin Investment Holdings LLC, and Augustus Management
Case number: 08-cv-11001 (United States District Court for the Southern District of New York)
Case filed: December 18, 2008

08/12/2011 11/10/2011
2011-040

SEC v. Dell, Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, and Nicholas A.R. Dunning
Case number: 10-cv-01245 (United States District Court for the District of Columbia)
Case filed: July 22, 2010

08/12/2011 11/10/2011
2011-039

In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA
Administrative Proceeding File No.: 3-14216
Case filed: February 2, 2011

08/12/2011 11/10/2011
2011-038

SEC v. Joseph A. Dawson
Case number: 11-cv-01615 (United States District Court for the Northern District of Illinois)
Case filed: March 8, 2011

08/12/2011 11/10/2011
2011-037

SEC v. Credit Bancorp, Ltd., Credit Bancorp, Inc., Richard Jonathan Blech, Thomas M. Rittweger, and Douglas C. Brandon
Case number: 99-cv-11395 (United States District Court for the Southern District of New York)
Case filed: November 11, 1999

08/12/2011 11/10/2011
2011-036

SEC v. ConnectAJet.com, Inc., Martin T. Cantu, Martin M. Cantu, Firenze Funds LLC, Timothy T. Page, Testre LP, Verona Funds LLC, and Stephen Fayette
Case number: 09-cv-01742 (United States District Court for the Northern District of Texas)
Case filed: September 18, 2009

08/12/2011 11/10/2011
2011-035

SEC v. Nicolas Patrick Benoit Condroyer and Gilles Robert Roger
Case number: 09-cv-03600 (United States District Court for the Northern District of Georgia)
Case filed: December 22, 2009

08/12/2011 11/10/2011
2011-034

SEC v. Comverse Technology, Inc.
Case number: 11-cv-01704 (United States District Court for the Eastern District of New York)
Case filed: April 7, 2011

08/12/2011 11/10/2011
2011-033

SEC v. Citigroup Inc.
Case number: 10-cv-01277 (United States District Court for the District of Columbia)
Case filed: July 29, 2010

08/12/2011 11/10/2011
2011-032

SEC v. Randy M. Cho
Case number: 09-cv-6261 (United States District Court for the Northern District of Illinois)
Case filed: October 27, 2009

08/12/2011 11/10/2011
2011-031

SEC v. Chimay Capital Management Inc. and Guy Albert de Chimay
Case number: 10-cv-04582 (United States District Court for the Southern District of New York)
Case filed: June 11, 2010

08/12/2011 11/10/2011
2011-030

SEC v. Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments
Case number: 11-cv-00136 (United States District Court for the Northern District of California)
Case filed: January 11, 2011

08/12/2011 11/10/2011
2011-029

In the Matter of Carlson Capital, LP
Administrative Proceeding File No.: 3-14066
Case filed: September 23, 2010

08/12/2011 11/10/2011
2011-028

SEC v. Gaston E. Cantens and Teresita Cantens
Case number: 10-cv-20635 (United States District Court for the Southern District of Florida)
Case filed: March 3, 2010

08/12/2011 11/10/2011
2011-027

SEC v. Canopy Financial, Inc. and Jeremy J. Blackburn
Case number: 09-cv-07429 (United States District Court for the Northern District of Illinois)
Case filed: November 30, 2009

08/12/2011 11/10/2011
2011-026

SEC v. Robert L. Buckhannon, Terry D. Rawstern, Dale E. St. Jean, Gregory D. Tindall, Richard D. Mittasch, Christopher T. Paganes, Glenn M. Barikmo, and Imperium Investment Advisors LLC
Case number: 10-cv-02859 (United States District Court for the Middle District of Florida)
Case filed: December 21, 2010

08/12/2011 11/10/2011
2011-025

In the Matter of Brookside Capital LLC
Administrative Proceeding File No.: 3-14444
Case filed: June 28, 2011

08/12/2011 11/10/2011
2011-024

SEC v. BroCo Investments, Inc., and Valery Maltsev
Case number: 10-cv-02217 (United States District Court for the Southern District of New York)
Case filed: March 15, 2010

08/12/2011 11/10/2011
2011-023

SEC v. Joseph V. Braas and Michael J. Schlager
Case number: 11-cv-00087 (United States District Court for the Eastern District of Pennsylvania)
Case filed: January 6, 2011

08/12/2011 11/10/2011
2011-022

In the Matter of BNY Mellon Securities LLC
Administrative Proceeding File No.: 3-14191
Case filed: January 14, 2011

08/12/2011 11/10/2011
2011-021

SEC v. Carl E. Binette and Peter E. Talbot
Case number: 09-cv-30107 (United States District Court for the District Of Massachusetts)
Case filed: July 13, 2009

08/12/2011 11/10/2011
2011-020

SEC v. Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper
Case number: 09-cv-00068 (United States District Court for the District of Hawaii)
Case filed: February 18, 2009

08/12/2011 11/10/2011
2011-019

SEC v. Berkshire Resources LLC, Berkshire (40L) LLP, Berkshire 2006-5 LLP, Passmore-5 LLP, Gueydan Canal 28-5 LLP, Gulf Coast Development #12 LLP, Drilling Deep in the Louisiana Water J.V., Jason T. Rose, David G. Rose, Mark D. Long, and Yolanda C. Velazquez
Case number: 09-cv-00704 (United States District Court for the Southern District of Indiana)
Case filed: June 8, 2009

08/12/2011 11/10/2011
2011-018

SEC v. Gregg M.S. Berger, Francis A. Tribble, How Wai Hui, a.k.a. John Hui, Kwong-Chung Chan, a.k.a. Bernard Chan, Xiaoqing Du, a.k.a. Angela Du, Global Peopleline Telecom, Inc., Chi Shing Ng, a.k.a. Daniel Ng, China Digital Media Corporation, Mordechai Broudo, Shay Ben-Asulin, and M-Wise, Inc.
Case number: 11-cv-10403 (United States District Court for the Eastern District of Michigan)
Case filed: February 1, 2011

08/12/2011 11/10/2011
2011-017

SEC v. Ben-Wal Leasing Company, Ben-Wal Management, Inc., and Jerry E. Benson
Case number: 09-cv-06223 (United States District Court for the Central District of California)
Case filed: August 26, 2009

08/12/2011 11/10/2011
2011-016

In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, and Barr Rosenberg Research Center, LLC
Administrative Proceeding File No.: 3-14224
Case filed: February 3, 2011

08/12/2011 11/10/2011
2011-015

SEC v. Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia
Case number: 09-cv-21592 (United States District Court for the Southern District of Florida)
Case filed: June 11, 2009

08/12/2011 11/10/2011
2011-014

In the Matter of Aristeia Capital, LLC
Administrative Proceeding File No.: 3-14360
Case filed: May 2, 2011

08/12/2011 11/10/2011
2011-013

SEC v. Sonja Anticevic
Case number: 05-cv-06991 (United States District Court for the Southern District of New York)
Case filed: August 5, 2005

08/12/2011 11/10/2011
2011-012

SEC v. Daryl O. Anderson
Case number: 09-cv-01799 (United States District Court for the District of Nevada)
Case filed: September 10, 2009

08/12/2011 11/10/2011
2011-011

In the Matter of American Pegasus LDG LLC, American Pegasus Investment Management Inc., Benjamin P. Chui, Charles E. Hall, Jr. and Triffany Mok
Administrative Proceeding File No.: 3-14169
Case filed: December 21, 2010

08/12/2011 11/10/2011
2011-010

SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer 
Case number: 09-cv-61716 (United States District Court for the Southern District of Florida)
Case filed: October 28, 2009

08/12/2011 11/10/2011
2011-009

SEC v. Alliance One International, Inc.
Case number: 10-cv-01319 (United States District Court for the District of Columbia)
Case filed: August 6, 2010

08/12/2011 11/10/2011
2011-008

SEC v. Edward A. Allen, David L. Olson, and A&O Investments LLC 
Case number: 10-cv-01143 (United States District Court for the Northern District of Ohio)
Case filed: May 20, 2010

08/12/2011 11/10/2011
2011-007

SEC v. Jacob “Kobi” Alexander, David Kreinberg, and William F. Sorin 
Case number: 06-cv-03844 (United States District Court for the Eastern District of New York)
Case filed: August 9, 2006

08/12/2011 11/10/2011
2011-006

SEC v. Alcatel-Lucent, S.A.
Case number: 10-cv-24620 (United States District Court for the Southern District of Florida)
Case filed: December 27, 2010

08/12/2011 11/10/2011
2011-005

SEC v. Hazem Khalid Al-Braikan, United Gulf Bank (B.S.C.) E.C., KIPCO Asset Management Co., and Al-Raya Investment Co. 
Case number: 09-cv-06533 (United States District Court for the Southern District of New York)
Case filed: July 23, 2009

08/12/2011 11/10/2011
2011-004

SEC v. Advanced Technologies Group LTD, Alexander Stelmak, and Abelis Raskas
Case number: 10-cv-04868 (United States District Court for the Southern District of New York)
Case filed: June 23, 2010

08/12/2011 11/10/2011
2011-003

SEC v. David Abish, Christopher Betts, Mark Charvat, Michael Cohn, James Corcoran, Charles Distefano, Paul Feeny, Stephen Gourlay, Brian Kearney, Michael Maccaull, Timothy Matthews, Robert Pratt, Mario Rodriguez, William Scuteri, Scott Siegel, Donald Turney, Andrew Tursi and David Weeks
Case number: 00-cv-00978 (United States District Court for the Southern District of New York)
Case filed: February 9, 2000

08/12/2011 11/10/2011
2011-002

SEC v. ABB LTD
Case number: 10-cv-01648 (United States District Court for the District of Columbia)
Case filed: Sept. 29, 2010

08/12/2011 11/10/2011
2011-001

SEC v. Giuseppe Tullio Abatemarco
Case number: 10-cv-09527 (United States District Court for the Southern District of New York)
Case filed: April 20, 2011

08/12/2011 11/10/2011

Last Reviewed or Updated: Sept. 30, 2025