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 |
08/12/2011 | 11/10/2011 |
| 2011-057 | SEC v. General Electric Company, Ionics, Inc., and Amersham plc |
08/12/2011 | 11/10/2011 |
| 2011-056 | SEC v. Gendreau & Associates, Inc., and Jacques R. Gendreau |
08/12/2011 | 11/10/2011 |
| 2011-055 | In the Matter of Gartmore Investment Limited |
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 |
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 |
08/12/2011 | 11/10/2011 |
| 2011-052 | SEC v. Gregory Todd Froning |
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 |
08/12/2011 | 11/10/2011 |
| 2011-050 | SEC v. Otto Sam Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC |
08/12/2011 | 11/10/2011 |
| 2011-049 | SEC v. Thomas P. Flanagan and Thomas T. Flanagan |
08/12/2011 | 11/10/2011 |
| 2011-048 | SEC v. Robert Feinblatt, Jeffrey Yokuty, Trivium Capital Management LLC, Sunil Bhalla, and Shammara Hussain |
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. |
08/12/2011 | 11/10/2011 |
| 2011-046 | SEC v. Robert M. Esposito, Gregory A. King, Jack R. Belluscio, and Anscott Industries, Inc. |
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 |
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 |
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.) |
08/12/2011 | 11/10/2011 |
| 2011-042 | In the Matter of Diageo plc |
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 |
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 |
08/12/2011 | 11/10/2011 |
| 2011-039 | In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA |
08/12/2011 | 11/10/2011 |
| 2011-038 | SEC v. Joseph A. Dawson |
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 |
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 |
08/12/2011 | 11/10/2011 |
| 2011-035 | SEC v. Nicolas Patrick Benoit Condroyer and Gilles Robert Roger |
08/12/2011 | 11/10/2011 |
| 2011-034 | SEC v. Comverse Technology, Inc. |
08/12/2011 | 11/10/2011 |
| 2011-033 | SEC v. Citigroup Inc. |
08/12/2011 | 11/10/2011 |
| 2011-032 | SEC v. Randy M. Cho |
08/12/2011 | 11/10/2011 |
| 2011-031 | SEC v. Chimay Capital Management Inc. and Guy Albert de Chimay |
08/12/2011 | 11/10/2011 |
| 2011-030 | SEC v. Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments |
08/12/2011 | 11/10/2011 |
| 2011-029 | In the Matter of Carlson Capital, LP |
08/12/2011 | 11/10/2011 |
| 2011-028 | SEC v. Gaston E. Cantens and Teresita Cantens |
08/12/2011 | 11/10/2011 |
| 2011-027 | SEC v. Canopy Financial, Inc. and Jeremy J. Blackburn |
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 |
08/12/2011 | 11/10/2011 |
| 2011-025 | In the Matter of Brookside Capital LLC |
08/12/2011 | 11/10/2011 |
| 2011-024 | SEC v. BroCo Investments, Inc., and Valery Maltsev |
08/12/2011 | 11/10/2011 |
| 2011-023 | SEC v. Joseph V. Braas and Michael J. Schlager |
08/12/2011 | 11/10/2011 |
| 2011-022 | In the Matter of BNY Mellon Securities LLC |
08/12/2011 | 11/10/2011 |
| 2011-021 | SEC v. Carl E. Binette and Peter E. Talbot |
08/12/2011 | 11/10/2011 |
| 2011-020 | SEC v. Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper |
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 |
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. |
08/12/2011 | 11/10/2011 |
| 2011-017 | SEC v. Ben-Wal Leasing Company, Ben-Wal Management, Inc., and Jerry E. Benson |
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 |
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 |
08/12/2011 | 11/10/2011 |
| 2011-014 | In the Matter of Aristeia Capital, LLC |
08/12/2011 | 11/10/2011 |
| 2011-013 | SEC v. Sonja Anticevic |
08/12/2011 | 11/10/2011 |
| 2011-012 | SEC v. Daryl O. Anderson |
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 |
08/12/2011 | 11/10/2011 |
| 2011-010 | SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer |
08/12/2011 | 11/10/2011 |
| 2011-009 | SEC v. Alliance One International, Inc. |
08/12/2011 | 11/10/2011 |
| 2011-008 | SEC v. Edward A. Allen, David L. Olson, and A&O Investments LLC |
08/12/2011 | 11/10/2011 |
| 2011-007 | SEC v. Jacob “Kobi” Alexander, David Kreinberg, and William F. Sorin |
08/12/2011 | 11/10/2011 |
| 2011-006 | SEC v. Alcatel-Lucent, S.A. |
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. |
08/12/2011 | 11/10/2011 |
| 2011-004 | SEC v. Advanced Technologies Group LTD, Alexander Stelmak, and Abelis Raskas |
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 |
08/12/2011 | 11/10/2011 |
| 2011-002 | SEC v. ABB LTD |
08/12/2011 | 11/10/2011 |
| 2011-001 | SEC v. Giuseppe Tullio Abatemarco |
08/12/2011 | 11/10/2011 |
Last Reviewed or Updated: Sept. 30, 2025