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 [email protected]. 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 |
---|---|---|---|
2024-137
New |
In the Matter of Apex Clearing Corporation |
09/30/2024 | 12/29/2024 |
2024-136
New |
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
New |
In the Matter of Sound Point Capital Management, LP |
09/30/2024 | 12/29/2024 |
2024-134
New |
In the Matter of Edward D. Jones & Co., L.P. |
09/30/2024 | 12/29/2024 |
2024-133
New |
In the Matter of OTC Link LLC |
09/30/2024 | 12/29/2024 |
2024-132
New |
In the Matter of Cadaret, Grant & Co., Inc. |
09/30/2024 | 12/29/2024 |
2024-131
New |
In the Matter of Raymond James & Associates, Inc. |
09/30/2024 | 12/29/2024 |
2024-130
New |
In the Matter of P. Schoenfeld Asset Management LP |
09/30/2024 | 12/29/2024 |
2024-129
New |
In the Matter of LPL Financial LLC |
09/30/2024 | 12/29/2024 |
2024-128
New |
In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC |
09/30/2024 | 12/29/2024 |
2024-127
New |
In the Matter of Ameriprise Financial Services, LLC |
09/30/2024 | 12/29/2024 |
2024-126
New |
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
New |
In the Matter of RBC Capital Markets, LLC |
09/30/2024 | 12/29/2024 |
2024-124
New |
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
New |
SEC v Ripple Labs, Inc., Bradley Garlinghouse, and Christian A. Larsen |
09/30/2024 | 12/29/2024 |
2024-122
New |
In the Matter of Truist Securities, Inc., Truist Investment Services, Inc., and Trust Advisory Services, Inc. |
09/30/2024 | 12/29/2024 |
2024-120
New |
SEC v. Terraform Labs PTE, Ltd., and Do Hyeong Kwon |
09/30/2024 | 12/29/2024 |
2024-119
New |
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
New |
In the Matter of Zheng (Bruno) Wu |
09/30/2024 | 12/29/2024 |
2024-117
New |
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
New |
In the Matter of Hilltop Securities Inc. |
09/30/2024 | 12/29/2024 |
2024-115
New |
In the Matter of Cetera Advisor Networks LLC and Cetera Investment Services LLC |
09/30/2024 | 12/29/2024 |
2024-114
New |
In the Matter of First Trust Portfolios L.P. |
09/30/2024 | 12/29/2024 |
2024-113
New |
In the Matter of Great Point Capital, LLC |
09/30/2024 | 12/29/2024 |
2024-112
New |
In the Matter of Osaic Services, Inc., and Osaic Wealth, Inc. |
09/30/2024 | 12/29/2024 |
2024-111
New |
In the Matter of Piper Sandler & Co |
09/30/2024 | 12/29/2024 |
2024-110
New |
In the Matter of GHS Investments, LLC, Mark S. Grober, Sarfraz S. Hajee, and Matthew L. Schissler |
09/30/2024 | 12/29/2024 |
2024-109
New |
SEC v. Wilson J. Rondini, III, Falcon Capital LLP, and Falcon Capital Partners Limited |
09/30/2024 | 12/29/2024 |
2024-108 | SEC v. Christopher Joseph Borgiono, and Jason Allan Arthur |
08/30/2024 | 11/28/2024 |
2024-107 | SEC v. Sivannarayana Barama |
08/30/2024 | 11/28/2024 |
2024-106 | SEC v. Silvergate Capital Corporation, Alan J. Lane, Kathleen Fraher, Antonio Martino |
08/30/2024 | 11/28/2024 |
2024-105 | SEC v. Yossi Engel |
08/30/2024 | 11/28/2024 |
2024-104 | SEC v. C3 International, Inc., Steele Clarke Smith III, and Theresa Smith |
08/30/2024 | 11/28/2024 |
2024-103 | SEC v. Gene Daniel Levoff |
08/30/2024 | 11/28/2024 |
2024-102 | SEC v. Phillip W. Offill, Jr., and Justin W. Herman |
08/30/2024 | 11/28/2024 |
2024-101 | SEC v. Brook Church-Koegel, David H. Goldman, and Nicole J. Walker |
08/30/2024 | 11/28/2024 |
2024-100 | SEC v. Brent Borland, Borland Capital Group, LLC, and Belize Infrastructure Fund I, LLC |
08/30/2024 | 11/28/2024 |
2024-099 | SEC v. Prosper Beyond Moore, Prosperity Investments & Solutions, LLC f/k/a Prosperity, Investments & Lending, LLC |
08/30/2024 | 11/28/2024 |
2024-098 | SEC v. Angelo A. Alleca, Summit Wealth Management, Inc., Asset Class Diversification Fund, LP, and Private Credit Opportunities Fund, LLC |
08/30/2024 | 11/28/2024 |
2024-097 | In the Matter of Anders J. Lindgren |
07/31/2024 | 10/29/2024 |
2024-096 | SEC v Amit Bhardwaj, Dhirenkumar Patel, Srinivasa Kakkera, Abbas Saeedi, and Ramesh Chitor |
07/31/2024 | 10/29/2024 |
2024-095 | In the Matter of Janusz (John) Zukowski and Jerry Samaras |
07/31/2024 | 10/29/2024 |
2024-094 | SEC v. Gannon Giguiere, Oliver-Barret Lindsay, Andrew Hackett, Kevin Gillespie, and Annetta Budhu |
07/31/2024 | 10/29/2024 |
2024-093 | In the Matter of Anson Funds Management, LP, and Anson Advisors, Inc. |
07/31/2024 | 10/29/2024 |
2024-092 | In the Matter of HF Foods Group Inc. |
07/31/2024 | 10/29/2024 |
2024-091 | SEC v. Zhou Min Ni, and Jian Ming Ni, also known as Jonathan Ni, also known as Jianming Ni |
07/31/2024 | 10/29/2024 |
2024-090 | SEC v. John D. Fierro and JDF Capital, Inc. |
07/31/2024 | 10/29/2024 |
2024-089 | SEC v. Christopher R. Bentley and Bellatorum Resources, LLC |
07/31/2024 | 10/29/2024 |
2024-088 | SEC v. Royal Bengal Logistics, Inc., and Sanjay Singh |
07/31/2024 | 10/29/2024 |
2024-087 | SEC v. Peter D. Krieger |
07/31/2024 | 10/29/2024 |
2024-086 | SEC v. David Lee Stone and John D. Robson |
07/31/2024 | 10/29/2024 |
2024-085 | SEC v. Joseph Michael Todd, Todd Financial Services, LLC, and TFS Insurance Services LLC |
07/31/2024 | 10/29/2024 |
2024-084 | In the Matter of R.R. Donnelley & Sons Co |
07/31/2024 | 10/29/2024 |
2024-083 | SEC v. Neil S. Chandran, Garry J. Davidson, Michael T. Glaspie, Linda C. Knott, Amy S. Mossel, AEO Publishing Inc., Banner Co-op, Inc., and Bannersgo, LLC |
07/31/2024 | 10/29/2024 |
2024-082 | SEC v. Windsor Jones LLC and Anthony Collins |
07/31/2024 | 10/29/2024 |
2024-081 | SEC v. Michael J. French, MJF Holdings, LLC, and MJF Capital, LLC |
07/31/2024 | 10/29/2024 |
2024-080 | In the Matter of Raymond Lawrence Lent (dba The Putney Financial Group, Registered Investment Advisors) |
06/28/2024 | 09/26/2024 |
2024-079 | SEC v. George Heckler |
06/28/2024 | 09/26/2024 |
2024-078 | SEC v. Douglas McKelvey |
06/28/2024 | 09/26/2024 |
2024-077 | SEC v. Red Rock Secured, LLC, Sean Kelly, Anthony Spencer, and Jeffrey Ward |
06/28/2024 | 09/26/2024 |
2024-076 | SEC v. Ruless Pierre a/k/a Rules Pierre |
06/28/2024 | 09/26/2024 |
2024-075 | SEC v. Joshua Sason, Marc Manuel, Kautilya (a/k/a Tony) Sharma, Perian Salviola, Magna Management, LLC (f/k/a Magna Group, LLC), Magna Equities II, LLC (f/k/a Hanover Holdings I. LLC), MG Partners. Ltd., and Pallas Holdings, LLC |
06/28/2024 | 09/26/2024 |
2024-074 | SEC v. Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc., and Slig High Interest Liquid Savings Company |
06/28/2024 | 09/26/2024 |
2024-073 | In the Matter of Varun Aggarwal, CPA |
06/28/2024 | 09/26/2024 |
2024-072 | SEC v. Genesis Global Capital, LLC and Gemini Trust Company, LLC |
06/28/2024 | 09/26/2024 |
2024-071 | In the Matter of Intercontinental Exchange Inc., Archipelago Trading Services, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., ICE Clear Credit LLC, ICE Clear Europe Ltd., NYSE Chicago, Inc., NYSE National, Inc., and Securities Industry Automation Corporation |
06/28/2024 | 09/26/2024 |
2024-070 | SEC v. Tyler Loudon |
06/28/2024 | 09/26/2024 |
2024-069 | In the Matter of Kershner Trading Americas, LLC |
06/28/2024 | 09/26/2024 |
2024-068 | SEC v. Chimene Van Gundy, Outstanding Real Estate Solutions, Inc., Michael Trofimoff, Santos Kidd, Maria Tosta |
06/28/2024 | 09/26/2024 |
2024-067 | SEC v. 4D Circle LLC a/k/a Enoetics, Mantford C. Hawkins, and David E. Bell |
06/28/2024 | 09/26/2024 |
2024-066 | SEC v. Gerald C. Parker |
06/28/2024 | 09/26/2024 |
2024-065 | In the Matter of BF Borgers CPA PC, and Benjamin F. Borgers, CPA |
06/28/2024 | 09/26/2024 |
2024-064 | SEC v. Rahim Mohamed, Davies (“Dave”) Wong, Glenn B. Laken, Richard C. S. Tang, Zoltan Nagy, Jeffrey D. Cox, Phillip G. Sewell, Breanne M. Wong, Christophe Merani, Anna Tang, Robert W. Seeley, Richard B. Smith, Christopher R. Smith, H.E. Capital SA, Pop Holdings Ltd., Maximum Ventures Holdings LLC, Harmony Ridge Corp., and Avatele Group LLC |
06/28/2024 | 09/26/2024 |
2024-063 | SEC v. Mine Shaft Brewing LLC, Timothy A. Nemecka, John A. Logan, and Charlies V. Whittington |
05/31/2024 | 08/29/2024 |
2024-062 | SEC v. Flik, Coinspark, Ryan Felton, William W. Sparks, Jr., Owen B. Smith, and Chance B. White |
05/31/2024 | 08/29/2024 |
2024-061 | SEC v. Ongkaruck Sripetch, Amanda Flores, Brehnen Knight, Andrew McAlpine Ashmit Patel, Michael Wexler, Dominic Williams, Adtron Inc. Aka StockPalooza.com, ATG Inc., DOIT, Ltd., DOJI Capital, Inc., King Mutual Solutions Inc., Optimus Prime Financial Inc., Orca Bridge, Redline International, and UAIM Corporation |
05/31/2024 | 08/29/2024 |
2024-060 | SEC v. Roy N. Cook, Jeffrey A. Natrop, Peter S. Renner, James Rudolph and Peter Williams |
05/31/2024 | 08/29/2024 |
2024-059 | SEC v. Jonathan Mimun (aka Johnathan Maymon) and Ronn Benharav |
05/31/2024 | 08/29/2024 |
2024-058 | SEC v. Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC |
05/31/2024 | 08/29/2024 |
2024-057 | In the Matter of Senvest Management, LLC |
05/31/2024 | 08/29/2024 |
2024-056 | SEC v. Shawn C. Cutting |
05/31/2024 | 08/29/2024 |
2024-055 | SEC v. Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network |
05/31/2024 | 08/29/2024 |
2024-054 | SEC v. Charles Winn LLC, Aaron David Scott-Britten, aka Aaron David K. Britten, Ohran Emmanuel Stewart, aka Elliott Stewart, Casey Alexander, and Charlie Jake Smith |
05/31/2024 | 08/29/2024 |
2024-053 | SEC v. Treasure Enterprise LLC, Patricia Enright Gray, and Larry Allen Holley |
05/31/2024 | 08/29/2024 |
2024-052 | SEC v. Volkswagen Aktiengesellschaft, Martin Winterkorn, Volkswagen Group of America Finance, LLC, and VW Credit, Inc. |
05/31/2024 | 08/29/2024 |
2024-051 | SEC v. GA Investors and John Does Nos. 1-4 |
05/31/2024 | 08/29/2024 |
2024-050 | SEC v. Joseph A. Padilla and Kevin C. Dills |
05/31/2024 | 08/29/2024 |
2024-049 | In the Matter of Skechers U.S.A., Inc. |
04/30/2024 | 07/29/2024 |
2024-048 | SEC v. Ishan Wahi, Nikhil Wahi, and Sameer Ramani |
04/30/2024 | 07/29/2024 |
2024-047 | In the Matter of Lordstown Motors Corp. |
04/30/2024 | 07/29/2024 |
2024-046 | SEC v. Anthony B. Liddle |
04/30/2024 | 07/29/2024 |
2024-045 | SEC v. iFresh, Inc. and Long Deng |
04/30/2024 | 07/29/2024 |
2024-044 | SEC v. Brian Sewell and Rockwell Capital Management LLC |
03/29/2024 | 06/27/2024 |
2024-043 | In the Matter of TIAA-CREF Individual & Institutional Services, LLC |
03/29/2024 | 06/27/2024 |
2024-042 | In the Matter of U.S. Bancorp Investments, Inc. |
03/29/2024 | 06/27/2024 |
2024-041 | In the Matter of Oppenheimer & Co. Inc. |
03/29/2024 | 06/27/2024 |
2024-040 | In the Matter of Guggenheim Securities LLC and Guggenheim Parners Investment Management LLC |
03/29/2024 | 06/27/2024 |
2024-039 | In the Matter of Van Eck Associates Corporation |
03/29/2024 | 06/27/2024 |
2024-038 | In the Matter of David B. Bodner |
03/29/2024 | 06/27/2024 |
2024-037 | SEC v. Zachary J. Horwitz, and 1inmm Capital, LLC |
03/29/2024 | 06/27/2024 |
Last Reviewed or Updated: July 23, 2024