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
Whistleblower Office Hotline
202-551-4790Published date grouping | Notice No. | Action | Notice Date | Claim Due Date |
---|---|---|---|---|
July 2024 | 2024-097
New |
In the Matter of Anders J. Lindgren |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-096
New |
SEC v Amit Bhardwaj, Dhirenkumar Patel, Srinivasa Kakkera, Abbas Saeedi, and Ramesh Chitor |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-095
New |
In the Matter of Janusz (John) Zukowski and Jerry Samaras |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-094
New |
SEC v. Gannon Giguiere, Oliver-Barret Lindsay, Andrew Hackett, Kevin Gillespie, and Annetta Budhu |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-093
New |
In the Matter of Anson Funds Management, LP, and Anson Advisors, Inc. |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-092
New |
In the Matter of HF Foods Group Inc. |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-091
New |
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 |
July 2024 | 2024-090
New |
SEC v. John D. Fierro and JDF Capital, Inc. |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-089
New |
SEC v. Christopher R. Bentley and Bellatorum Resources, LLC |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-088
New |
SEC v. Royal Bengal Logistics, Inc., and Sanjay Singh |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-087
New |
SEC v. Peter D. Krieger |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-086
New |
SEC v. David Lee Stone and John D. Robson |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-085
New |
SEC v. Joseph Michael Todd, Todd Financial Services, LLC, and TFS Insurance Services LLC |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-084
New |
In the Matter of R.R. Donnelley & Sons Co |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-083
New |
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 |
July 2024 | 2024-082
New |
SEC v. Windsor Jones LLC and Anthony Collins |
07/31/2024 | 10/29/2024 |
July 2024 | 2024-081
New |
SEC v. Michael J. French, MJF Holdings, LLC, and MJF Capital, LLC |
07/31/2024 | 10/29/2024 |
June 2024 | 2024-080 | In the Matter of Raymond Lawrence Lent (dba The Putney Financial Group, Registered Investment Advisors) |
06/28/2024 | 09/26/2024 |
June 2024 | 2024-079 | SEC v. George Heckler |
06/28/2024 | 09/26/2024 |
June 2024 | 2024-078 | SEC v. Douglas McKelvey |
06/28/2024 | 09/26/2024 |
June 2024 | 2024-077 | SEC v. Red Rock Secured, LLC, Sean Kelly, Anthony Spencer, and Jeffrey Ward |
06/28/2024 | 09/26/2024 |
June 2024 | 2024-076 | SEC v. Ruless Pierre a/k/a Rules Pierre |
06/28/2024 | 09/26/2024 |
June 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 |
June 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 |
June 2024 | 2024-073 | In the Matter of Varun Aggarwal, CPA |
06/28/2024 | 09/26/2024 |
June 2024 | 2024-072 | SEC v. Genesis Global Capital, LLC and Gemini Trust Company, LLC |
06/28/2024 | 09/26/2024 |
June 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 |
June 2024 | 2024-070 | SEC v. Tyler Loudon |
06/28/2024 | 09/26/2024 |
June 2024 | 2024-069 | In the Matter of Kershner Trading Americas, LLC |
06/28/2024 | 09/26/2024 |
June 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 |
June 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 |
June 2024 | 2024-066 | SEC v. Gerald C. Parker |
06/28/2024 | 09/26/2024 |
June 2024 | 2024-065 | In the Matter of BF Borgers CPA PC, and Benjamin F. Borgers, CPA |
06/28/2024 | 09/26/2024 |
June 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 |
May 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 |
May 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 |
May 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 |
May 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 |
May 2024 | 2024-059 | SEC v. Jonathan Mimun (aka Johnathan Maymon) and Ronn Benharav |
05/31/2024 | 08/29/2024 |
May 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 |
May 2024 | 2024-057 | In the Matter of Senvest Management, LLC |
05/31/2024 | 08/29/2024 |
May 2024 | 2024-056 | SEC v. Shawn C. Cutting |
05/31/2024 | 08/29/2024 |
May 2024 | 2024-055 | SEC v. Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network |
05/31/2024 | 08/29/2024 |
May 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 |
May 2024 | 2024-053 | SEC v. Treasure Enterprise LLC, Patricia Enright Gray, and Larry Allen Holley |
05/31/2024 | 08/29/2024 |
May 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 |
May 2024 | 2024-051 | SEC v. GA Investors and John Does Nos. 1-4 |
05/31/2024 | 08/29/2024 |
May 2024 | 2024-050 | SEC v. Joseph A. Padilla and Kevin C. Dills |
05/31/2024 | 08/29/2024 |
April 2024 | 2024-049 | In the Matter of Skechers U.S.A., Inc. |
04/30/2024 | 07/29/2024 |
April 2024 | 2024-048 | SEC v. Ishan Wahi, Nikhil Wahi, and Sameer Ramani |
04/30/2024 | 07/29/2024 |
April 2024 | 2024-047 | In the Matter of Lordstown Motors Corp. |
04/30/2024 | 07/29/2024 |
April 2024 | 2024-046 | SEC v. Anthony B. Liddle |
04/30/2024 | 07/29/2024 |
April 2024 | 2024-045 | SEC v. iFresh, Inc. and Long Deng |
04/30/2024 | 07/29/2024 |
March 2024 | 2024-044 | SEC v. Brian Sewell and Rockwell Capital Management LLC |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-043 | In the Matter of TIAA-CREF Individual & Institutional Services, LLC |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-042 | In the Matter of U.S. Bancorp Investments, Inc. |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-041 | In the Matter of Oppenheimer & Co. Inc. |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-040 | In the Matter of Guggenheim Securities LLC and Guggenheim Parners Investment Management LLC |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-039 | In the Matter of Van Eck Associates Corporation |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-038 | In the Matter of David B. Bodner |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-037 | SEC v. Zachary J. Horwitz, and 1inmm Capital, LLC |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-036 | In the Matter of TradeStation Crypto, Inc. |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-035 | In the Matter of Morgan Stanley & Co. LLC |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-034 | SEC v. Boron Capital, LLC, BC Holdings 2017, LLC, United BNB Fund 2018, LLC, and Blake Robert Templeton |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-033 | SEC v. Mark Allan Plummer, Emilio Barrera, Jr. (A/K/A Mike Barrera), PRT Consulting, LLC D/B/A Petroleum Resources of Texas, Richmond Engineering, Inc., Todd J Prince, George Rauch (F/K/A George B Fasciano), and Todd Stuart Breitling |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-032 | SEC v. Steven Chiang a/k/a Cyrus Kong, Eric Tippetts, James Hardy, and Maurice “Butch” Chelliah |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-031 | In the Matter of The Huntington Investment Company, Huntington Securities, Inc., and Capstone Capital Markets LLC |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-030 | In the Matter of Lincoln Financial Advisors Corporation and Lincoln Financial Securities Corporation |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-029 | In the Matter of Cambridge Investment Research, Inc. And Cambridge Investment Research Advisors, Inc. |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-028 | In the Matter of Key Investment Services LLC, and KeyBanc Capital Markets Inc. |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-027 | In the Matter of Northwestern Mutual Investment Services, LLC, Northwestern Mutual Investment Management Company, LLC, and Mason Street Advisors, LLC |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-026 | SEC v. Beaxy Digital, Ltd., Artak Hamazaspyan, Windy Inc., Nicholas Murphy, Randolph Bay Abbott, Braverock Investments, LLC, Future Digital Markets, Inc., Windy Financial LLC, Future Financial LLC, and Brian Peterson |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-025 | SEC v. John Feloni and Stock Squirrel, Inc. |
03/29/2024 | 06/27/2024 |
March 2024 | 2024-024 | SEC v. Aryeh Goldsten, Adar Bays, LLC, and Adar Alef, LLC |
03/29/2024 | 06/27/2024 |
February 2024 | 2024-023 | SEC v. Jared Jeffrey David and Dale Burke Pinchot |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-022 | In the Matter of Northern Star Investment Corp. II |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-021 | SEC v. Joseph A. Cammarata, Erik Cohen, David H. Puturieri, AlphaPlus Portfolio Recovery Corp., and Alpha Plus Recovery LLC |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-020 | SEC v. Steven Keith Woodard, Sr |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-019 | SEC v. SHE Beverage Company, Inc., Lupe L. Rose, Sonja F. Shelby and Katherine E. Dirden |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-018 | In the Matter of SAP SE |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-017 | In the Matter of OEP Capital Advisors, L.P. |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-016 | In the Matter of Barnbridge Dao |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-015 | In the Matter of Brooge Energy Limited Nicolaas Lammert Paardenkooper and Lina Saheb |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-014 | In the Matter of J.P. Morgan Securities LLC |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-013 | SEC v. Crowd Machine, Inc., MetaVine, Inc., and Craig Derel Sproule |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-012 | SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliot |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-011 | SEC v. Ronald E. Filoramo |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-010 | SEC v. Robert Joseph Armijo and Joseph Financial, Inc. |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-009 | SEC v. Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-008 | In the Matter of Aon Investments USA Inc., fka Aon Hewitt Investment Consulting, Inc. |
02/29/2024 | 05/29/2024 |
February 2024 | 2024-007 | SEC v. Vincenzo Carnovale and Amar Bahadoorsingh |
02/29/2024 | 05/29/2024 |
January 2024 | 2024-006 | SEC v. Dennis M. Jali |
01/31/2024 | 04/30/2024 |
January 2024 | 2024-005 | SEC v. Mark Marchi |
01/31/2024 | 04/30/2024 |
January 2024 | 2024-004 | SEC v. Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, Elite Stock Research, Inc. |
01/31/2024 | 04/30/2024 |
January 2024 | 2024-003 | SEC v. Bradley C. Reifler |
01/31/2024 | 04/30/2024 |
January 2024 | 2024-002 | In the Matter of Credit Suisse Securities (USA) LLC; Credit Suisse Asset Management, LLC; and Credit Suisse Asset Management Limited |
01/31/2024 | 04/30/2024 |
January 2024 | 2024-001 | SEC v. Michael K. Molen, Enviro Impact Resources, Inc., Seth M. Molen, and Pixel Arcanum, Inc. |
01/31/2024 | 04/30/2024 |
December 2023 | 2023-199 | In the Matter of Royal Bank of Canada |
12/29/2023 | 03/28/2024 |
December 2023 | 2023-198 | SEC v. Marguerite Cassandra Toroian and Bell Rock Capital, LLC |
12/29/2023 | 03/28/2024 |
December 2023 | 2023-197 | In the Matter of Charter Communications, Inc. |
12/29/2023 | 03/28/2024 |
Last Reviewed or Updated: July 23, 2024