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
202-551-4790| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| 2011-105 | In the Matter of Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA |
08/12/2011 | 11/10/2011 |
| 2011-104 | SEC v. Millennium Bank, United Trust of Switzerland S.A., UT of S, LLC, Millennium Financial Group, William J. Wise d/b/a Sterling Administration, d/b/a Sterling Investment Services, d/b/a Millennium Aviation, Kristi M. Hoegel, a/k/a Kristi M. Christopher, a/k/a Bessy Lu, Jacqueline S. Hoegel, a/k/a Jacquline S. Hoegel, a/k/a Jackie S. Hoegel, Philippe Angeloni, and Brijesh Chopra |
08/12/2011 | 11/10/2011 |
| 2011-103 | SEC v. Mike Watson Capital LLC, Michael P. Watson, and Joshua F. Escobeda |
08/12/2011 | 11/10/2011 |
| 2011-102 | SEC v. Merrill Scott & Associates Ltd., Merrill Scott & Associates, Inc., Phoenix Overseas Advisors Ltd., Gilbralter Permanente Assurance, Ltd., Patrick M. Brody, David E. Ross II, and Michael Licopantis |
08/12/2011 | 11/10/2011 |
| 2011-101 | In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
08/12/2011 | 11/10/2011 |
| 2011-100 | SEC v. Paul P. Merklinger and Encore Associated Leasing, LLC |
08/12/2011 | 11/10/2011 |
| 2011-10 | SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer |
08/12/2011 | 11/10/2011 |
| 2011-1 | SEC v. Giuseppe Tullio Abatemarco |
08/12/2011 | 11/10/2011 |
| Award Claim 2024-121 | In the Matter of Icahn Enterprises L.P. |
09/30/2024 | 12/29/2024 |
Last Reviewed or Updated: July 23, 2024