United States
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United States SEC Awards Whistleblower $20 Million, Whistleblowers are Awarded 10% to 30% if Penalties Exceed $1 Million

30th November 2022 | Hong Kong

The United States Securities & Exchange Commission (SEC) has awarded a whistleblower $20 million for providing critical information that led to successful enforcement action.   Creola Kelly, Chief of United States SEC Office of the Whistleblower: “Today’s whistleblower played a crucial role in the ultimate success of the enforcement proceeding. Whistleblowers can help advance existing investigations in meaningful ways when their information saves the agency time and resources, and when their contributions allow SEC staff to better understand complicated issues.”  Whistleblowers are awarded 10% to 30% of the money sanctioned, if penalties exceed $1 million.  The United States SEC protects the confidentiality of whistleblowers and does not disclose information that could reveal a whistleblower’s identity (Dodd-Frank Act).  The largest payout to a whistleblower is $114 million in 2020. More info below | 2022 United States Enforcement Report

“ United States SEC Awards Whistleblower $20 Million, Whistleblowers are Awarded 10% to 30% if Penalties Exceed $1 Million “

 


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Payments to whistleblowers are made out of an investor protection fund, established by Congress, which is financed entirely through monetary sanctions paid to the SEC by securities law violators. No money has been taken or withheld from harmed investors to pay whistleblower awards. Whistleblowers may be eligible for an award when they voluntarily provide the SEC with original, timely, and credible information that leads to a successful enforcement action. Whistleblower awards can range from 10 to 30 percent of the money collected when the monetary sanctions exceed $1 million.

 

$114 Million Record Payout to a Single Whistleblower

United States

In 2020, the United States Securities and Exchange Commission (SEC) has awarded a record $114 million to a single whistleblower.   In 2021, the United States Securities and Exchange Commission (SEC) has awarded approximately $110 million to a whistleblower. 

In 2021, the United States Commodity Futures Trading Commission (CFTC) awarded nearly $200 million to a single whistleblower whose specific, credible, and timely original information significantly contributed to an investigation and led to a successful enforcement action by a U.S. federal regulator and a foreign regulator.  

Related:

 

United States Whistleblowers Program

Payments to whistleblowers are made out of an investor protection fund, established by Congress, which is financed entirely through monetary sanctions paid to the SEC by securities law violators. No money has been taken or withheld from harmed investors to pay whistleblower awards. Whistleblowers may be eligible for an award when they voluntarily provide the SEC with original, timely, and credible information that leads to a successful enforcement action. Whistleblower awards can range from 10 to 30 percent of the money collected when the monetary sanctions exceed $1 million.

As set forth in the Dodd-Frank Act, the SEC protects the confidentiality of whistleblowers and does not disclose information that could reveal a whistleblower’s identity. For more information about the whistleblower program and how to report a tip, visit www.sec.gov/whistleblower.




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