United States Securities and Exchange Commission

Division of Enforcement

Application for Consideration as a Receiver

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In both settled and litigated cases, the Division of Enforcement makes recommendations to the courts regarding persons to 

assist the court in a variety of capacities, including as receivers to take control of, marshal, maintain, and/or distribute assets; 

or to operate businesses. 

If you are interested in being considered for a position as a receiver in an SEC enforcement action pending in a federal district 

court, please complete the application on the next page. Email the completed application and accompanying documents to 

receiverapplications@sec.gov. The accompanying documents must include: 

(1) a resume or similar statement of the applicant’s experience and/or qualifications as a federal equity receiver,

including support for any expertise claimed in the application; and

(2) a list of relevant experience in SEC matters, including court or forum, case name, and case number.

Prior to consideration for specific receiverships, applicants will also be required submit a current list of their prior and pending 

SEC matters to, among other things, ensure there are no conflicts of interest. 

Please note that an application does not guarantee a receivership or recommendation for a receivership. 

The Commission staff makes an independent evaluation of credentials, rates, specific expertise, geographic 

ties, and a variety of other factors in making particularized recommendations in each case.

Applications will be retained for a period of approximately three years after submission, after which the applicant must 

reapply in order to remain in consideration. Applicants should reapply sooner if they need to update a prior submission, 

noting in the Additional Information section that the submission is an update to a prior submission.
APPLICATION FOR CONSIDERATION AS A RECEIVER

Street

Applicant Name Firm Name

City State ZIP Code

Firm Website Address

Names of Additional Team Members

Email Address

Phone No. Fax No.

Preferred Location of Practice (select all that apply) Areas of Expertise (select all that apply)

7th Circuit

8th Circuit

9th Circuit

10th Circuit

11th Circuit

Insolvency/Bankruptcy/Business Reorganization

Accounting

Securities Offerings

Oil and Gas

Cryptocurrencies and ICOs

EB-5 Matters

Other (indicate other areas of expertise below; attach additional pages if needed)

1st Circuit

2nd Circuit

3rd Circuit

4th Circuit

5th Circuit

Check this box if applicant has been a receiver or other court agent in a proceeding or action in which the SEC was a party.

Application for Consideration as a Receiver (03/19) Page 1

Prior SEC Experience

6th Circuit D.C. Circuit

Check here if willing to practice in any locale,

within any circuit selected above, that is outside 

the contiguous United States, and specify below.
 Page 2

Additional Information

Please provide the names and/or titles and hourly rates for each professional who would work on a matter (including the 

applicant). Please also indicate if the rate reflects a public interest discount or any other discount from the standard charged

hourly rate. Attach additional pages if needed.

Name of Professional Hourly Rate Rate Discounted?

Alternative fee structure. Would the applicant consider contingency or alternative fee arrangements? Yes No

Receivership Staffing. Please describe how the applicant would staff the receivership. Attach additional pages if needed. 

Prior Work as Receiver or Other Court Agent. Please identify any proposed staff (including the applicant) who have 

served as a receiver or other independent person in federal or state court, and if so, list the case name(s), action number, 

and court. Attach additional pages if needed. 

Replacement/Termination as a Receiver. Has the applicant or any of the intended staffing ever been terminated or replaced as 

a receiver or other court agent for any reason other than the completion of all duties under the appointment order or 

engagement letter? Yes No 

If yes, please provide the case name, the court or forum, the action or proceeding number, and the date of termination. Attach 

additional pages if needed. 

Application for Consideration as a Receiver (03/19)
Application for Consideration as a Receiver (03/19) Page 3

Disciplinary History/Fee Disputes. Does the applicant, or any proposed team member(s), have any disciplinary history and/or 

fee disputes? Yes No 

If yes, please provide an explanation of the disciplinary history and/or fee dispute(s). Attach additional pages if needed. 

Additional Information. Please provide any additional information that the applicant believes the SEC should consider. Attach 

additional pages if needed

Application Submission. Please sign and date this application prior to submission.

I, , certify that the information contained within this Application for Consideration as

a Receiver, and any accompanying documents, is true, accurate, and complete.

Signature Date