SEC
Whistleblower
Attorneys
SEC WHISTLEBLOWER PROGRAM

Whistleblower Cases Denied to Date

The truth is, of the 4,000 or so submissions the SEC receives each year, the lion’s share never even make it to an investigative team. (Sidebar: our submissions usually do.) Nearly half of those denials didn’t make the cut because the submissions didn’t follow the program rules.

This keeps us awake at night.

Date Description Denial Justification Key Docs
7/07/2020 Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff...
  • Information Not Voluntarily Provided
6/04/2020 Claimant's application was denied because the Commission found that he/she failed to make his/her submission in accordance with the form and manner required by the program rules and he/she did not...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
5/29/2020 Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff...
  • Information Did Not Lead to the Successful Enforcement Action
4/20/2020 Claimants' applications were denied because the Commission found that they failed to make their submission in accordance with the form and manner required by the program rules and that information...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
  • Information Not Voluntarily Provided
4/20/2020 Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff...
  • Information Did Not Lead to the Successful Enforcement Action
4/16/2020 Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff...
  • Information Did Not Lead to the Successful Enforcement Action
3/24/2020 Claimant did not submit the required Form WB-APP to the Office of the Whistleblower within ninety calendar days of the Notice of Covered Action, as required by Rule 21F-10(b).
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
2/14/2020 Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff...
  • Information Did Not Lead to the Successful Enforcement Action
1/25/2020 Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff...
  • Information Did Not Lead to the Successful Enforcement Action
1/18/2020 Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff...
  • Information Did Not Lead to the Successful Enforcement Action
More in SEC Whistleblower Awards
Facts & Figures

Awards Granted
Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
Thank you for submitting some email to us.