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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
6/10/2013 The SEC whistleblower award claimant did not provide original information to the Commission after July 21, 2010, as required by Rule 21F-4(b)(1)(iv).
  • Not Original Information
3/19/2013 In 51 seperate Covered Actions, the Commission found that the SEC whistleblower award claimant's information did not lead to a successful enforcement action. The information was deemed not to have...
  • Information Did Not Lead to the Successful Enforcement Action
2/19/2013 The SEC whistleblower award 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...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
11/13/2012 SEC found that the SEC whistleblower award claimant's information did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new...
  • Information Did Not Lead to the Successful Enforcement Action
8/21/2012 No information disclosed.
  • None Disclosed
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