Whistleblower
Advocates
Award Winning Attorneys
The truth is, of the 7,000 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 |
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| 6/24/2019 | Claimant's application was denied because the Commission concluded that the information he/she provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. Furthermore, the application was denied because the Commission found that he/she 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). |
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| 6/24/2019 | 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 to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 6/24/2019 | Claimant 2's application was denied because the Commission concluded that the information he/she provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. Claimant 3, 4, 5, and 6's applications were denied because the Commission found that they failed to make their submissions in accordance with the form and manner required by the program rules, as set forth in Rule 21F-9(a). |
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| 5/07/2019 | The SEC whistleblower award claimant did not provide original information after July 21, 2010, as required by Rule 21F-4(b)(1)(iv). Any information that was provided to the Staff after this date was not deemed voluntary because it followed a request of the Staff. Furthermore, the Commission concluded that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 4/20/2019 | Claimant's application was denied because the Commission found that he/she failed to make their submission in accordance with the form and manner required by the program rules. Even if it had been properly filed, the Commission concluded that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. Furthermore, the claimant was found not to have submitted 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). |
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| 3/26/2019 | Claimant 1's application was denied because the Commission found the information provided after that date did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. Claimant 2's application was denied because the Commission found that he/she 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). |
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| 3/08/2019 | The SEC whistleblower award claimants 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). |
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| 2/11/2019 |
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| 1/27/2019 | Claimants' applications were denied because the Commission found the information provided after that date did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 12/28/2018 | Claimants' applications were denied because the Commission found the information provided after that date did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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