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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| 6/13/2021 | Claimant's information was never provided to or used by SEC staff in the investigation or resulting Covered Action, and Claimant did not specify in his/her award claim the submission on which the application was based.. |
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| 6/07/2021 | The SEC's Division of Examinations could not corroborate Claimant's information, which therefore was not provided to investigative staff. |
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| 6/02/2021 | Claimant's information was never provided to or used by SEC staff in the investigation or resulting Covered Action. |
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| 6/02/2021 | It appeared Claimant's tip was not received until after the Covered Action was filed, and Claimant did not specify in his/her award claim the submission on which the application was based. |
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| 5/28/2021 | Claimant failed to file for an award in the proscribed fashion, and the failure was not excused due to a lengthy, unexplained period in which the failure was not corrected. |
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| 5/28/2021 | Claimant's information - provided more than four years after the SEC had opened its investigation - was either already known to the SEC or did not serve as the basis for any charges included in the Covered Action. |
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| 5/27/2021 | Two Claimant/applicants were denied awards. One did not appeal. The other did not provide any information until the SEC's investigation was underway, and investigative staff did not rely on it. |
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| 5/21/2021 | Claimant was denied an award as he/she didn't file the tip on a Form TCR, and did not correct such failure within 30 days of retaining counsel. |
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| 5/19/2021 | Claimant's information was never provided to or used by SEC staff in the investigation or resulting Covered Action, and the application for an award was not timely. |
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| 5/19/2021 | Claimant's award application was denied because his/her information was never provided to or used by SEC staff in the investigation or resulting Covered Action. |
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