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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
11/27/2019 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...
  • Information Did Not Lead to the Successful Enforcement Action
11/27/2019 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...
  • Information Did Not Lead to the Successful Enforcement Action
11/27/2019 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...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
  • Information Did Not Lead to the Successful Enforcement Action
11/26/2019 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...
  • Information Did Not Lead to the Successful Enforcement Action
10/11/2019 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...
  • Information Did Not Lead to the Successful Enforcement Action
9/28/2019 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...
  • Information Did Not Lead to the Successful Enforcement Action
9/27/2019 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...
  • Information Did Not Lead to the Successful Enforcement Action
9/27/2019 Both claimants applications were 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...
  • Failed to Report a Securities Violation
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
  • Information Did Not Lead to the Successful Enforcement Action
9/09/2019 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...
  • Information Did Not Lead to the Successful Enforcement Action
8/19/2019 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...
  • Information Did Not Lead to the Successful Enforcement Action
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