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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
6/24/2019 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...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
  • Information Did Not Lead to the Successful Enforcement Action
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...
  • Information Did Not Lead to the Successful Enforcement Action
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...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
  • Information Did Not Lead to the Successful Enforcement Action
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...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
  • Information Did Not Lead to the Successful Enforcement Action
  • Information Not Voluntarily Provided
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 it it had been...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
  • Information Did Not Lead to the Successful Enforcement Action
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...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
  • Information Did Not Lead to the Successful Enforcement Action
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...
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
2/11/2019
  • Form and Manner of Submission/Application Did Not Comply With Program Rules
  • Information Did Not Lead to the Successful Enforcement Action
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...
  • Information Did Not Lead to the Successful Enforcement Action
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...
  • Information Did Not Lead to the Successful Enforcement Action
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