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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| 7/23/2020 | Three Claimants were denied awards. Two of them never spoke to SEC investigative staff, and the third provided information after the Covered Action was already filed, which did not contribute to resolving it. |
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| 7/20/2020 | Denial of award to two joint Claimants as the SEC found that they did not provide original information leading to a successful enforcement Action. |
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| 7/18/2020 | The SEC found that its investigative staff never received any information from these two Claimants. |
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| 7/18/2020 | The investigation was opened based on information from another source, and the SEC found that its investigative staff never received any information from these two Claimants. |
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| 7/18/2020 | The SEC found that its investigative staff never received any information from these two Claimants. |
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| 7/18/2020 | The SEC found that its investigative staff never received any information from these two Claimants. |
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| 7/18/2020 | The Covered Action had already been filed when Claimant submitted his/her information, which was already known to the Commission. |
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| 7/17/2020 | The SEC found that its investigation was opened based on information received from a source other than a Claimant, and its investigative team did not receive information from or communicate with the Claimant. |
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| 7/14/2020 | The SEC did not specify a reason for its denial of this Claimant's application. It merely noted the denial and Claimant’s non-appeal, in an Order providing an award to a different Claimant. |
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| 7/06/2020 | The SEC found that a Claimant’s information was not submitted until 3 years after the opening of its investigation, and was already known. |
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