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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| 2/13/2016 | SEC found that the SEC award claimant's information 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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| 2/12/2016 | SEC found that the SEC award claimant's information 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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| 2/02/2016 | SEC found that the SEC whistleblower award claimant did not provide information relating to a possible securities violation, failed to submit the information in the form and manner required by program rules, and did 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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| 11/30/2015 | SEC found that the 4 SEC award claimants' information 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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| 11/30/2015 | SEC found that the SEC award claimant's information 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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| 11/30/2015 | The SEC whistleblower award claimant 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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| 11/30/2015 | SEC found that the SEC award claimant's information 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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| 11/30/2015 | The Claimant did not provide original information to the Commission after July 21, 2010, as required by Rule 21F-4(b)(1)(iv). The SEC also found that the SEC award claimant's information 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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| 10/17/2015 | SEC found that all 3 SEC award claimants' information 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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| 9/11/2015 | SEC found that all 6 SEC award claimants' information 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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