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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| 5/18/2021 | Claimant's information - submitted after the SEC's investigation was already in an advanced stage - was largely duplicative and did not contribute to the success of the Covered Action. |
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| 5/17/2021 | Three Claimant/applicants were denied awards. One did not appeal. The other two, according to the SEC's Order, did not provide new information or contribute to the success of the Covered Action. |
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| 5/17/2021 | Two Claimant/applicants were denied awards. One did not appeal. The other, who apparently had not provided any information related to the Covered Action, sought "to incorporate by reference various constitutional arguments previously raised in connection with an unrelated claim" which the SEC did not entertain. |
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| 5/14/2021 | The SEC had been investigating for 18 months prior to receiving Claimant's tip, which was already known to SEC staff or did not relate to the charges in the Covered Action. |
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| 5/12/2021 | As stated in the SEC's Order, investigative staff "d[id] not recall" receiving any information from or otherwise communicating with Claimant, whose application for an award was denied accordingly. |
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| 5/12/2021 | A Claimant was denied an award as the reported information did not sufficiently relate to the subject of the Covered Action. Claimant's request for access to the SEC’s investigative files was likewise denied. |
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| 5/10/2021 | Claimant - an apparent serial filer of whistleblower tips - did not timely file this award claim and was denied on that basis. |
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| 5/03/2021 | Three Claimants were denied awards as the SEC was already investigating before any of them submitted their tips, which did not contribute to the charges or success of the Covered Action. |
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| 4/26/2021 | Claimants were denied awards as their information was not used in and had no impact on the Covered Action. |
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| 4/19/2021 | The Covered Action had already been filed when the SEC first heard from Claimant, who did not provide any substantive information. |
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