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Browse: Home / 2022 / July / 27 / SEC Denies Whistleblower Award Claim Because Disclosure was Not Voluntary

SEC Denies Whistleblower Award Claim Because Disclosure was Not Voluntary

By Securities Docket on July 27, 2022, 8:49 am

Under the SEC Whistleblower Program rules, a whistleblower’s disclosure is voluntary if it is made “before a request, inquiry, or demand that relates to the subject matter of [their] submission is directed to [the whistleblower] or anyone representing [the whistleblower] by the Commission.”

In this case, the SEC issued a Preliminary Determination denying a whistleblower award claim because the Claimant provided information “after Enforcement staff had already subpoenaed Claimant and taken Claimant’s testimony in the Investigation on a subject matter related to his/her information.”

Source: SEC Denies Whistleblower Award Claim Because Disclosure was Not Voluntary

Posted in SEC, Top | Tagged Whistleblowers

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