Protecting a Whistleblower's Confidentiality in SEC Filings

Posted on August 21st, 2019 at 9:58 AM
Protecting a Whistleblower's Confidentiality in SEC Filings

From the Desk of Jim Eccleston at Eccleston Law LLC:

Part III

This is the third in a three-part series.

Before the SEC pays any award to a whistleblower, who has filed information to the SEC anonymously, he/she must disclose his/her identity to the SEC, and the identity must be verified by the SEC as provided in 21F-10 of the Exchange Act.

First, a whistleblower must file the Application for Award for Original Information Provided Pursuant Section 21F of the Exchange Act ("Form WB-APP") to file a claim for a whistleblower award.

Second, the Office of the Whistleblower must receive all claim forms, including any attachments within ninety (90) calendar days of the date of the Notice of Covered Action to be considered for an award.

Third, a whistleblower must submit his/her Form WB-APP to the SEC by mailing or faxing to the SEC Office of the Whistleblower.

Finally, the Office of the Whistleblower may require that a whistleblower provide additional information relating to his/her eligibility for an award or satisfaction of any conditions for an award. Following the evaluation, the Office of the Whistleblower will send a whistleblower a Preliminary Determination that will include a preliminary assessment as to whether the claim should be allowed or denied and, if approved, setting forth the proposed award amount. A whistleblower may contest the Preliminary Determination by submitting a written response to the Office of Whistleblower within thirty (30) calendar days of the date of the Preliminary Determination.

The attorneys of Eccleston Law LLC represent investors and advisors nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of practice for financial investors and advisors including Securities FraudCompliance ProtectionBreach of Fiduciary DutyFINRA Matters, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.

Related Attorneys: James J. Eccleston

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