Protecting the Confidentiality of a Whistleblower

Posted on August 20th, 2019 at 4:45 PM
Protecting the Confidentiality of a Whistleblower

From the Desk of Jim Eccleston at Eccleston Law LLC:

Part II

This is the second in a three-part series.

One way is to prevent any disclosure of a whistleblower's information is to submit information to the SEC anonymously. In this case, however, to be eligible for an award, the whistleblower must have an attorney representing him in connection with both a whistleblower's submission of information and a claim for an award. The attorney must provide his/her name and contact information to the SEC at the time of submission of information. The whistleblower and attorney must follow the procedures provided in 21F-9 of the Exchange Act.


Specifically, the whistleblower's attorney must submit information on the whistleblower's behalf either through the SEC online Tips, Complaints and Referrals ("TCR") questionnaire or by emailing or faxing a hard copy Form TCR and completing the required attorney certification. The whistleblower must provide the attorney with a completed hard copy of the Form TCR signed under penalty of perjury at the time of his/her anonymous submission. The whistleblower's attorney is required to certify that he or she:


  • have verified the whistleblower's identity;
  • has reviewed the completed and signed Form TCR for completeness and accuracy and that the information is true, correct and complete to the best of the attorney's knowledge, information and belief;
  • has obtained the whistleblower's non-waivable consent to provide the SEC with the original completed and signed Form TCR
  • has consented to be legally obligated to provide the signed Form TCR within seven calendar days of receiving such a request from the SEC.

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

Tags: james eccleston, eccleston law, eccleston law llc, eccleston, whisteblower, sec, anonymous tip

Return to Archive



I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

David Y


October 20, 2021
5 First-of-Their-Kind SEC Enforcement Actions Announced

Securities and Exchange Commission (SEC) Enforcement Director Gurbir Grewal recently discussed notable first-of-their-kind enforcement actions that his division has pursued.

October 19, 2021
FINRA Targets SPACs in Most Recent Exam Sweep

The Financial Industry Regulatory Authority (FINRA) has begun an examination sweep of advisors’ involvement with special purpose acquisition companies (SPACs).

October 18, 2021
SEC’s Statement on Complex Exchange-Traded Products

The Securities and Exchange Commission (SEC) recently voted to approve a pair of rule changes proposed by Cboe BZX Exchange, Inc. to list and trade shares of new exchange traded-products: the 2x Long VIX Futures ETC and the -1x Short VIX Futures ETF.