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SEC Whistleblower Anonymity

The SEC whistleblower program allows for SEC Whistleblower anonymity. Anonymity is of great concern for whistleblowers seeking to file a complaint or tip under the SEC Whistleblower statute. This is mostly because these anonymous whistleblowers prefer to remain working in the financial industry. To read about the pros and cons to being a whistleblower, click here.

Wall Street Sign.  Reporting fraud an SEC Whistleblower anonymity

Luckily, the SEC Act, unlike the False Claims Act, and State False Claims Acts, contains specific anonymity provisions. These anonymity provisions encourage whistleblowers to report of securities fraud.

How To Be an Anonymous Whistleblower ?

To remain anonymous and receive an award there are several steps that must be taken. First, the individual must retain an attorney and file the Form TCR through that counsel. Second, after completing the Form TCR, the SEC whistleblower attorney can either submit the Form TCR online or to the SEC via hard copy. Either way, the SEC Whistleblower attorney must complete the “attorney certification.” Third, the individual seeing SEC Whistleblower anonymity must provide the attorney with a signed copy of the Form TCR. Finally, the anonymous whistleblower must attest to its truthfulness under penalty of perjury.

SEC and the Whistleblower’s Identity

The SEC will protect SEC whistleblower anonymity to the best of its ability. This includes not disclosing it in response to Freedom of Information Act requests. That said, the SEC may be required to produce documents or other information provided by the complainant in administrative or other hearings. The production of this information could disclosure his/her identity. Thus, the SEC whistleblowers anonymity could be unintentionally blown.

Other laws allow for whistleblowers to bring information forward under different circumstances. These laws also allow individuals with knowledge of fraud to come forward and obtain a percentage of the reward if the case is successful.

Contact Us

If you believe you have an SEC Tip or Complaint and would like a free and confidential conversation with an experienced attorney, please contact us:

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