Can SEC whistleblowers remain anonymous?

The SEC program permits whistleblowers to report anonymously by filing their disclosures through an attorney. Under this approach, the government receives only the attorney’s name and contact information. Any follow-up inquiries are relayed to the whistleblower through the attorney.

The ability to file anonymously, however, does not guarantee that the whistleblower will remain anonymous throughout the government’s investigation. The government may be able to identify the whistleblower based on the information provided. If the government initiates an enforcement action as a result of the whistleblower’s disclosure, moreover, it may need to call the whistleblower as a witness to testify about the misconduct they reported.

Whistleblowers must also disclose their identities before they can receive any award. This is required because certain individuals are prohibited from receiving whistleblower awards. However, when a whistleblower’s identity is disclosed, the government must treat that information as confidential.

The SEC whistleblower program also requires the government to treat information that might reveal the whistleblower’s identity as confidential under the Privacy Act. That requirement limits the government’s ability to share the whistleblower’s information, and potentially permits the whistleblower to sue the government over an unauthorized disclosure.

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