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Defending An SEC Investigation video Featuring Jason Pickholz

Jason Pickholz recently taught a program for Lawline called “Defending An SEC Investigation”.   In just 2 weeks since the SEC investigation video first aired, it has already been rated 5 out of 5 stars, based [...]

By |October 19th, 2020|Categories: Uncategorized|Comments Off on Defending An SEC Investigation video Featuring Jason Pickholz

The Impact Of COVID-19 On SEC Whistleblower Processes And SEC Enforcement Investigations

[Updated on April 4, 2020 to reflect new developments.]  Since a national emergency was declared a little over a week ago, there has been a lot of coverage of the novel coronavirus known as COVID-19.  [...]

By |March 19th, 2020|Categories: Uncategorized|Comments Off on The Impact Of COVID-19 On SEC Whistleblower Processes And SEC Enforcement Investigations

128 Pages Of SEC Whistleblower Information: 2020 Update To Securities Crimes Book

With the recent release of the 2020 edition of Securities Crimes, the two-volume book now contains 128 pages of detailed SEC whistleblower information, not including appendices. Securities Crimes is published by Thomson Reuters, one of [...]

By |February 3rd, 2020|Categories: Uncategorized|Comments Off on 128 Pages Of SEC Whistleblower Information: 2020 Update To Securities Crimes Book

Insider Trading: Historic US House Bill Would Clarify What It Is And When It Is Illegal

2019 Year-In-Review Part 3 For many years, it has been axiomatic that insider trading is illegal.  However, what exactly insider trading is and how to define it has caused some difficulty and conflict among the [...]

By |January 15th, 2020|Categories: Uncategorized|Comments Off on Insider Trading: Historic US House Bill Would Clarify What It Is And When It Is Illegal

US Senate & House Take Up SEC Disgorgement After Kokesh: 2019 Year-In-Review Part 2

 Congress took up SEC disgorgement during 2019 In today’s post, I discuss certain developments in 2019 that concern the continued viability of SEC disgorgement as a remedy against securities law violators. These 2019 [...]

By |January 6th, 2020|Categories: Uncategorized|Comments Off on US Senate & House Take Up SEC Disgorgement After Kokesh: 2019 Year-In-Review Part 2

Senate, House & 68 IGs Unite Behind Strong Whistleblowing Policy: 2019 Year-In-Review

Amid recent calls by certain individuals to reveal the identity of “the Ukraine whistleblower”, many potential SEC whistleblowers, and SEC whistleblower lawyers, have been wondering whether the U.S. government’s whistleblowing policy is still on their [...]

By |December 19th, 2019|Categories: Uncategorized|Comments Off on Senate, House & 68 IGs Unite Behind Strong Whistleblowing Policy: 2019 Year-In-Review