How A Securities Attorney Can Help You

Securities attorneys or securities litigators represent companies, registered entities, investment banks, investors, and securities industry professionals in connection with disputes involving stocks, bonds, mutual funds and other types of securities.  A securities attorney may also help people or companies that are involved with enforcement investigations being conducted by:securities attorneys

  • the U.S. Securities and Exchange Commission (the “SEC”)
  • the Commodity Futures Trading Commission (“CFTC”)
  • the U.S. Department of Justice (“DOJ”)
  • a U.S. Attorney’s Office (“USAO”)
  • a State securities regulator or State prosecutor
  • a self-regulatory organization (“SRO”) like FINRA or the NYSE

Some securities attorneys defend clients in lawsuits brought by the SEC or State securities regulators, in criminal prosecutions brought by federal or state prosecutors, and/or in disciplinary proceedings brought by self-regulatory organizations such as FINRA.  A securities attorney may also represent clients in courtroom trials or in arbitrations against other individuals or companies.

Certain securities attorneys (also known as SEC whistleblower attorneys) represent people who want to provide information about possible securities violations to the SEC in accordance with the SEC’s whistleblower award program.  If the SEC’s requirements are satisfied, a qualified whistleblower(s) can receive a monetary award of between 10% – 30% of the monetary sanctions that the SEC collects in a covered action and any related actions.

In addition, if a company has reason to suspect that a violation of the securities laws may have been committed by one or more of its employees, that company may want to hire a securities attorney to conduct an internal investigation to try to uncover the details of what may have occurred.

About Securities Attorney Jason Pickholz

securities attorneyMr. Pickholz has handled many cases in the field of securities law, on both the whistleblower side and the defense side.

For example, he was one of the first securities attorneys to win an SEC whistleblower award for a client.  He is also the first securities attorney ever to successfully convince the Securities and Exchange Commission to grant his client an SEC whistleblower award over an initial recommendation by its staff to deny any award. This was the first time in the history of the SEC Whistleblower Program that the Commission overruled an adverse Preliminary Determination by its Claims Review Staff (see official SEC Award here), and was named by Inside Counsel Magazine as one of the “Five milestones in the Dodd-Frank whistleblower reward program“.

On the defense side, Mr. Pickholz has represented a public biotech company and its CEO in the SEC’s COVID-19 investigations; a company in an enforcement action brought by the CFTC involving cryptocurrency and binary options; a former United States Senator in connection with an investigation into a public pension fund; a senior executive officer in an SEC investigation of a billion dollar mutual fund family; and a leading specialist in the NYSE Floor Specialists cases.  He was counsel in the first disciplinary case brought by FINRA; the first anti-money laundering case brought by FinCen and the NYSE together against an NYSE member firm; and in two cases that Crain’s New York Business referred to as among the largest stock fraud cases of the early 21st century involving New York-based companies.

For additional examples of some of the cases that Mr. Pickholz has been involved in, please click on the “Our Cases & Results” link on the right side of this page or click here and open the various tabs on that page.

Mr. Pickholz is an author of the 2-volume book Securities Crimes, has appeared on television and radio, has taught continuing legal education courses for lawyers, has served on boards of directors and specialized committees, has written numerous articles, and has spoken on and chaired many public panels.

In recognition of his achievements, Mr. Pickholz was elected by his legal peers to be a Fellow of the New York Bar Foundation, an honor that is limited to just 1% of the 70,000+ members of the New York State Bar Association.

If you would like to speak with Mr. Pickholz, please call our offices at 347-746-1222.  Your initial consultation of up to one hour’s time is free of charge, and you are under no obligation to hire The Pickholz Law Offices when your initial consultation is concluded.

Securities attorney Jason Pickholz on conflicts of interest in defending SEC investigations

Securities attorney Jason Pickholz on SEC whistleblower awards and related actions

The above information is not and should not be construed as providing legal advice.  The use of this web site or this page does not constitute or create any attorney-client, fiduciary, or confidential relationship between The Pickholz Law Offices LLC and anyone using this web site, or anyone else.  The information contained on this website is for informational purposes only.  The content of this web site may not reflect current developments.  Prior results do not guarantee a similar outcome.  Results of prior cases or matters contained on this web site are not indicative of future results or outcomes, and should not be taken as a prediction, promise, or guarantee of any future result or outcome.  No one who accesses this web site should act or refrain from acting based on anything contained on this web site.  For additional terms and conditions governing the use of this web site, please click on the “disclaimer” link at the bottom of this page or click here.

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