Since 1995, Jason R. Pickholz has been representing SEC whistleblowers in reporting securities frauds and violations to the SEC, and representing non-whistleblowers in SEC and other securities-related investigations.
On the SEC whistleblower side, Mr. Pickholz was the first lawyer 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.) Inside Counsel Magazine named this as one of the “Five milestones in the Dodd-Frank whistleblower reward program”.
It is still one of only two times that the Commission has overruled an award denial by its staff in the 9-year history of the SEC whistleblower program.
Among his notable defense cases, Mr. Pickholz has represented a senior executive officer of a billion dollar mutual fund family in the SEC’s market timing investigations; a former United States Senator in connection with an investigation into activities at the New York public pension fund; a leading specialist in the NYSE Floor Specialists cases; and a bulge bracket analyst in the Wall Street Analysts cases. He was counsel in the first disciplinary case brought by FINRA; was counsel 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; and was counsel in the first anti-money laundering case brought by FinCen and the NYSE together against an NYSE member firm.
Publications, TV & Radio, and Speaking Engagements
Mr. Pickholz is a co-author of the two-volume book, Securities Crimes, published by leading legal publisher Thomson Reuters, and is the sole author of the book’s 115 page chapter on “The SEC Whistleblower Award Program”.
His continuing education course for lawyers “When The Whistle Blows” has been rated 5 out of 5 stars based on over 1,200 reviews as of August 12, 2019.
Mr. Pickholz has also taught a course on “Incentives and Protections for the Modern Whistleblower”; chaired a program before an international audience where he spoke on “The SEC Whistleblower’s Perspective”; and was invited by a leading university to teach a lecture on SEC whistleblowers and white collar crime titled “When Bad Things Happen To Good People”.
Mr. Pickholz has also spoken on many defense-oriented topics including white collar and securities enforcement activity, parallel proceedings, securities fraud, anti-money laundering, and more. He has taught a course on “Corporate Compliance and Internal Investigations”, and written articles on such subjects as securities fraud, SRO (FINRA) disciplinary proceedings, and transnational law enforcement, among others.
In addition, Mr. Pickholz is the creator of SECWhistleblowerInformation.com, the authoritative on-line encyclopedia about the SEC whistleblower program.
Honors & Special Appointments
In recognition of his achievements, in 2015 Mr. Pickholz was nominated by his peers and elected as a Fellow of the New York Bar Foundation, an honor that is granted to just 1% of the 74,000 lawyers in the New York State Bar Association.
In addition, Mr. Pickholz was named a Board Member of the joint American Banker’s Association / American Bar Association Money Laundering Enforcement Conference Advisory Board, and was invited to be a Member of the American Bar Association’s Global Anti-Corruption Initiatives Task Force.
In January 2019, FINRA certified Mr. Pickholz as a neutral Dispute Resolution arbitrator.
Mr. Pickholz’s Clients and Cases
He has represented SEC whistleblower and defense clients from across the United States, and in investigations conducted by SEC offices throughout the country, including among others New York, New Jersey, Miami, San Francisco, Los Angeles, Dallas, Chicago, Philadelphia, Washington, D.C., Boston, Atlanta, Virginia, and Denver. Mr. Pickholz has also represented international clients from foreign nations such as Belgium, Canada, Colombia, Costa Rica, England, France, Hong Kong, Kuwait, Japan, Saudi Arabia, South Korea, and the Netherlands.
Since the SEC whistleblower program first began in 2010, as an SEC whistleblower lawyer Mr. Pickholz has been helping employees, officers, directors, and others report securities frauds and violations to the SEC. Those SEC whistleblower cases have involved broker-dealers, investment advisors, financial institutions, and public companies listed in the Fortune Top 10, Top 20, Top 50, Top 100, and Top 500, and the Forbes Global 2000. You can see examples of some of Mr. Pickholz’s many SEC whistleblower cases by clicking here.
On the defense side, Mr. Pickholz has been representing clients before government and regulatory agencies for more than 24 years. He has represented witnesses, subjects, and targets in investigations conducted by the SEC; FINRA and other self-regulatory organizations; U.S. Attorney’s offices; the U.S. Department of Justice; state authorities including the Manhattan District Attorney’s office, the New York Attorney General’s office, and the Virginia State Corporation Commission; FinCen (the U.S. Treasury Department); the Internal Revenue Service; the Commodities Futures Trading Commission; and the Bureau of Indian Affairs.
Education & Early Career
Prior to founding The Pickholz Law Offices, Mr. Pickholz was a partner at two different national law firms. He began his career as a law clerk to the Honorable Kevin Thomas Duffy, United States District Court Judge for the Southern District of New York. He obtained his J.D. degree from NYU School of Law, and graduated magna cum laude and Phi Beta Kappa from Colgate University.
How To Contact Mr. Pickholz
Whether you are thinking about becoming an SEC whistleblower, or you are caught up in an investigation by the SEC or some other agency, you can contact Mr. Pickholz by calling 347-746-1222.
Your initial consultation of up to one hour is free of charge, and you are under no obligation to hire Mr. Pickholz or The Pickholz Law Offices when it is finished. So why not call today?
Jason Pickholz on Lawline
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