Jason R. Pickholz was one of the first lawyers to win an SEC whistleblower award for a client. He was also 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 8-year history of the SEC whistleblower program.
As an SEC whistleblower lawyer, Mr. Pickholz has represented employees, officers, directors, and others in cases involving 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.
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”.
He is also the creator of SECWhistleblowerInformation.com, the authoritative on-line encyclopedia about the SEC whistleblower program.
His continuing education course for lawyers “When The Whistle Blows” has been rated 5 out of 5 stars based on over 800 reviews as of March 19, 2019.
Among his other speaking engagements, Mr. Pickholz has 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”.
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 to SEC whistleblowers, Mr. Pickholz has been representing clients before government and regulatory agencies for more than 23 years. He has represented witnesses, subjects, and targets in investigations conducted by the SEC, U.S. Attorney’s offices, the U.S. Department of Justice, state authorities including the Manhattan District Attorney’s office and the New York Attorney General’s office, FINRA and other self-regulatory organizations, FinCen (the U.S. Treasury Department), the Internal Revenue Service, the Commodities Futures Trading Commission, and the Bureau of Indian Affairs.
Among his other notable cases, Mr. Pickholz was counsel in the first anti-money laundering case brought by FinCen and the NYSE together against an NYSE member firm, was counsel in the first disciplinary case brought by FINRA, and 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.
In January 2019, Mr. Pickholz was certified by FINRA as a neutral Dispute Resolution arbitrator.
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.
You can contact Mr. Pickholz by calling 347-746-1222. Your initial consultation of up to one hour is free of charge.
Jason Pickholz on Lawline
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