The Pickholz Law Offices Celebrates Its
10th Year Anniversary!

It is hard to believe that it has been ten years since I set
out to form my own law firm.

My vision was to create a law firm that would handle all types
of securities investigations, from the SEC and the DOJ, to
State authorities, to FINRA and other SROs, however the client
might be situated, be it as a defendant, witness, or
whistleblower.

At the time, I received cautionary advice that I would not be
able to represent securities defendants and witnesses while
also representing SEC whistleblowers. According to that
sentiment, corporate and individual defendants would not hire
an attorney who represents SEC whistleblowers. SEC
whistleblowers would not hire an attorney who represents
defendants. Regulators would not respond well to an attorney
who represents both sides. Supposedly, I would have to choose
one or the other.

Fortunately, my friends, present and former colleagues, and
clients supported and encouraged me. My very first client was
a defendant in an SEC investigation that later went to trial.
My second client was an SEC whistleblower. Over the ensuing
ten years, colleagues, former clients, and even law school
professors and news reporters referred new clients to me, on
both sides. Far from being resistant, lawyers at the various
government agencies and SROs embraced the dual nature of my
practice as both defense attorney and whistleblower counsel.

White collar and corporate colleagues joined me in presenting
programs about both SEC whistleblower cases and securities
defense cases. For example, I presented a live program along
with the first Chief of the SEC’s Office of the
Whistleblower, and white collar defense partners from
Patterson Belknap Webb & Tyler and Arent Fox. An
employer-side partner at Epstein Becker Green and I taught an
online CLE program about the Dodd-Frank (SEC) whistleblower
program and the Sarbanes-Oxley Act, which we reunited to
update a few years later. And just a few months ago, a white
collar defense partner from Baker Botts joined me on a program
about how to defend an SEC investigation.

During 2020, I defended a public company and its CEO in an SEC
investigation related to the federal multi-agency COVID-19
task force; a private company in a cryptocurrency and binary
options case pending in federal court; a corporate client, its
CEO, and related entities in an SEC investigation; and
individual clients in investigations by the SEC, US
Attorney’s Office, FINRA, the NY Attorney
General’s Office, the Virginia State Corporation
Commission, internal corporate investigations, and an
investigation by an outside professional organization.

Also in 2020, I represented SEC whistleblower clients in
submitting new tips to the SEC, another client in connection
with an SEC award application, and continued to work on
pending SEC whistleblower cases filed on behalf of other
clients previously.

None of this would have been possible without the help,
support, and encouragement that I have consistently received
these past ten years from my family, friends, clients, and
colleagues in both private practice and in the regulatory and
enforcement sectors. To all of you, I extend my thanks and
heartfelt appreciation.

To those of you with whom I may not have spoken in a while,
the tragic losses due to COVID-19 have taught us that every
day is precious. But it has also taught us that it is never
too late to reconnect with old friends and acquaintances. I
sincerely hope that we will. Please feel free to reach out to
me at any time.

To everyone, I wish you all a Happy and Healthy New Year, and
all the best for 2021.

Yours Truly,

Jason

* * *

About the Pickholz Law Offices LLC

The Pickholz Law Offices LLC is a law firm that focuses on
representing clients involved with investigations conducted by
the U.S. Securities and Exchange Commission, FINRA, and other
securities regulators.

The Pickholz Law Offices has represented employees, officers,
and others in SEC whistleblower cases involving financial
institutions and public companies listed in the Fortune Top
10, Top 20, Top 50, Top 100, Top 500, and the Forbes Global
2000. We were the first law firm ever to win an SEC
whistleblower award for a client on appeal to the full
Commission in Washington. Inside Counsel magazine named this
achievement one of the five key events of the SEC
whistleblower program. Examples of the
Firm’s SEC whistleblower cases are available here.

In addition to representing SEC whistleblowers, since 1995 the
Firm’s founder, Jason R. Pickholz, has also represented many
clients in securities enforcement investigations conducted by
the SEC, FINRA, the U.S. Department of Justice and US
Attorney’s Offices, State authorities, and more. Examples of
some of the many
securities enforcement cases that Mr. Pickholz has been
involved with are available here.

You can see what actual clients have had to say about The
Pickholz Law Offices by going to the
Client Reviews page on our website or by clicking here.

How to Contact the Pickholz Law Offices LLC

If you would like to speak with a securities lawyer or SEC
whistleblower attorney, please feel free to call Jason R.
Pickholz at 347-746-1222.

The Pickholz Law Offices remains open and will be fully
operational through teleworking while we all grapple with this
terrible pandemic. We hope that all of our clients,
colleagues, friends, and their families remain safe and
healthy. Our thoughts and prayers go out to everyone who has
been affected by COVID-19.