Update to Securities Crimes book written by Jason
Pickholz now available.
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 the preeminent legal publishers.
Jason Pickholz, the founder
of The Pickholz Law Offices LLC, is one of the book’s
co-authors.
Authors “Are Among The Leading Practitioners And Academics In
The Field Of Securities Law”
According to Thomson Reuters’
website, Jason Pickholz and his co-authors “are among the leading
practitioners and academics in the field of securities law”.
The Securities Crimes book “reviews both the substance
of the securities laws and the procedures employed by federal
prosecutors and the SEC in pursuing possible violations of the
law in securities-related transactions and corporate
governance and reporting.”
The book includes extensively researched coverage of federal
enforcement of the U.S. securities laws.
Chapter 1: The U.S. Securities and Exchange Commission’s history,
organization, and enforcement powers
Chapter 2: Informal and Formal SEC Investigations
Chapter 3: The SEC Whistleblower Award Program
Chapter 4: Parallel Proceedings
Chapter 5: Internationalization of Securities Crimes
Chapter 6: Criminal Statues Frequently Charged In Securities Cases
Chapter 7: Criminal Securities Case Law
Chapter 8: The Trust Indentures Act
Chapter 9: The Investment Advisers Act of 1940
Chapter 10: Sentencing in securities cases
The SEC whistleblower information chapter (Chapter 3) provides
valuable information about the
SEC whistleblower program
for SEC whistleblowers,
SEC whistleblower attorneys, and
securities attorneys alike.
Overview Of The Whistleblower Information Chapter
Jason Pickholz
Mr. Pickholz added Chapter 3, the SEC whistleblower
information chapter, to his book in 2013. He has updated it
with new information and developments every year since then.
Just a few of the topics covered in the SEC whistleblower
information chapter include:
- eligibility requirements;
- exclusions from eligibility;
-
rules for submitting
SEC whistleblower information; -
SEC whistleblower protections, including anti-retaliation,
confidentiality, and anonymity; -
SEC whistleblower award
determinations; -
considerations that might increase the amount of an
SEC whistleblower reward; - and much more.
New Whistleblower Information In This Year’s Update
The 2020 edition adds a lot of new and updated SEC
whistleblower information. For example:
-
whistleblower policy: updated information about how
the SEC’s Office of the Whistleblower (“OWB”) determines
whether to recommend that a whistleblower award be granted
or denied; -
whistleblower cases: a case decided by a U.S. Court
of Appeals determining what an award claimant is entitled to
review after receiving a Preliminary Determination denying
him or her an award; -
whistleblower law: the Commission’s reliance upon the
PennMont standard in determining whether to grant
an exception to the 90-day deadline to file an SEC
whistleblower reward claim; and the standards that the SEC
uses in deciding whether to grant a related action award; -
whistleblower examples: cases where the Commission
exercised its discretion to grant whistleblower awards,
despite finding that those whistleblowers’ submissions were
not “voluntary” under the SEC’s rules; -
whistleblower awards: a letter by a prominent U.S.
Senator to the SEC supporting large SEC whistleblower
awards; and the first award granted by the SEC under its
120-day rule; -
whistleblower retaliation: The SEC OWB’s declaration
that it views whistleblower retaliation protections as a
high priority; - and more.
How To Get Your Own Copy Of Securities Crimes 2d
You can purchase your own copy of
Securities Crimes directly from Thomson Reuters’
website
here. The book is available in both digital and paper formats.
* * *
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.
The Pickholz Law Offices represents U.S. and international clients in securities and white collar cases. The Firm has helped whistleblowers report frauds to the SEC, CFTC, and IRS, and has defended clients in investigations by the SEC, CFTC, DOJ, FINRA, and other financial and securities enforcement regulators.
The Firm’s founder, Jason Pickholz, is the author of the two-volume book Securities Crimes, has appeared on tv and radio, and has taught continuing legal education courses. A former BigLaw partner, he has been representing clients in financial and securities fraud cases since 1995. In recognition of his many achievements, Mr. Pickholz was elected by his legal peers to be a Fellow of The New York Bar Foundation, an honor limited to just 1% of all attorneys in the New York State Bar Association.
Mr. Pickholz has been counsel in many high-profile cases. He was the first attorney ever to win an SEC whistleblower award on appeal to the Commission, which Inside Counsel magazine called one of the five key events in the history of the SEC whistleblower program. On the defense side, Mr. Pickholz has defended clients in the SEC’s COVID-19 investigations, the CFTC’s cryptocurrency cases, and a former US Senator, among others.
If you want to speak with a CFTC, IRS, or SEC whistleblower lawyer, or with a white collar defense lawyer, you can call the Firm at 347-746-1222.
The above information is not and should not be construed as providing legal advice. It is not and should never be considered as a substitute for consulting with your own lawyer. 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-of-use and conditions governing the use of this web site, please view our full Terms and Conditions.