Defending An SEC Investigation: Jason Pickholz video rated 5 out of 5 stars: "One of the best programs, on any legal topic, I have ever seen."
Jason Pickholz taught a program for Lawline called “Defending An SEC Investigation”. Since the SEC investigation video first aired, it has been rated 5 out of 5 stars, based on more than 230 viewer ratings (as of May 19, 2021).
You can see some clips from the SEC investigation video at the bottom of this page. The complete SEC investigation video is available on-line at Lawline’s website. The program offers Continuing Legal Education credit for lawyers through Lawline.
During the video, Mr. Pickholz shares some of his 25+ years’ worth of experience (since 1995) as a securities lawyer defending clients in SEC investigations, and in securities investigations by other agencies such as the U.S. Department of Justice, the CFTC, FINRA, and State regulatory authorities. You can view Mr. Pickholz’s faculty biography on Lawline’s website by clicking here.
Joining Mr. Pickholz on the program is Seth Taube, a senior partner of Baker Botts and a former Branch Chief of Enforcement at the New York Regional Office of the SEC.
Among the topics discussed during this SEC investigation video are:
- ways in which an SEC investigation might begin;
- conflicts of interest and potential ethics issues in representing multiple clients during SEC investigations;
- some benefits of engaging separate counsel where there are multiple clients;
- corporate internal investigations and whether to self-report to the SEC;
- SEC informal inquiries;
- SEC formal investigations;
- some “best practices” for defending an SEC investigation;
- responding to SEC subpoenas for documents;
- defending a client’s SEC testimony;
- considerations for international SEC investigations;
- the Wells Notice process;
- settlement negotiations and consent orders;
- remedies available to the SEC;
- parallel proceedings by criminal authorities and other regulatory agencies;
- and more.
In 2020, Lawline won the professional excellence award for public interest from the Association for Continuing Legal Education (“ACLEA”). It also won the ACLEA’s 2017 outstanding achievement award for technology, and its 2016 award for professional excellence in programming.
Lawline provides on-line CLE programming for lawyers through its website www.lawline.com.
Some Clips From The SEC Investigation Video
Here are a few short clips from the Lawline SEC investigation video:
Jason Pickholz on conflicts of interest in SEC investigations
Jason Pickholz on why SEC informal inquiries are not “informal”
Jason Pickholz and Baker Botts senior partner Seth Taube on some of the benefits of having separate counsel for a company and its officers
* * *
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.