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The Pickholz Law Offices Celebrates Its 10th Year Anniversary!

pickholzlaw 10 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,


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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.

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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.