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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 [...]

January 7th, 2021|Uncategorized|

New SEC Whistleblower Rules Amendments, Part 2

How Will The New SEC Whistleblower Rules Shape the Legal Landscape? The U.S. Congress created the SEC whistleblower program to incentivize individuals to report securities violations to the U.S. Securities and Exchange Commission.  In doing so, Congress intended to assist the SEC in enforcing the federal securities laws and upholding a fair securities marketplace.   Since [...]

December 18th, 2020|Uncategorized|

New SEC Rules Amendments Raise Concerns For Whistleblower Attorneys: How Justified Are They?

Two recent, momentous announcements by the SEC grabbed the attention of SEC whistleblowers and the whistleblower law firm attorneys who represent them.  On September 28, 2020, the Securities and Exchange Commission (SEC) announced that it granted its 100th whistleblower award. On October 22, 2020, the SEC announced that it granted a $114 million whistleblower award. [...]

December 4th, 2020|Uncategorized|

Defending An SEC Investigation video Featuring Jason Pickholz

Jason Pickholz recently 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 180 viewer ratings (as of February 12, 2021). You can see some clips from the SEC investigation video at the bottom of [...]

October 19th, 2020|Uncategorized|

The Impact Of COVID-19 On SEC Whistleblower Processes And SEC Enforcement Investigations

[Updated on April 4, 2020 to reflect new developments.]  Since a national emergency was declared a little over a week ago, there has been a lot of coverage of the novel coronavirus known as COVID-19.  However, very little if any of that coverage has addressed the impact of COVID-19 on SEC whistleblower processes or its [...]

March 19th, 2020|Uncategorized|

128 Pages Of SEC Whistleblower Information: 2020 Update To Securities Crimes Book

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. [...]

February 3rd, 2020|Uncategorized|

Insider Trading: Historic US House Bill Would Clarify What It Is And When It Is Illegal

2019 Year-In-Review Part 3 For many years, it has been axiomatic that insider trading is illegal.  However, what exactly insider trading is and how to define it has caused some difficulty and conflict among the courts. In large part that is because -- believe it or not -- there is no federal statue actually defining [...]

January 15th, 2020|Uncategorized|

US Senate & House Take Up SEC Disgorgement After Kokesh: 2019 Year-In-Review Part 2

 Congress took up SEC disgorgement during 2019 In today’s post, I discuss certain developments in 2019 that concern the continued viability of SEC disgorgement as a remedy against securities law violators. These 2019 developments are of great relevance to both SEC defendants and SEC whistleblowers alike, and are worth following as we head into 2020. For decades [...]

January 6th, 2020|Uncategorized|

Senate, House & 68 IGs Unite Behind Strong Whistleblowing Policy: 2019 Year-In-Review

Amid recent calls by certain individuals to reveal the identity of “the Ukraine whistleblower”, many potential SEC whistleblowers, and SEC whistleblower lawyers, have been wondering whether the U.S. government’s whistleblowing policy is still on their side.  It is. Year-end is a time when many people reflect upon the year that has just passed.  In that [...]

December 19th, 2019|Uncategorized|

SEC Whistleblower Award Winners Have These Things In Common

This year’s Securities and Exchange Commission’s Annual Report to Congress on the SEC Whistleblower Program describes some of the common characteristics shared by past SEC whistleblower award winners.     The SEC’s 2019 Report To Congress For those who are unfamiliar with the SEC’s Annual Report, by law each year the SEC is [...]

December 9th, 2019|Uncategorized|