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SEC Says Co. Violated Whistleblower Protection Rules By Impeding Investors

The U.S. Securities and Exchange Commission recently amended a court Complaint to add charges that a company and its owner violated SEC whistleblower protection rules.  (For past cases in which the SEC brought actions against companies for violating whistleblower protection rules, see my earlier post here.) The recent case is SEC v. Collector’s Coffee, Inc. [...]

November 25th, 2019|Uncategorized|

DB Whistleblower Award Denial Highlights The Importance Of Having Good Counsel At The Start

Last week, in a full written Opinion, a U.S. Court of Appeals upheld the U.S. Securities and Exchange Commission’s 2017 decision to deny three claimants a share of an SEC whistleblower award related to Deutsche Bank (the “DB whistleblower award”). One of the unsuccessful claimants was an individual identified in court papers as “John Doe”.  [...]

November 15th, 2019|Uncategorized|

SEC Whistleblower Info In Forbes

Forbes Article Cites SEC Whistleblower Info, The Free OnLine Encyclopedia From The Pickholz Law Offices SEC Whistleblower Info, The Pickholz Law Offices’ free online encyclopedia, appears in a February 15, 2019 article published on Forbes' website.  The Forbes article is titled “Insider Files Whistleblower Report Against Domino’s Pizza”. The article discusses a corporate insider who filed [...]

February 19th, 2019|Uncategorized|

Jason Pickholz Certified As A Neutral FINRA Arbitrator

The Pickholz Law Offices is pleased to announce that Jason Pickholz has been certified as a neutral FINRA arbitrator. About FINRA The Financial Industry Regulatory Authority (“FINRA”) is a not-for-profit self-regulatory organization authorized by the U.S. Congress “to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly.”   FINRA is overseen by the U.S. [...]

February 12th, 2019|Uncategorized|

Can SEC Whistleblower Tips Be Submitted During The Shutdown?

The U.S. government began its shutdown on December 22, 2018.  As of today, the shutdown has gone on for 13 days.  It is now the fourth longest shutdown in U.S. history, and still going.  (CNN has a chart listing all federal government shutdowns since 1976 here.)  If you are an SEC whistleblower or an SEC whistleblower [...]

January 3rd, 2019|Uncategorized|

Record-Breaking Year For SEC’s Whistleblower Award Program

According to the SEC’s Annual Report to Congress, 2018 “was a record-breaking year” for the SEC’s whistleblower award program. OWB Chief’s Message About the SEC’s Whistleblower Award Program         The SEC’s 2018 Report To Congress Each year, the U.S. Securities and Exchange Commission’s Office of the Whistleblower (“OWB”) is required [...]

November 27th, 2018|Uncategorized|

2019 Update To Securities Crimes Book Written By SEC Whistleblower Author Jason Pickholz

Thomson Reuters Releases 2019 Update to Securities Crimes 2d Thomson Reuters has released the 2019 update for the 2-volume book Securities Crimes, co-written by SEC whistleblower author Jason Pickholz. As explained by Thomson Reuters on its website, the book “provides a thorough review of the application of the securities laws and other criminal statutes in [...]

November 13th, 2018|Uncategorized|

GOP, Dems, and Independents All Agree On One Thing: The SEC’s Whistleblower Program

Senators, Congressmen, and SEC officials all have high praise for the SEC’s whistleblower program. The SEC’s Whistleblower Program Has Proven To Be A Unifying Force. As we head into the 2018 mid-term elections, one refrain seems to be dominating the public headlines:  the country is fractured.  Fractured over issues stemming from athletes kneeling during the [...]

October 15th, 2018|Uncategorized|

Do I Have A Good SEC Whistleblower Program Case?

A potential SEC whistleblower often wants to know whether he or she has a good SEC whistleblower program case.  This leads to the question of what type of SEC whistleblower program case the SEC might be interested in hearing about. Part of the answer to that question might come from looking at types of cases [...]

June 22nd, 2018|Uncategorized|

SEC Whistleblower Program Video Featuring Jason Pickholz

Jason Pickholz taught a program for Lawline called “When The Whistle Blows:  What You Need To Know About Dodd-Frank and Sarbanes Oxley”.  The SEC whistleblower program video has been rated 5 out of 5 stars, based on more than 1,300 viewer ratings (as of November 22, 2019). You can see some clips from the program at the bottom [...]

May 3rd, 2018|Uncategorized|