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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.

Jason Pickholz FINRA arbitrator certificate

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. Securities and Exchange Commission (“SEC”).

As of February 12, 2019, FINRA supervises 3,712 broker-dealer firms and 629,112 brokers.

FINRA Arbitration

According to FINRA’s website, “FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute.”

As explained on FINRA’s Arbitration Overview page:

Arbitration is an alternative to litigation or mediation in order to resolve a dispute.  Arbitration panels are composed of one or three arbitrators who are selected by the parties. They read the pleadings filed by the parties, listen to the arguments, study the documentary and/or testimonial evidence, and render a decision. The panel’s decision, called an “award” is final and binding on all the parties.

FINRA’s Overview page adds that:

Arbitration is similar to going to court, but is usually faster, cheaper and less complex than litigation.  It is a formal alternative to litigation in which two or more parties select a neutral third party, called an arbitrator, to resolve a dispute.  The arbitrator’s decision, called an award, is final and binding.

FINRA website stats
Arbitration statistics from FINRA’s website (Feb. 12, 2019)

Requirements To Become A FINRA Arbitrator

To be certified as a neutral FINRA arbitrator, applicants must:

  • complete a lengthy application;
  • pass a background check;
  • be approved by the Neutral Roster Subcommittee of the National Arbitration and Mediation Committee (NAMC);
  • complete FINRA’s Basic Arbitrator Training Program;
  • pass FINRA’s basic arbitrator examination with a score of 80% or higher; 
  • complete FINRA’s Expungement Training Program; and
  • pass FINRA’s expungement examination with a score of 80% or higher.

A neutral FINRA arbitrator is not an employee of FINRA.  A neutral FINRA arbitrator is an independent contractor.

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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.