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

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|

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|