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NYC SEC Whistleblower Law Firm

Your NYC SEC Whistleblower Law Firm

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Have you discovered corporate fraud, accounting and reporting fraud, or other securities violations at a NY or other U.S. public company or financial institution?  Are they not being fixed, or worse, are they being flat out covered up?  Have you thought about what you can and/or should do to stop it?  Do you know who can help you or what government agency you should report it to?  Are you aware that if you report it to the U.S. Securities and Exchange Commission (“SEC”), you might be eligible to receive a monetary SEC whistleblower award?  Do you know the rules and procedures for reporting it to the SEC, and the requirements to be eligible for an SEC whistleblower award?  Whether you think you know the answers to these questions or not, an NYC SEC whistleblower law firm can provide invaluable help to you in determining what actions you should take, and in helping you to take those actions.

An experienced SEC whistleblower lawyer at a dedicated SEC whistleblower law firm can explain the specifics to you in more detail.  But in general, under the SEC whistleblower program, if an individual voluntarily provides original information about a fraud or other securities violation at a public company or financial institution (i.e., a bank, accounting firm, broker/dealer, etc.) to the SEC, and the SEC brings a successful action based in part or in whole on that information, in which it collects more than $1 million, the SEC is required to give the eligible whistleblower(s) a monetary SEC whistleblower reward of between 10% - 30% of the amount collected, assuming all other conditions are met.

While the potential to receive an award is enticing, becoming an SEC whistleblower involves more than just telling the SEC about the problem.  In addition to reporting the problem, being an SEC whistleblower may require you to:

  • fill out and submit specific SEC whistleblower forms;
  • answer additional questions from the SEC staff in telephone calls or meetings with the SEC;
  • submit a written application for an award if the SEC successfully completes a case pertaining to your information;
  • as well as take other possible measures that could arise during the SEC’s investigation into your whistleblower tip.

The nature and quality of the information that you provide, the amount of your cooperation with the SEC, your adherence to the SEC’s rules and procedures, as well as other things, could affect the likelihood of your receiving an SEC whistleblower award and even the amount of that award.

Contacting a NYC SEC Whistleblower Law Firm

The Pickholz Law Offices is an NYC SEC whistleblower law firm capable of providing high-level representation equal to that of larger firms, but with the personal attention uniquely possible in a small firm.

We were one of the first NYC SEC whistleblower law firms to win an SEC whistleblower award for a client.  We were also the first law firm ever to successfully convince the full Commission in Washington D.C. to grant a client an SEC whistleblower award over an initial recommendation by the SEC Staff to deny any award.  This was the first time in the history of the SEC whistleblower program that the Commission granted an SEC whistleblower award on an appeal.  Inside Counsel magazine named our victory as one of the milestones of the SEC whistleblower program.

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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.