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NYSE Witnesses

"NYSE Witnesses" refers to individuals who provide information to the New York Stock Exchange (the "NYSE"). The NYSE is not an agency of the United States Government. It is technically a private organization, or a "self-regulatory organization" (an "SRO"). The NYSE does not have jurisdiction over everyone; it only has authority over organizations that are Members of the NYSE and present and former employees of those organizations.

New York Stock Exchange Board

On July 30, 2007, the NYSE's member regulation, enforcement, and arbitration operations were combined with the National Association of Securities Dealers ("NASD") to form the Financial Industry Regulatory Authority ("FINRA"). Today, FINRA conducts most of the investigations into fraud and securities violations committed by FINRA Member organizations and their employees (or "associated persons"), including those that are part of the NYSE. However, the NYSE may still investigate violations of its own Rules and other matters within its jurisdiction.

"NYSE witness" usually means someone who may have information about a violation of the NYSE Rules or federal securities laws. An NYSE witness may be someone who did nothing wrong but who came across some information that one or more other people may have committed a violation. An NYSE witness may also be someone who may have committed or helped others to commit a violation. But that is not always the case. Sometimes the NYSE thinks a person might have some information, but it is not certain. For example, this sometimes happens when the NYSE is investigating something and they want to talk to everyone who worked at a Member organization or in one of the organization's particular offices or departments, to find out who, if anyone, may know something about what the NYSE thinks happened.

If you would like information about The Pickholz Law Offices' experience representing NYSE Witnesses, or those who believe they may become an NYSE Witness, please feel free to click on the "Our Cases & Results" link and the other links on the right side of this page.

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Jason Pickholz -

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.