Skip to content

Our Cases & Results

Prior results do not guarantee a similar outcome. Past results are not indicative of future results and should not be taken as a prediction, promise, or guarantee of any future result or outcome.

Case Categories

SEC Whistleblower Cases, IRS Whistleblower Cases & CFTC Whistleblower Cases

  • Helped client to report corporate and individual tax fraud and commercial bribery to the Internal Revenue Service.
  • Helped client to report an international Bitcoin cryptocurrency fraud to the Commodity Futures Trading Commission and to the Securities and Exchange Commission.
  • Helped client to report commercial bribery, books and records fraud, internal control violations, and supervisory violations at a Fortune Top 60 company to the Securities and Exchange Commission.
  • Helped client to report insider trading at a bulge bracket investment bank listed in the Fortune Top 100 to the Securities and Exchange Commission. Also represented client in connection with a related investigation by the U.S. Attorney’s Office.
  • Helped client to report offering fraud, misappropriation of customers’ assets, and other securities violations at a broker-dealer affiliate of a public bank listed in the Fortune Top 30, to the Securities and Exchange Commission.
  • Helped client to report market manipulation, spoofing, best execution and customer price disclosure violations, at a subsidiary of an investment company listed in the Fortune Top 200, to the Securities and Exchange Commission.
  • Helped client to report potential private equity manipulations and fraudulent portfolio valuations, at a private equity firm with hundreds of millions of dollars under management, to the Securities and Exchange Commission.
  • Helped senior officer to report various securities frauds and violations to the Securities and Exchange Commission.
  • Helped clients to report churning, unsuitability, failure to supervise, and other securities violations involving elderly retired customers of a broker dealer / investment advisory firm to the Securities and Exchange Commission.
  • Helped client to report Foreign Corrupt Practices Act (FCPA) and books and records frauds at a Fortune Top 10 company to the Securities and Exchange Commission.
  • Helped client to report securities, accounting, financial statement, and books and records frauds at a Fortune Top 40 company to the Securities and Exchange Commission.
  • Helped client to report false public statements, material public omissions, and stock market manipulation, at a leading company in its sector with a public market valuation of approximately $6 billion to the Securities and Exchange Commission.
  • Helped client to report securities, accounting, financial statement, and books and records frauds at a Fortune Top 20 public company to the Securities and Exchange Commission.
  • Helped employee of Forbes Global 2000 public company to report corporate, securities, and accounting frauds to the Securities and Exchange Commission.
  • Helped employee of a deal sponsor to report securities frauds and violations by a leading crowdfunding portal, ranked in the top 5 in its sector by several publications, to the Securities and Exchange Commission.
  • Helped employee of publicly traded private equity firm with tens of billions in assets under management to report corporate fraud, books and records fraud, and fraud on public shareholders to the Securities and Exchange Commission.
  • Helped employee of Fortune Top 500 public company to report corporate, accounting, books and records, IPO, and stock offering frauds to the Securities and Exchange Commission.
  • Helped employee of Fortune Top 500 public company to report corporate, books and records, IPO, and stock offering frauds to the Securities and Exchange Commission.
  • Helped client to report a Ponzi scheme perpetrator to the Securities and Exchange Commission.
  • Helped employee of Fortune Top 50 public company to report securities and accounting frauds to the Securities and Exchange Commission.
  • Represented the SEC whistleblower in the SEC’s successful action against Fortune Top 100 public company. Client won one of the first SEC whistleblower awards ever granted by the SEC. Successfully convinced the Securities and Exchange Commission to grant client an SEC whistleblower award over an initial recommendation by its staff to deny any award.  This was the first time in the history of the SEC Whistleblower Program that the Commission overruled an adverse Preliminary Determination by its Claims Review Staff.  (See official SEC Award here.)  This victory was named as one of the “Five milestones in the Dodd-Frank whistleblower reward program” by Inside Counsel Magazine. For related articles click here (NY Times) and here (Boston Business Journal).
  • Helped a corporate financial officer to report potential accounting and securities frauds to the Securities and Exchange Commission.
  • Helped a former officer and member of the board of directors to report a securities fraud to the Securities and Exchange Commission.
Accounting/Auditing Investigations

  • Foreign national alleged to have assisted in creating in excess of $120 million of false accounting invoices as part of alleged $450 million financial statement fraud, in parallel proceedings by the United States Attorney’s Office, the Securities and Exchange Commission, and the District Attorney’s Office.
  • Several officers of the United States subsidiaries of Royal Ahold / US Foodservice in connection with investigations by the United States Attorney’s Office, the Securities and Exchange Commission, and an internal corporate investigation, into an alleged multimillion-dollar accounting overstatement. One client resolved the SEC action on consent without admitting or denying any allegations, a suspension, and the SEC waived collection of disgorgement, fines, and penalties. No other clients named in any action by the SEC. No clients named in any action by the U.S. Attorney’s Office.
  • Senior officer of an Internet advertising company in a $50 million alleged revenue overstatement investigation by the United States Attorney’s Office for the Central District of California. Client acquitted by jury after trial.
  • President of a hospital in a Securities and Exchange Commission investigation concerning an alleged $35+ million accounting overstatement. Client not named in any governmental or civil actions.
  • CFO of a holding company in investigations by the United States Attorney’s Office, the Securities and Exchange Commission, and civil damages actions arising from the demise of a $2.5 billion Convertible Bond Fund. Client not named in any governmental or civil actions.
COVID-19 Investigations

  • Public biotech company and its CEO in an SEC investigation connected with the U.S. multi-agency COVID-19 task force (San Francisco office). Matter resolved on consent without admitting or denying allegations.
Cryptocurrency & Blockchain Investigations

  • Represented a blockchain and non-fungible token (NFT) company in connection with an investigation by the Securities and Exchange Commission (Florida office).
  • Trial counsel for a company in connection with an enforcement action by the Commodity Futures Trading Commission involving cryptocurrency and binary options (S.D. Florida).
Money Laundering Investigations

  • New York Stock Exchange Member firm in connection with the first anti-money laundering procedures case ever brought under the Bank Secrecy Act and the United States Patriot Act by the NYSE and FinCen against a Wall Street firm. Matter resolved on consent.
  • Columbian owners of a business with operations in the United States and Columbia in an action in which the U.S. Drug Enforcement Agency seized property located in the United States. No actions were brought against the clients, and all of their property was returned.
Mutual Fund Investigations (After-Hours Trading and Market Timing)

  • Senior executives of a billion-dollar mutual fund family in connection with joint investigations by the New York Attorney General and the Securities and Exchange Commission. Clients not named in any governmental or civil actions.
  • Several hedge funds and broker-dealers in separate investigations brought by the Securities and Exchange Commission, the United States Attorney’s Office, and the Commodities Futures Trading Commission. No clients named in any governmental or civil actions.
NYSE Floor Specialists Investigations

  • Senior floor broker for leading floor specialist firm in a multimillion-dollar alleged interpositioning case. Client not named in any governmental action.
  • Floor specialist firm in connection with a New York Stock Exchange investigation.
Political Investigations

  • Former United States Senator in connection with an investigation into activities at the New York Pension Fund.  Client not named in any governmental action.  See The Village Voice article here.
  • Unidentified executive quoted in the original criminal information brought by the United States Attorney’s Office (S.D.N.Y.) against former New York Assemblyman Anthony Seminario. Client was not named in the subsequent indictment and was not named in any governmental action.
Stock Options Backdating Investigations

  • Conducted an internal investigation into historical options grants and options dating practices of a public company on behalf of the company’s audit committee. The company had been listed by The Wall Street Journal as one likely to have backdated options. Company not named in any governmental or civil actions.
Other SEC Cases, and FINRA & SRO Matters

  • Corporate real estate investment sponsor, its CEO, and related corporate entities in an investigation by the Securities and Exchange Commission (New York office).  No action brought against client.
  • Treasurer of an investment bank in an investigation by FINRA (Philadelphia and New Jersey offices).
  • Financial Advisor in an investigation by FINRA (New York office).  No disciplinary proceeding brought against client.
  • Financial Advisor in an investigation by the Virginia State Corporation Commission.  No action brought against client.
  • Private investment company and its president in an investigation by the Securities and Exchange Commission (Miami office).  No action brought against client.
  • Broker-dealer firm in an investigation by the Securities and Exchange Commission (Los Angeles office).  No action brought against client.
  • Licensed attorney in connection with an investigation by the Securities and Exchange Commission (New York office).  No action brought against client.
  • Executive vice president of a securities firm in an investigation by the Securities and Exchange Commission (New York office).  No action brought against client.
  • Licensed attorney in connection with an investigation by the Securities and Exchange Commission (New York office).  No action brought against client.
  • Medical/pharmaceutical company and its officers in connection with an investigation by the Securities and Exchange Commission (Miami office) into alleged activities in the United States, Europe and the Caribbean.
  • Computer technology company and licensed attorney in connection with an investigation by the Securities and Exchange Commission (Washington, D.C. office) into SpongeTech Delivery Systems.  No actions brought against clients.
  • Second licensed attorney in connection with parallel investigations by the Securities and Exchange Commission (Washington, D.C. office) and the U.S. Attorney’s Office into SpongeTech Delivery Systems.  Client not named in U.S. Attorney’s criminal case.
  • Broker-dealer firm and its chief executive officer in an investigation by the Securities and Exchange Commission (New York office).
  • Private investment company and its owner in connection with an investigation by the Securities and Exchange Commission (Washington, D.C. office), and an inquiry by the Depository Trust & Clearing Corporation. No actions brought against client.
  • New York Stock Exchange Member firm in connection with a municipal securities investigation. Matter resolved on consent without admitting or denying allegations.
  • New York Stock Exchange Member firm in the first disciplinary action ever brought by FINRA. Matter settled following two weeks of hearings.
  • New York Stock Exchange Member firm in connection with disciplinary actions brought by the NASD’s Department of Market Regulation. Matters resolved on consent without admitting or denying allegations.
  • Real estate investment fund and one of its co-owners in an investigation by the Securities and Exchange Commission (Denver office). No action brought against clients.
  • Private investors in separate bank conversion investigations by the United States Attorney’s Office and the Securities and Exchange Commission. No clients named in any governmental or civil actions.
  • Secured voluntary dismissal of a Securities and Exchange Commission fraud action against an attorney in the United States District Court for the Eastern District of New York.
  • Brokerage firm and its owners in a disciplinary action alleging various securities violations brought by the NASD’s Department of Market Regulation.
  • Brokerage firm and its owners in a disciplinary action brought by the NASD’s Department of Market Regulation.
  • Officer of an insurance company in connection with an investigation by FINRA.
  • Transfer agency in connection with an audit by the Securities and Exchange Commission (Los Angeles office).
  • Private investor in a Securities and Exchange Commission lawsuit in the United States District Court for the Southern District of Florida, and in a related criminal proceeding in the U.S. District Court for the Eastern District of New York.
Other White-Collar Defense Cases and Multi-Agency Proceedings

  • Senior officer in connection with investigations by the Securities and Exchange Commission (NY office) and the US Attorney's Office (S.D.N.Y.), and in an enforcement action by the New York Attorney General’s Office against a registered investment advisory firm and affiliated entities for alleged securities fraud and Martin Act violations.
  • Obtained the Securities and Exchange Commission’s (Chicago office) voluntary dismissal of all fraud charges against client after the submission of opening cases at trial held in the Southern District of New York.  Also represented client in connection with a parallel criminal investigation by the United States Attorney’s Office (Texas).  Client was not named in any action by the US Attorney’s Office.
  • Obtained lowest sentence and largest downward sentencing departure of any defendant for a client who co-owned a foreign broker-dealer in a case involving multi-national stock manipulation, stock fraud, money laundering, and other allegations (S.D. Florida).  Client was sentenced to only 18 months, while other defendants received as much as 20 years in prison.   Also represented client in parallel investigation by the Securities and Exchange Commission (Washington, D.C. office).
  • Real estate company and its owners in connection with an investigation by the United States Attorney’s Office (Arizona), the Department of the Interior, and the Bureau of Indian Affairs into a government development project.
  • Two officers of a foreign company in connection with a criminal investigation by the Anti-Trust Division of the United States Department of Justice.
  • Company president in connection with an investigation by the United States Attorney’s Office into a hedge fund collapse resulting in millions of dollars of alleged losses to public pension funds; represented the same executive in connection with a parallel investigation by the Securities and Exchange Commission (Philadelphia office). Client not named in any governmental or civil actions.
  • Private investor/consultant in a Securities and Exchange Commission lawsuit in the United States District Court for the Southern District of New York against a public company accused of securities fraud, market manipulation and other securities law violations, and in a related investigation by the United States Attorney’s Office for the Southern District of New York.
  • Hedge fund consultant accused of receiving confidential electronic information concerning rate structures.
  • Transfer agency and its president in connection with an investigation by the United States Attorney’s Office (Seattle, Washington) and unrelated investigations by the Securities and Exchange Commission (San Francisco, Los Angeles, and Washington, D.C. offices). Clients not named in any governmental or civil actions.
  • Firm engaged in the buying and selling of public shell companies and its president in connection with an investigation by the United States Attorney’s Office (Virginia), and unrelated inquiries by the Securities and Exchange Commission (Los Angeles and Washington, D.C. offices). Clients not named in any governmental or civil actions.
  • Former general counsel for a company in an investigation by the United States Attorney’s Office for the Southern District of New York. Client not named in any governmental or civil actions.
  • Brokerage firm and its owner in connection with an investigation by the United States Attorney’s Office for the Southern District of New York into sales of interests in oil wells. Clients not named in any governmental or civil actions.
  • Broker in a criminal enterprise prosecution by the Manhattan District Attorney’s Office.
  • Several domestic and foreign clients in joint SEC – Department of Justice investigations in various locations throughout the United States.
  • Numerous individuals, including corporate officers, directors and executives, and investment bankers, brokers, financial consultants, registered representatives, floor specialists, and others, in regulatory and white collar matters at the self-regulatory, state, and federal levels, as well as in civil matters and arbitrations.
Civil Matters: Plaintiff

  • Foreign investment company in a $12+ million arbitration against one of the top five Wall Street firms and two of its registered representatives concerning mutual fund and other securities transactions.  (NASD-DR Arbitration).
  • Venture capital firm whose managing members included, among others, a partner at Soros Private Equity Partners LLC and the former President and CEO of the Salt Lake Olympic Committee, in a shareholders’ derivative lawsuit in the Supreme Court of the State of New York against numerous individual and corporate defendants including Societe Generale.
  • Former leading technology analyst in a $10+ million NYSE arbitration against his former employer, a bulge bracket investment bank.  (NYSE Arbitration).
  • Foreign commercial leaseholder in dispute regarding a failed domestic real estate project.
  • Medical practice and medical facility in a lawsuit against a hospital, a competing medical facility, and two former employee doctors.  (N.Y. Supreme Court, N.Y. Co.).
  • Served as local counsel to two international high-end clothing companies in a trade dress infringement case in the United States District Court for the Southern District of New York. See Louis Vuitton Malletier and Marc Jacobs International, L.L.C. v. The Wet Seal, Inc., 04 Civ. 07754 (S.D.N.Y.).
Civil Matters: Defense

  • Financial officer of a leading independent financial services firm in connection with an employment-related matter.
  • Financial planner in an internal investigation conducted by one of the largest independent broker-dealers in the U.S.
  • New York Stock Exchange Member firm in the arbitration of a claim for several hundred million dollars in alleged damages stemming from auction-rate securities.  (NASD Arbitration).
  • New York Stock Exchange Member firm in the arbitration of a claim for approximately $15 million in alleged damages stemming from auction-rate securities. (NASD Arbitration).
  • New York Stock Exchange floor specialist firm in a class action lawsuit in the United States District Court for the Southern District of New York.
  • New York Stock Exchange Member firm in a $5+ million arbitration. The arbitration panel rendered an award in favor of client after full hearing on the merits, award was confirmed by the New York Supreme Court, obtained dismissal of claimant’s appeal from that award on motion without a hearing.  (NASD Arbitration).
  • New York Stock Exchange Member firm in a $1+ million arbitration.  (NASD Arbitration).
  • Broker in a lawsuit in the United States District Court for the Southern District of New York alleging prime bank fraud. Jury rendered a complete defense verdict at trial.
  • Private investor in a lawsuit filed in the New York Supreme Court alleging securities fraud and breach of contract. After filing the client’s opening brief on a motion to dismiss the case, the plaintiff voluntarily dismissed its lawsuit against the client. (N.Y. Sup. Ct., N.Y. Co.).
  • Brokerage firm and its owners in multiple arbitrations brought by former business partners over the termination of business relationships and the sale of the brokerage firm.
  • Financial advisor in an NASD arbitration. Obtained dismissal of the arbitration without liability for any portion of settlement fee, and with expungement of the client’s CRD.  (NASD Arbitration, related S.D.N.Y. proceeding).
  • Financial advisor in an NASD arbitration. Obtained dismissal of the arbitration without liability or any payment of a settlement fee, and with expungement of the client’s CRD.  (NASD Arbitration).
Legal Consulting Engagements

  • An international law firm concerning the potential application of the Federal Tort Claims Act and the Administrative Procedure Act to its client, an international mining company.
  • Foreign bank concerning potential application of United States criminal, money laundering, and securities laws to transaction under consideration.
  • Executives of a major Wall Street investment firm, in connection with the sale of their former business to the firm and in connection with renegotiations over their ongoing annual compensation.
  • One of the leading accounting firms serving the Broadway theatre community, in connection with certain business affairs. Also represented the founding partners of the firm in an arbitration alleging breach of contract against their former firm. (AAA Arbitration).
  • President and CEO of an entertainment company that co-sponsored an annual film festival in New York City bearing the company’s name, related to a business dispute with some of its former corporate business partners.
  • Internet start-up company and its founders, in connection with employment-related issues concerning their former employer, and in connection with forming their company.
  • Internet marketing company, in connection with general business advice.
  • Private investment company and its owner, in connection with statements made on an Internet blog site.
  • Former co-owner of a real estate investment fund, in connection with a dispute regarding a former partner.
Pickholz Law Logo
Jason Pickholz - pickholzlaw.com

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.