Jason Pickholz taught a program for Lawline called “Defending An SEC Investigation”. Since the SEC investigation video first aired, it has been rated 5 out of 5 stars, based on more than 230 viewer ratings (as of May 19, 2021).
You can see some clips from the SEC investigation video at the bottom of this page. The complete SEC investigation video is available on-line at Lawline’s website. The program offers Continuing Legal Education credit for lawyers through Lawline.
During the video, Mr. Pickholz shares some of his 25+ years’ worth of experience (since 1995) as a securities lawyer defending clients in SEC investigations, and in securities investigations by other agencies such as the U.S. Department of Justice, the CFTC, FINRA, and State regulatory authorities. You can view Mr. Pickholz’s faculty biography on Lawline’s website by clicking here.
Joining Mr. Pickholz on the program is Seth Taube, a senior partner of Baker Botts and a former Branch Chief of Enforcement at the New York Regional Office of the SEC.
Among the topics discussed during this SEC investigation video are:
- ways in which an SEC investigation might begin;
- conflicts of interest and potential ethics issues in representing multiple clients during SEC investigations;
- some benefits of engaging separate counsel where there are multiple clients;
- corporate internal investigations and whether to self-report to the SEC;
- SEC informal inquiries;
- SEC formal investigations;
- some “best practices” for defending an SEC investigation;
- responding to SEC subpoenas for documents;
- defending a client’s SEC testimony;
- considerations for international SEC investigations;
- the Wells Notice process;
- settlement negotiations and consent orders;
- remedies available to the SEC;
- parallel proceedings by criminal authorities and other regulatory agencies;
- and more.
In 2020, Lawline won the professional excellence award for public interest from the Association for Continuing Legal Education (“ACLEA”). It also won the ACLEA’s 2017 outstanding achievement award for technology, and its 2016 award for professional excellence in programming.
Lawline provides on-line CLE programming for lawyers through its website www.lawline.com.
Some Clips From The SEC Investigation Video
Here are a few short clips from the Lawline SEC investigation video:
Jason Pickholz on conflicts of interest in SEC investigations
Jason Pickholz on why SEC informal inquiries are not “informal”
Jason Pickholz and Baker Botts senior partner Seth Taube on some of the benefits of having separate counsel for a company and its officers
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As a securities law firm, The Pickholz Law Offices has defended public and private companies, investment institutions, officers, employees, brokers and dealers, private investors, and others in SEC investigations and in securities investigations brought by other agencies and authorities including the U.S. Department of Justice / U.S. Attorney’s Offices, FINRA, State regulators such as the New York Attorney General’s Office, and more.
Among his many notable defense cases, Mr. Pickholz represented a public biotech company and its CEO in an SEC investigation related to the federal multi-agency COVID-19 Task Force; a company in a CFTC enforcement action involving cryptocurrency and binary options; a former United States Senator in connection with activities at a public pension fund; a senior executive officer of a billion dollar mutual fund family in the SEC’s market timing investigations; and a leading specialist in the NYSE Floor Specialists cases. He was defense counsel in the first disciplinary case ever brought by FINRA; two cases that Crain’s New York Business referred to as among the largest stock fraud cases of the early 21st century involving New York-based companies; and the first anti-money laundering case brought by FinCen and the NYSE together against an NYSE member firm.
In addition to securities defense, Mr. Pickholz also represents SEC whistleblowers. He was the first lawyer ever to win an SEC whistleblower award for a client on appeal to the Commission. This is still one of only three times that the Commission has reversed an award denial by its Claims Review Staff in the ten-year history of the SEC whistleblower program.
For more information about Mr. Pickholz or The Pickholz Law Offices, you can click on any of the links in the margins of this page.
If you would like to speak with a securities attorney, please feel free to call Jason R. Pickholz at 347-746-1222.
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