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The SEC Whistleblower Information New York City Employees, Residents and Customers are Looking For

If you are looking for SEC whistleblower information New York City attorney Jason R. Pickholz may be able to help you.  Mr. Pickholz is one of the first SEC whistleblower lawyers ever to win an SEC whistleblower award for a client.  (See official SEC Award here.)  He is also the first SEC whistleblower lawyer ever to convince the Securities and Exchange Commission (SEC) to grant his client a whistleblower award over an initial decision by its staff to deny an award.  This groundbreaking result was named as one of the “Five milestones in the Dodd-Frank whistleblower reward program“ by Inside Counsel Magazine.  For related articles click here (Boston Business Journal) and here (NY Times).

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One of the first types of SEC whistleblower information New York City employees, residents, and customers often want to know about is what the SEC whistleblower program is and how it works.  Generally speaking, if the information that an SEC whistleblower provides helps the SEC to bring a successful action against a company and/or against one or more individuals, and if the SEC collects more than $1 million as a result of that action, then the SEC must pay the whistleblower(s) a monetary award of at least 10% and up to 30% of the amount of money that it collects.

However, the SEC’s Rules contain many requirements that must be met for someone to be able to claim SEC whistleblower status and to be entitled to an award.  The Rules also contain some factors that may disqualify someone from being considered as an SEC whistleblower or from receiving an award.  This means that there is a lot of SEC whistleblower information New York City whistleblowers should be aware of.

A lot of the SEC whistleblower information New York City employees and others may want to know about is contained in the Dodd-Frank Act, the Securities Exchange Act, and the SEC’s Rules.  If you would like to do some of your own background research, you can find the laws and rules that make up the SEC’s whistleblower award program by looking up the following:  If you want to read the Dodd-Frank Act, its official citation is: Pub. L. No. 111-203, § 922(a), 124 Stat 1841 (2010).  If you want to read the SEC whistleblower provisions in the Securities and Exchange Act of 1934, you can find them in Section 21F of that Act.  Section 21F has the title “Securities Whistleblower Incentives and Protection”.  You may also be able to find them by using the official citation, which is 15 U.S.C. § 78u-6.  The SEC whistleblower Rules can be found at 17 CFR Part 240, §240.21F-1 through § 240.21F-17.

If you would like more information about the SEC whistleblower award program, please feel free to click on the “SEC Whistleblowers” link on the right side of this page or click here.

If you are considering becoming an SEC whistleblower and would like to speak with Mr. Pickholz, please call 347-746-1222.  Your initial conversation with Mr. Pickholz is free, which means that you are under no obligation to hire The Pickholz Law Offices after your initial consultation is finished.

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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.