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Important SEC Whistleblower Information NYC Needs

For SEC whistleblower information NYC attorney Jason R. Pickholz may be able to help.  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).

One of the first types of SEC whistleblower information NYC employees, residents, and customers need has to do with the kinds of securities frauds and violations that the SEC investigates.  Some of the kinds of cases that the SEC brings involve:

  • False or misleading financial statements
  • False or misleading reporting and disclosures
  • Foreign Corrupt Practices Act (FCPA) violations
  • “Pay-to-play” violations
  • “Gatekeeper” cases against accountants, auditors, compliance professionals, and others
  • Insider trading
  • Fraud and violations involving mortgage-backed securities and collateralized debt obligations
  • Municipal securities frauds and violations
  • International investment frauds
  • Market manipulation
  • Ponzi schemes
  • and much more.

Another kind of SEC whistleblower information NYC employees and others often ask about is how the SEC whistleblower award program works.  The U.S. Congress created the SEC’s comprehensive whistleblower award program in 2010 as part of the Dodd-Frank Act.  Generally speaking, if someone reports a fraud or securities violation at the company they work for (or a fraud at another company) to the SEC, they may be eligible to become an SEC whistleblower.  If they meet the SEC’s requirements, and if the SEC collects over a certain amount of money from that company or the individuals who were responsible for the fraud, the whistleblower(s) will be entitled to receive a monetary award from the SEC.  Under the Dodd-Frank Act, the amount of that award must be between 10% - 30% of of the amount of money that the SEC collects based on the information that the whistleblower(s) provided.

For additional information about the SEC whistleblower award program, please click here.

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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.