Skip to content

SEC Whistleblower Lawyer

Jason Pickholz - SEC whistleblower lawyer

Jason R. Pickholz was one of the first lawyers to win an SEC whistleblower award for a client.  He was also the first SEC whistleblower lawyer ever to successfully convince the Securities and Exchange Commission to grant his 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 Award Program that the Commission overruled an adverse Preliminary Determination by its Claims Review Staff.  (See official SEC Award here.)

Inside Counsel Magazine named this as one of the "Five milestones in the Dodd-Frank whistleblower reward program".  For related articles click here (NY Times) and here (Boston Business Journal).

Mr. Pickholz is a co-author of the two-volume book Securities Crimes, published by leading legal publisher Thomson Reuters, and is the sole author of the book's 128 page chapter on the SEC whistleblower program.  He has been a guest legal commentator on television and radio, served on boards of directors and specialized industry committees, written numerous articles, taught continuing education courses for lawyers, and spoken on public panels about the SEC whistleblower program, securities law, and white collar crime.

In recognition of his achievements, Mr. Pickholz was elected by his peers to be a Fellow of the New York State Bar Foundation, an honor that is limited to 1% of the 72,000 lawyers in the New York State Bar Association.

As an SEC whistleblower lawyer, Mr. Pickholz has represented numerous employees, officers, and directors in cases involving financial institutions and public companies listed in the Fortune Top 10, Top 20, Top 50, Top 100, Top 500, and the Forbes Global 2000.  You can find out more about Mr. Pickholz by clicking here.

Jason Pickholz talks about the SEC whistleblower program

Why do you need an SEC whistleblower lawyer?

Some people ask why they should hire an SEC whistleblower lawyer when they can just file their submission to the SEC online themselves.  For real life stories of the dangers of going it alone, click here and here.

An SEC whistleblower lawyer can assist you in deciding whether the Securities and Exchange Commission (“SEC”) might be interested in hearing about something that you have discovered.  SEC whistleblower lawyers can explain the complicated SEC whistleblower Rules to you and help you to understand what you have to do to receive a monetary whistleblower reward from the SEC.

The SEC’s Rules contain many requirements that must be satisfied for someone to be eligible to claim SEC whistleblower status and to claim an SEC whistleblower award.  The SEC Rules also contain some factors that may disqualify someone from being considered as an SEC whistleblower or from receiving an SEC whistleblower reward.  Generally speaking, if all of the requirements are satisfied, the SEC must give the SEC whistleblower(s) an award of at least 10% and up to a maximum of 30% of the total amount collected by the SEC.

Gavel on chess board - SEC whistleblower lawyer

The SEC also has specific procedures that you have to follow if you decide to report a fraud or violation and want to be eligible to receive an SEC whistleblower award.  For instance, you must submit a formal tip or complaint to the SEC in writing.  The SEC whistleblower Rules have specific provisions for how you must submit your written tip or complaint.  An SEC whistleblower attorney can help you to draft your tip or complaint and submit it to the SEC properly.  If you want to report a fraud to the SEC anonymously, but still be eligible for an SEC whistleblower award, the SEC Rules require you to be represented by a lawyer.

After you submit your written tip or complaint, the SEC may want to speak with you in person to help it decide whether to open an investigation into what you reported.  In a typical case, you may not get more than one hour for this initial meeting or telephone call.  An SEC whistleblower attorney can give you guidance about how to use your time most efficiently, and can work with you on how to explain things to the SEC most effectively.  An SEC whistleblower lawyer can also accompany you to the meeting or join you on the telephone call so that you do not have to go it alone.

It is not unusual for the SEC to have more questions for you while it is conducting its investigation.  An SEC whistleblower lawyer can communicate with the SEC’s lawyers for you and can help you to respond to the SEC’s questions accurately.

flag bill steps

If all other requirements are satisfied, and the SEC brings a successful case based on original information that you provided to it, and an award becomes available, you must submit a formal written claim explaining why you are entitled to an SEC whistleblower award.  Your written claim must be submitted to the SEC within a certain period of time.  An SEC whistleblower attorney can aid you in drafting your written claim for an SEC whistleblower reward and can help you submit it to the SEC properly, before your time period runs out.

If your award claim is initially denied, an SEC whistleblower lawyer can help you appeal that decision to the Commission and hopefully win an award for you.

These are just some of the things that an SEC whistleblower lawyer can do for you.

If you would like to speak with an SEC whistleblower lawyer

You can find out more information about Jason R. Pickholz by clicking here.

If you would like to see what some of Mr. Pickholz's actual clients have said about his work and dedication as their SEC whistleblower lawyer, please click on the Client Reviews link or click here.

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

If you would like to speak with an SEC whistleblower lawyer, please call Jason R. Pickholz at 347-746-1222.

Your initial conversation with Mr. Pickholz of up to one hour is free of charge.  You are under no obligation to hire Mr. Pickholz or the Pickholz Law Offices when your initial conversation is concluded.

Pickholz Law Logo
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.