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An SEC Whistleblower New York Law Firm Explains The Program

If you are on this page, you are either looking for an SEC whistleblower New York law firm, or are looking for more information to help you decide whether to report something you know to the U.S. Securities and Exchange Commission (SEC).  In doing your Internet research, you have probably come to realize that there are a lot of SEC whistleblower New York law firm websites that throw a lot of overwhelming information at you.  At The Pickholz Law Offices, we want to help you, not confuse you.

First of all, what is the SEC Whistleblower Award Program?  The SEC Whistleblower Award Program was created in 2010 as part of the Dodd-Frank Act.  It is the first comprehensive whistleblower award program that the SEC has ever had.

Does the SEC really give out monetary awards to its whistleblowers?  Yes.  Under the Dodd-Frank Act, assuming that all requirements are met, if one or more whistleblowers provide information to the SEC that helps the SEC to bring a successful action in which the SEC collects over $1 million from the wrongdoers, the SEC must give the whistleblower(s) a monetary award of between 10% - 30% of the amount that it collects.  In fact, The Pickholz Law Offices was one of the first SEC whistleblower New York law firms to win an SEC whistleblower award for a client.  We were also the first law firm ever to win an SEC whistleblower award on appeal to the full Commission in Washington, D.C.  This first-of-its-kind result was named by Inside Counsel Magazine as one of the "Five milestones in the Dodd-Frank whistleblower reward program".


What does the SEC investigate?  This is a good question, because the SEC does not investigate every kind of crime.  There are the obvious things that the SEC investigates, like insider trading and ponzi schemes, but there are many other things that you may not even realize the SEC has jurisdiction over.  For example, when a public company is involved (a company that has stocks that trade on a securities exchange like the NYSE or NASDAQ), many kinds of corporate frauds or securities violations can give rise to an SEC investigation of the company.  If a public company hides its sales or losses, if it mischaracterizes its profits or expenses as something other than what they really are, if it obtained those sales or profits through fraud or criminality, or if it records them improperly in its books and records, the company may be committing securities fraud.  Many people might think of these more as accounting frauds, but the SEC can and does bring cases for these kinds of frauds at public companies.  Some other kinds of frauds that the SEC investigates include:

  • Initial Public Offering frauds (IPO’s)
  • Bribery or improper payments made to foreign officials (FCPA violations)
  • Financial statement frauds at public companies
  • Fraudulent or unregistered securities offerings
  • Deceptive practices in buying or selling stocks
  •  High-Yield Investment Scams
  • Municipal securities frauds
  • And more

If you have information about violations like these, or about something else that you think the SEC might be interested in, and you would like to speak with an SEC whistleblower New York attorney, please give The Pickholz Law Offices a call.  Jason R. Pickholz, the founder of The Pickholz Law Offices, 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 74+ page chapter on the SEC Whistleblower Award Program.  Mr. Pickholz has taught continuing legal education courses for lawyers on the SEC whistleblower program, and was invited to lecture at a leading liberal arts university on SEC whistleblowers.  In recognition of Mr. Pickholz’s achievements, he was nominated by his peers and elected to be a Fellow of The New York Bar Foundation, an honor limited to just 1% of New York State attorneys.

People from all over the country have hired The Pickholz Law Offices to be their SEC Whistleblower New York law firm.  Our SEC whistleblower clients have included employees of public companies listed in the Fortune Top 10, Top 20, Top50, Top 100, and Top 500, and the Forbes Global 2000, as well as employees, officers, and directors of other companies and financial institutions.

To learn out more about the SEC Whistleblower Award Program, The Pickholz Law Offices, or Mr. Pickholz, please click on the links to the right and on the top of this page.

If you would like to speak with Mr. Pickholz, please call 347-746-1222.  Your initial conversation of up to one hour with Mr. Pickholz is free of charge.  You are under no obligation to hire The Pickholz Law Offices when your initial consultation is completed.

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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.