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SEC Whistleblower NY City Law Office

Many law firms advise clients on a wide range of things.  They often do this through various departments or “practice groups” with names like “litigation group” or “corporate department”.  Through these practice groups, law firms claim to be able to help clients in various areas, such as by making filings with the government, or advising on complying with industry regulations.  However, few firms have a dedicated SEC whistleblower NY City law office.

If you are considering becoming an SEC whistleblower, it is probably a good idea to consult with a lawyer from an SEC whistleblower NY City law office that focuses on representing SEC whistleblowers.  Keep in mind that an SEC whistleblower NY City law office, like The Pickholz Law Offices, may be able to help you if you live in other States, or even in a foreign country.

If the SEC uses a whistleblower’s information in bringing a successful action and collects more than $1 million from the wrongdoers, the SEC must give the whistleblower(s) a monetary award of between 10%-30% of the amount it collects. While this may seem simple, there are many rules that govern the SEC whistleblower program and that must be followed to be eligible to receive an award.

In addition, some factual situations can give rise to more than one type of case.  For example, if an individual at a broker-dealer is lying to sell securities to unsuspecting customers, you might think you have discovered a sales fraud case.  But if one of the company’s officers knows about the salesperson’s conduct, it is possible that the company is also in violation of supervisory rules.  The SEC could bring a case based on either or both of those violations.  Therefore, when hiring a lawyer to advise you on an SEC whistleblower matter, you might be better served by hiring a lawyer who not only claims to know how to file your tip with the SEC, or what it takes to qualify for an award, but who also has had many years of experience representing clients in cases with the SEC and has developed an in-depth knowledge of the U.S. securities laws and an understanding of how the SEC interprets and applies those laws.

If you would like more information about the SEC whistleblower award program or The Pickholz Law Offices, please click on the links to the top and right sides of this page.

If you are thinking about becoming an SEC whistleblower and are interested in speaking with us, you can call us at 347-746-1222.

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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.