The work of a whistleblower with the Securities and Exchange Commission (SEC) can be seen as a journey.  An attorney from an SEC whistleblower NYC law office can assist and guide you from the earliest stages of exploring your eligibility as an SEC whistleblower, to organizing your information and submitting a compelling presentation to the SEC, through interacting with the SEC Staff, applying for a monetary whistleblower award, and, in a worst case scenario, appealing an adverse award decision by the SEC’s Claims Review Staff to the Commission in Washington, D.C.


When you make your first call to an SEC whistleblower NYC law office, you may not even be sure whether or not your information qualifies you to be a part of the program, or how the SEC whistleblower award program works.  That is not an uncommon way to start your journey.  An SEC whistleblower attorney can help you to assess and organize your information to determine if you may be eligible for the SEC whistleblower award program, and whether the type of corporate or securities crime you have uncovered is the kind that the SEC investigates.


One misconception is that all a whistleblower has to do with their information is mail it in, so to speak.  However, the SEC receives thousands of whistleblower tips each year.  It is important to present your information in a way that will be the most helpful to the SEC and hopefully convince it to investigate your case.  Simply “mailing it in” can be risky, to say the least.  As the saying goes, “first impressions count”.  An attorney from an SEC whistleblower NYC law office can help you prepare your submission in a compelling way.


During the course of the SEC’s investigation, the SEC Staff may have questions for you.  It can be nerve-wracking to get an out-of-the-blue phone call showing a caller-ID from “US Government” or “US Securities and Exchange Commission”, even more so if there are people around.  In addition, at some point, or at several points, you may discover some more information that you think would be helpful for the SEC to know about.  It can be stressful staring at your phone knowing that if you dial that number you will be speaking with an enforcement lawyer for the United States government.  An attorney from an SEC whistleblower NYC law office can take these pressures off of you by handling those telephone calls for you.  

Sometimes the SEC may want to speak with you or meet with you personally.  It can be uncomfortable telling an SEC lawyer that the time when they want to speak or meet is not good for you.  It can also be stressful for someone who is not used to interacting with the SEC to stay focused during these phone calls or meetings, which can sometimes go on for several hours.  An attorney from an SEC whistleblower NYC law office can work out dates and times that are good for you, can prepare you for your conversation or meeting with the SEC, and can be present to assist you during the telephone call or meeting.


Generally speaking, if a whistleblower(s) voluntarily provides original information to the SEC, that leads to a successful action by the SEC in which it collects over $1 million from the wrongdoers, the SEC must grant the whistleblower(s) an award of 10% – 30% of the amount that the SEC collects.  There are a lot of rules that must be followed, though.  One such rule is that the award application must be submitted to the SEC in writing.  Just guessing, but you probably want to submit your written award application in a way that will persuade the SEC to grant you a whistleblower award.  Again, just “mailing it in” is probably not the best option.  An attorney from an SEC whistleblower NYC law office can help prepare and submit a compelling award application for you.


No one likes to think about a worst case scenario, but what if something goes wrong and the Claims Review Staff denies your application for an award?  Are you willing to gamble that this won’t happen to you, or would you rather be prepared just in case?

The Pickholz Law Offices was the first law office in the country ever to win an SEC whistleblower appeal to the Commission in Washington, D.C.  This groundbreaking result was named as one of the “Five milestones in the Dodd-Frank whistleblower reward program“ by Inside Counsel Magazine.  For a comprehensive article about that case, see here.  As of today (July 28, 2016), the Commission has granted only one other whistleblower appeal besides ours.

If you would like more information about The Pickholz Law Offices’ SEC whistleblower practice, please click on the links to the top and right side of this page.

If you would like to speak with an SEC whistleblower attorney, you can reach Jason R. Pickholz by calling 347-746-1222.  Your initial telephone call with Mr. Pickholz of up to one hour is free of charge.

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