Authoritative Book With Detailed Chapter On The SEC Whistleblower Program

Jason Pickholz, the founder of The Pickholz Law Offices, is a co-author of the two-volume book Securities Crimes.  Mr. Pickholz is also the sole author of the book’s comprehensive SEC whistleblower program chapter.

SEC whistleblower program chapterSecurities Crimes is published by leading legal publisher Thomson Reuters.

According to Thomson Reuters’ website, Jason Pickholz and his co-authors “are among the leading practitioners and academics in the field of securities law”.

A synopsis on Thomson Reuters’ website explains that the book covers “both the substance of the securities laws and the procedures employed by federal prosecutors and the SEC in pursuing possible violations of the law in securities-related transactions and corporate governance and reporting”.

The book and its SEC whistleblower program chapter are updated annually to cover recent developments.

The Contents Of The Book

The book provides a thoroughly researched and detailed analysis of the major federal securities laws, and how those laws are enforced by the U.S. Securities and Exchange Commission and the U.S. Department of Justice.

The contents of the book include:

Chapter 1:   The U.S. Securities and Exchange Commission’s history, organization, and enforcement powers
Chapter 2:    Informal and Formal SEC Investigations
Chapter 3:    The SEC Whistleblower Award Program (the SEC whistleblower program chapter)
Chapter 4:    Parallel Proceedings
Chapter 5:    Internationalization of Securities Crimes
Chapter 6:    Criminal Statues Frequently Charged In Securities Cases
Chapter 7:    Criminal Securities Case Law
Chapter 8:    The Trust Indentures Act
Chapter 9:    The Investment Advisers Act of 1940
Chapter 10:  Sentencing in securities cases

The book also has extensive appendices containing examples and copies of source documents.

What Is In The SEC Whistleblower Program Chapter?

The SEC whistleblower program chapter is currently 128 pages long with additional appendices.  Its general contents include:

  • Eligibility Prerequisites of the SEC whistleblower program
  • Submitting Information to the SEC
  • Protection Of A Whistleblower’s Information
  • Post-Submission Disqualifications As A Whistleblower
  • Covered Actions
  • Multiple Actions
  • Monetary Sanctions Collected
  • Award Claims
  • Factors That May Increase The Award Amount
  • Factors That May Decrease The Award Amount
  • Award Determinations
  • Whistleblower Protections

The Origin Of The SEC Whistleblower Program Chapter

The SEC whistleblower program was created as part of the Dodd-Frank Act in 2010.

SEC whistle blower program chapterBy late 2012, it had become apparent that there was no single, authoritative source for potential SEC whistleblowersSEC whistleblower law firms, or securities lawyers to turn to for information about the SEC whistleblower program.

To fill that void, Mr. Pickholz wrote a brand new, in-depth SEC whistleblower program chapter for his book.  The SEC whistleblower program chapter first appeared in print in 2013.

Every year since then, Mr. Pickholz has expanded and updated the SEC whistleblower program chapter to include new information about SEC orders and pronouncements, court decisions, and other developments derived from Mr. Pickholz’s ongoing experience as an SEC whistleblower attorney.

How To Obtain A Copy Of Securities Crimes

You can find out more about the Securities Crimes book and purchase a copy from Thomson Reuters directly.  The book is available in both paper and electronic formats.

The Securities Crimes product page can be found on Thomson Reuters’ website here.

chapter SEC whistleblower program

Links To Past Book Updates

About The Author

Since it was founded in 2010, The Pickholz Law Offices has represented employees, officers, customers, and others in SEC whistleblower cases involving financial institutions, broker dealers, investment advisors, and public companies listed in the Fortune Top 10, Top 20, Top 50, Top 100, Top 500, and the Forbes Global 2000. For examples of some of his SEC whistleblower cases, click here.

Before the SEC whistleblower program was created in 2010, Mr. Pickholz spent fifteen years representing clients in high-stakes securities cases, including in investigations by the Securities and Exchange Commission, FINRA, the U.S. Department of Justice, state regulatory authorities, and other agencies.  For examples of his extensive experience in SEC and other securities investigations, click here.

The Pickholz Law Offices LLC was the first law firm ever to win an SEC whistleblower award for a client on appeal to the full Commission in Washington, an achievement that Inside Counsel magazine named one of the five key events in the history of the SEC whistleblower program.  You can read more about that recognition by clicking here.

More information about Jason Pickholz can be found on his biography page here.

For additional information about The Pickholz Law Offices, please click on the links in the margins of this page.

Whether you are an SEC whistleblower and would like to speak with an SEC whistleblower lawyer, or are involved with an SEC or other securities-related investigation and would like to speak with a securities attorney, please feel free to call Mr. Pickholz today at 347-746-1222.




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