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SEC Whistleblowers


What are “SEC Whistleblower Rewards”?

In 2010, as part of the Dodd-Frank Act, the U.S. Congress established for the first time a comprehensive whistleblower program for the Securities and Exchange Commission (the “SEC”).  If you report a fraud at the company you work for (or a fraud at another company) to the SEC, you may be eligible to become an SEC whistleblower.  If you meet the requirements and become an SEC whistleblower, and if the SEC collects over a certain amount of money from the company or the individuals who were responsible for the fraud that you reported, you will be entitled to receive a monetary reward from the SEC.  According to the Dodd-Frank Act, the SEC must give out that reward. The amount of the reward must be between 10% - 30% of the amount of money that the SEC collects based on the information that you (the whistleblower) provided.  For additional information about SEC whistleblowers and the SEC whistleblower award program, please click here.

What Experience Does The Pickholz Law Offices Have Helping SEC Whistleblowers?

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Since 1995, the Firm’s founder, Jason Pickholz, has been helping people who want to talk to the SEC.  In the past, even before the SEC’s whistleblower program began, some of those people decided on their own that they wanted to report a fraud to the SEC.  Other times, they were asked by the SEC to come in and talk about something that the SEC was already looking into.

Among his many notable achievements, Mr. Pickholz:

  • Won one of the first SEC whistleblower awards for a client.
  • Became the first SEC whistleblower lawyer to convince the Commission to grant his client an SEC whistleblower award over the recommendation of 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.)  Mr. Pickholz's victory for that whistleblower client has been named 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).
  • Helped employees, directors, officers, and others to report securities frauds and violations at financial institutions and public companies listed in the Fortune Top 10, Top 20, Top 50, Top 100, and Top 500, and the Forbes Global 2000.
  • Co-authored the two-volume book, Securities Crimes, published by Thomson Reuters.
  • Authored the book’s chapter on “The SEC Whistleblower Award Program”.
  • Appeared as a live guest on Bloomberg Radio discussing a breaking U.S. Supreme Court case concerning SEC whistleblowers.
  • Chaired a program at the annual meeting of the American Bar Association (the nation’s largest lawyers’ association).  The program’s featured speaker was the first Chief of the SEC’s Office of the Whistleblower. In addition to chairing the program, Mr. Pickholz also delivered his own presentation entitled “The SEC Whistleblower’s Perspective”.  You can see the announcement for that program by clicking here.
  • Taught a continuing education course for lawyers on "When the Whistle Blows".  That program has been rated 4.9-out-of-5 stars based on over 1,630 viewer reviews (as of May 19, 2021).  He has also taught a CLE course called "Incentives and Protections for the Modern Whistleblower."
  • On the invitation of a leading liberal arts university, taught a lecture on SEC whistleblowers and white collar crime entitled “When Bad Things Happen To Good People”.
  • Been elected by his legal peers as a Fellow of the New York Bar Foundation, an honor that is granted to just 1% of the New York State Bar Association membership.

How Can I Contact The Pickholz Law Offices?

If you are considering becoming an SEC whistleblower, you can contact The Pickholz Law Offices by calling 347-746-1222.  Please be prepared to provide your name and a personal mobile or home telephone number where you can be reached (not your work telephone number).

Does It Cost Me Anything To Talk To Mr. Pickholz The First Time?

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Mr. Pickholz will initially meet with you or talk to you on the telephone to help you decide whether you would like to hire the Firm to help you report a fraud or other securities law violation to the SEC.  This initial conversation of up to one hour is free of charge. The initial conversation is for you to get information to help you decide whether you want to hire the Firm and Mr. Pickholz.  It does not create an attorney-client relationship between you and the Firm or Mr. Pickholz.  An attorney-client relationship is only formed after the Firm sends you a signed written engagement letter and you sign the letter and send it back to the Firm.  In other words, you are under no obligation to hire the Firm or Mr. Pickholz when your free initial conversation is finished.

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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.