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Securities Crimes Book

Authoritative Book About Securities Crimes, Authored by Jason Pickholz

Jason Pickholz, the founder of The Pickholz Law Offices, is a co-author of the two-volume book Securities Crimes.

SEC whistleblower program chapter

Securities 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 is typically 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
  • 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.

A Valuable Resource for Both Defense Counsel and SEC Whistleblower Attorneys

SEC whistle blower program

As can be seen from its table of contents, the Securities Crimes book contains an enormous amount of valuable information for securities defense attorneys and in-house counsel.

It also provides a wealth of comprehensive information for SEC whistleblower attorneys.

The SEC whistleblower program was created as part of the Dodd-Frank Act in 2010. By late 2012, it had become apparent that there was no single, authoritative source for potential SEC whistleblowersSEC whistleblower law firms, securities lawyers, or in-house counsel 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.

Among other things the SEC whistleblower program chapter covers:

  • 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

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.

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.

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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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.