Subjects of SRO Investigations
"Subjects of SRO Investigations" refers to individuals or companies that a self-regulatory organization (an "SRO") thinks may or may not have committed a violation of the SRO's rules or a violation of an area of law that the SRO has jurisdiction over, but the SRO cannot be certain without more information.
Generally speaking, an SRO is a private organization that has the power to create and enforce standards and regulations for a particular industry. An SRO is not a government agency. For example, the Financial Industry Regulatory Authority ("FINRA") and the New York Stock Exchange ("NYSE") are two well known SROs.
Over the course of an SRO investigation, someone who the SRO initially believes may be just a witness may come to be viewed as a "subject". Likewise, someone who the SRO initially believes may be a potential "subject" may come to be viewed as just an innocent witness.
If you would like information about The Pickholz Law Offices' experience representing Subjects of SRO Investigations, please feel free to click on the "Our Cases & Results" link and the other links on the right side of this page.
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.
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