With the recent release of the 2020 edition of Securities Crimes, the two-volume book now contains 128 pages of detailed SEC whistleblower information, not including appendices.
Securities Crimes is published by Thomson Reuters, one of the preeminent legal publishers.
Jason Pickholz, the founder of The Pickholz Law Offices LLC, is one of the book’s co-authors.
Authors “Are Among The Leading Practitioners And Academics In The Field Of Securities Law”
According to Thomson Reuters’ website, Jason Pickholz and his co-authors “are among the leading practitioners and academics in the field of securities law”.
The Securities Crimes book “reviews 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 includes extensively researched coverage of federal enforcement of the U.S. securities laws.
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 SEC whistleblower information chapter (Chapter 3) provides valuable information about the SEC whistleblower program for SEC whistleblowers, SEC whistleblower attorneys, and securities attorneys alike.
Overview Of The Whistleblower Information Chapter
Mr. Pickholz added Chapter 3, the SEC whistleblower information chapter, to his book in 2013. He has updated it with new information and developments every year since then.
Just a few of the topics covered in the SEC whistleblower information chapter include:
- eligibility requirements;
- exclusions from eligibility;
- rules for submitting SEC whistleblower information;
- SEC whistleblower protections, including anti-retaliation, confidentiality, and anonymity;
- SEC whistleblower award determinations;
- considerations that might increase the amount of an SEC whistleblower reward;
- and much more.
New Whistleblower Information In This Year’s Update
The 2020 edition adds a lot of new and updated SEC whistleblower information. For example:
- whistleblower policy: updated information about how the SEC’s Office of the Whistleblower (“OWB”) determines whether to recommend that a whistleblower award be granted or denied;
- whistleblower cases: a case decided by a U.S. Court of Appeals determining what an award claimant is entitled to review after receiving a Preliminary Determination denying him or her an award;
- whistleblower law: the Commission’s reliance upon the PennMont standard in determining whether to grant an exception to the 90-day deadline to file an SEC whistleblower reward claim; and the standards that the SEC uses in deciding whether to grant a related action award;
- whistleblower examples: cases where the Commission exercised its discretion to grant whistleblower awards, despite finding that those whistleblowers’ submissions were not “voluntary” under the SEC’s rules;
- whistleblower awards: a letter by a prominent U.S. Senator to the SEC supporting large SEC whistleblower awards; and the first award granted by the SEC under its 120-day rule;
- whistleblower retaliation: The SEC OWB’s declaration that it views whistleblower retaliation protections as a high priority;
- and more.
How To Get Your Own Copy Of Securities Crimes 2d
You can purchase your own copy of Securities Crimes directly from Thomson Reuters’ website here. The book is available in both digital and paper formats.
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As an SEC whistleblower law firm, The Pickholz Law Offices has represented employees, officers, and others in SEC whistleblower cases involving financial institutions and public companies listed in the Fortune Top 10, Top 20, Top 50, Top 100, Top 500, and the Forbes Global 2000. We were 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 of the SEC whistleblower program.
In addition to representing SEC whistleblowers, since 1995 the Firm’s founder, Jason R. Pickholz, has also represented clients in numerous securities investigations conducted by the SEC, FINRA, the DOJ and US Attorney’s Offices, state regulators, and more.
You can see what actual clients have had to say about us by going to our Client Reviews page.
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