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Faculty Jason Pickholz, Esq.
Member at
The Pickholz Law Offices LLC
Jason Pickholz: SEC Whistleblower Attorney; White Collar and Securities Defense Lawyer
Admitted Jurisdictions
Practice Areas
Biography
Jason Pickholz has been representing individuals and companies in connection with white collar and securities investigations since 1995. Among his notable white collar and securities defense cases, Mr. Pickholz has represented a former U.S. Senator in connection with an investigation into a public pension fund; a public company and its CEO in an SEC investigation related to the federal multi-agency COVID-19 taskforce; a company in a CFTC case involving digital assets and binary options; a senior executive officer of a billion dollar mutual fund family in the SEC’s market timing investigations; and a leading specialist in the NYSE Floor Specialist cases. He was counsel in the first disciplinary case brought by FINRA; two cases that Crain’s referred to as among the largest stock fraud cases of the early 21st century involving New York-based companies; and the first anti-money laundering case brought by FinCen and the NYSE together against an NYSE member firm.
Since the SEC whistleblower program was created in 2010, Mr. Pickholz has also been representing SEC whistleblowers. He was the first lawyer ever to win an SEC whistleblower award for a client on appeal to the Commission. Inside Counsel magazine named this as one of the “Five milestones in the Dodd-Frank whistleblower reward program”. It is still one of only three times that the Commission has overruled an award denial by its Claims Review Staff in the ten-year history of the SEC whistleblower program.
Mr. Pickholz is a co-author of the two-volume book Securities Crimes, published by Thomson Reuters. He is also the creator of www.secwhistleblowerinformation.com, a free on-line encyclopedia for SEC whistleblowers and SEC whistleblower lawyers.
Mr. Pickholz has appeared on Fox Business News, BBC News, and Bloomberg Radio. He has been quoted by the print media numerous times, spoken on many panels and programs, and written several articles for the New York Law Journal, Securities Regulation Law Journal, Journal of Financial Crime (Cambridge University, England), Law 360, and various other publications.
Prior to starting his own law firm, Mr. Pickholz was a partner at one national law firm, and served as an Advisory Member on the Board of Directors of another national law firm. He began his career as a federal law clerk to a U.S. District Court Judge for the Southern District of New York.
In recognition of Mr. Pickholz’s achievements, he was elected by his peers to be a Fellow of The New York Bar Foundation, an honor that is granted to just 1% of the 70,000+ lawyers in the New York State Bar Association.
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Speaking Engagements
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Defending An SEC Investigation
View SpeechOctober 05, 2020
Lawline.comFaculty.
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When the Whistle Blows: What You Need to Know about Dodd-Frank and Sarbanes-Oxley
View SpeechApril 17, 2018
Lawline.comFaculty.
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Supreme Court Hears Corporate Whistleblower Case
View SpeechNovember 28, 2017
Bloomberg RadioLive radio guest.
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Incentives and Protections for the Modern Whistleblower
View SpeechOctober 03, 2014
Lawline.comFaculty.
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The SEC Whistleblower’s Perspective
View SpeechAugust 05, 2011
TorontoABA Annual Meeting. Presented as part of the program "International Government Investigations, SEC Whistleblowers, and Private Follow-On Actions"
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When Bad Things Happen To Good People
View SpeechJune 04, 2011
Colgate University, Hamilton, NYLecture on SEC whistleblowers and white collar crime.
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Legal Risk in Fraud and AML
View SpeechOctober 17, 2010
Washington, D.C.American Bankers Association / American Bar Association Money Laundering Enforcement Conference.
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Ethical Issues in Internal Investigations
View SpeechMay 06, 2010
Washington, D.C.ABA's National Institute on Internal Corporate Investigations an Forum for In-House Counsel.
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Chasing Bernard Madoff
View SpeechMarch 06, 2009
Fox Business NewsLive television studio guest.
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The Uncertainty Surrounding Honest Services Fraud
View SpeechFebruary 11, 2009
Live webcast and teleconferenceABA Section of Business Law BLT Live.
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Executives Behind Bars: White Collar and Securities Enforcement in 2008-2009
View SpeechSeptember 26, 2008
BostonNew England Ethics Forum.
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A Primer on Corporate Compliance and Internal Investigations
View SpeechSeptember 15, 2008
Lawline.comFaculty.
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Securities Fraud Issues and Future Trends
View SpeechAugust 08, 2008
New York CityABA Town Hall Meeting on the State of White Collar Crime
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IL, CA Attorneys General Sue Countrywide, CEO Mozilo
View SpeechJune 25, 2008
Fox Business NewsLive television studio guest.
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The Litigation Hold and Other ESI Moves
View SpeechApril 17, 2008
Washington, D.C.ABA Section of Litigation Annual Meeting.
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Living in Harmony with Regulators
View SpeechNovember 09, 2007
Washington, D.C.Capital Access Forum.
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Anti-Money Laundering: From Compliance to Enforcement
View SpeechOctober 23, 2007
live webinarAlternative Public Strategies webinar.
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Where in the World Is Your Client Going? International Arbitration of Commercial Disputes
View SpeechAugust 07, 2005
ChicagoABA Annual Meeting.
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Tyco jury selection
View SpeechNovember 01, 2003
BBC NewsLive television studio guest.
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Deposition Technology: Taking It to Trial
View SpeechAugust 08, 2003
San FranciscoABA Annual Meeting.
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When the Government Calls: Responding to the Increasing Criminalization of Corporate and Securities-Related Activity
View SpeechAugust 08, 2003
San FranciscoABA Annual Meeting.
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Parallel Proceedings
View SpeechFebruary 15, 2003
Coral Gables, FloridaABA Corporate Counsel Section Annual Meeting.
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Whether to Waive Privilege and Other Pitfalls in Criminal, Civil, SEC and Congressional Investigations
View SpeechAugust 01, 2002
Washington, D.C.ABA Annual Meeting.
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Articles & Publications
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Securities Crimes 2d
August 31, 2022
2-volume book, updated annually (2013-present). From the publisher's website (2018): "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".
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SEC Whistleblower Information
April 05, 2018
Free on-line encyclopedia about the SEC whistleblower program. Over 100 pages of substantive content as of 10/15/2018.
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Going Global: Political Corruption Investigations and Reciprocal Cooperation Under the UN Convention Against Transnational Organized Crime
March 22, 2011
ABA CJS Insights From The Trenches.
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Post Madoff: What Now For Investors?
January 09, 2009
Law360.
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Summary Judgment in Self Regulatory Organizations’ Disciplinary Proceedings: How the Limitations Imposed by the 1934 Act Have Been Overlooked
April 01, 2007
Securities Regulation Law Journal, Thomson/West, Vol. 35, No. 1, pp.71-82 (Spring 2007).
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Federal Rules Amendments Are a Wake-Up Call: Traps for the unwary ahead, so get your ESI house in order
January 09, 2007
New York Law Journal, Special Section on Investigations & Computer Forensics.
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The Anti-Suit Injunction: Stopping Foreign Actions in their Tracks
October 01, 2006
ABA Trial Practice Journal, Vol. 21, No. 1 (Fall 2006).
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Investigations Put Employees in Tough Spot: Are ‘Cooperating’ Corporations Violating Constitutional Rights?
July 24, 2006
New York Law Journal, Special Section on White Collar Crime.
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International Arbitration in the United States and Europe
April 28, 2006
New Jersey Continuing Legal Education annual seminar.
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Manipulation
November 01, 2001
Journal of Financial Crime, Vol. 9, No. 2 (Nov. 2001).
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Policing Discovery: Criminal Prosecutions for the Destruction of Documents in Civil Cases After United States v. Lundwall
October 01, 1998
ABA Committee on Pretrial Practice & Discovery Newsletter, Vol. VIII, No. 3 (Fall 1998).
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Professional Memberships
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FINRA (Certified Neutral Arbitrator)
2019
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The New York Bar Foundation (Fellow)
2014
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American Bar Association (ABA) (Member)
1996 - 2013
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ABA Global Anti-Corruption Initiatives Task Force (Member)
2010 - 2013
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New York State Bar Association (Member)
2013
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ABA White Collar Crime Committee's Financial Institution Fraud / Money Laundering and Patriot Act Subcommittee (Chair)
2008 - 2012
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American Bankers Assoc. / ABA Money Laundering Enforcement Conference Advisory Board (Board Member)
2010 - 2011
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ABA Trial Practice Committee’s International Law and Arbitration Subcommittee (Chair)
2003 - 2010
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ABA Trial Practice Journal (Senior Editor, Outstanding Newsletter Award (2005-06), Outstanding Editor (2002-03))
2002 - 2009
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ABA White Collar Crime Committee's Securities Fraud Subcommittee (Chair)
2006 - 2008
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Akerman Senterfitt law firm (Advisory Board Member)
2007 - 2007
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NYU School of Law Alumni Board of Directors (Director)
2001 - 2004
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NYU School of Law Alumni Board of Directors (Honorary Board Member)
2004
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ABA Trial Practice Technology Subcommittee (Chair)
2001 - 2003
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ABA Government Litigation Federal/State Liaison Subcommittee (Chair)
2003 - 2003
Education
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NYU School of Law
J.D. (1994)
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Colgate University
B.A., magna cum laude, Phi Beta Kappa (1991)