Jason Pickholz

Biography

Jason Pickholz was one of the first lawyers to win an SEC whistleblower award for a client, and the first lawyer ever to win an award for a client on appeal to the Commission.  This was the first time that the Commission overruled an adverse Preliminary Determination by its Claims Review Staff. Inside Counsel Magazine named this as one of the “Five milestones in the Dodd-Frank whistleblower reward program”.  It is still one of only two times that the Commission has overruled an award denial by its Claims Review Staff in the eight-year history of the SEC Whistleblower Program.

Mr. Pickholz is a co-author of the two-volume book Securities Crimes, published by Thomson Reuters, and is the sole author of the book’s 105-page chapter on the SEC whistleblower program.  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.

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 74,000 lawyers in the New York State Bar Association.

Mr. Pickholz’s SEC whistleblower clients have included employees, officers, directors, and others in cases involving broker-dealers, investment advisors, financial institutions, and public companies listed in the Fortune Top 10, Top 20, Top 50, Top 100, Top 500, and the Forbes Global 2000.

In addition to SEC whistleblowers, Mr. Pickholz has represented clients in investigations conducted by the SEC, U.S. Attorney’s offices, the U.S. Department of Justice, state authorities including the Manhattan District Attorney’s office and the New York Attorney General’s office, FINRA and other self-regulatory organizations, FinCen (the U.S. Treasury Department), the Internal Revenue Service, the Commodities Futures Trading Commission, and the Bureau of Indian Affairs.  Among his other notable cases, Mr. Pickholz was counsel in the first anti-money laundering case brought by FinCen and the NYSE together against an NYSE member firm, was counsel in the first disciplinary case brought by FINRA, and was counsel in two cases that Crain’s New York Business referred to as among the largest stock fraud cases of the early 21st century involving New York-based companies.

Board Memberships & Specialized Committees

  • Fellow, The New York Bar Foundation, 2014 - present

  • Member, American Bar Association Global Anti-Corruption Initiatives Task Force, 2010 - 2013

  • Board Member, American Bankers Association / American Bar Association Money Laundering Enforcement Conference Advisory Board, 2010-2011

  • Advisory Board Member, Akerman Senterfitt law firm Board of Directors, 2007

  • Director, New York University School of Law Alumni Board of Directors, 2001-2004, Honorary Board Member, 2004 - present

Professional Activities

  • New York State Bar Association (present)

  • Chair, American Bar Association (“ABA”) White Collar Crime Committee's Financial Institution Fraud / Money Laundering and Patriot Act Subcommittee, 2008-2012

  • Chair, ABA White-Collar Crime Committee's Securities Fraud Subcommittee, 2006-2008

  • Chair, ABA Trial Practice Committee's International Law and Arbitration Subcommittee, 2003-2010

  • Senior Editor, ABA Trial Practice Journal, 2002-2009

  • ABA Outstanding Newsletter Award recipient, 2005-06

  • ABA Outstanding Editor Award recipient, 2002-03

  • Chair, ABA Government Litigation Federal/State Liaison Subcommittee, 2003

  • Chair, ABA Trial Practice Technology Subcommittee, 2001-2003

Court Admissions

  • Supreme Court of the United States

  • U.S. Court of Appeals for the D.C. Circuit

  • U.S. Court of Appeals for the Second Circuit

  • U.S. District Court, Eastern District of New York

  • U.S. District Court, Southern District of New York

Education

  • J.D., New York University School of Law, 1994

  • B.A., Colgate University, manga cum laude, Phi Beta Kappa, 1991

1 Course by Jason Pickholz