Partner, Duane Morris LLP
Marvin G. Pickholz, a partner at Duane Morris LLP, practices in the area of litigation with a focus on securities and corporate defense, white-collar law and internal investigations. He has represented financial institutions, investment banks, private equity entities and accounting and law firms in matters involving securities laws, financial disclosures, government contracts, antitrust and healthcare. He was counsel in the first anti-money laundering case brought against a member of the NYSE and represented a member firm in the first disciplinary case brought by the Financial Industry Regulatory Association (FINRA). Other cases in which he has been counsel are Martha Stewart, Lipper Funds, Mutual Fund Market Timing, Securities Analysts, the New York Stock Exchange Floor Specialists, Charles Keating/Lincoln Savings and Loan, Ivan Boesky/Michael Milken cases, the first SEC case involving the accountant whistleblower statute, and the W.R. Grace administrative case by the SEC enunciating directors’ duties.
Prior to entering private practice, Mr. Pickholz held several positions with the SEC, including national Assistant Director of the SEC's Division of Enforcement in Washington, D.C. and Chief of the Branch of Enforcement in New York. During his tenure with the SEC, Mr. Pickholz was involved in many high-profile cases involving accounting firms, and financial statement fraud, the Foreign Corrupt Practices Act and such defendants as First Mortgage Investors (the first REIT case), U.S. Steel, Howard Hughes/Jimmy "the Greek"/Air West, Dresser Industries, and
William F. Buckley, Jr.
Mr. Pickholz is the author of the treatise titled Securities Crimes and is the coauthor of chapters in leading treatises on accountants' liability, insider trading and section 16(b) liabilities, including Chapter 5A, “Accountants’ Liability Under the Federal Securities Laws, in Federal Securities Act of 1933 (Matthew Bender). He has authored over 50 articles and is a frequent guest on CNBC, NBC, Fox News, and the BBC and quoted in domestic and foreign financial publications.
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