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What Happens At An SEC Interview?

If the U.S. Securities and Exchange Commission (SEC) is investigating you or your company, you may receive a request to sit for an interview. While meeting with SEC agents and putting the facts on the table can be helpful in some cases, it can also be dangerous if you don't...

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What are the Red Flags for PPP Loan Fraud?

Last Updated: 2022-05-05 Due to a high volume of calls, we are unable to take on more PPP clients at this time. However, we have created a list of PPP resources that should help you with any challenges that you might have.   PPP Resources:  Find an attorney to defend...

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Does a Subpoena Have to Be Served in Person?

Last Updated: 2022-05-05 Being served with a subpoena immediately leaves you with lots of questions, and the subpoena itself provides very few answers. It also provides you with very little time to get your bearings and make the decisions you need to make in order to protect yourself. If you...

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What are the Charges for PPP Loan Fraud?

Last Updated: 2022-05-05 Due to a high volume of calls, we are able to only take those PPP clients who have received a PPP loan greater than $100,000. If your loan is less, we have created a list of PPP resources that should help you with any challenges that you...

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I Received a Target Letter from the FBI, DOJ or U.S. Attorney Office… Now What?

Call the Federal Defense Law Firm and Former Justice Department Prosecutors of Oberheiden P.C. Today: Free & Confidential Last Updated: 2022-05-04 There are two ways to look at an FBI target letter The obvious way is to see the seriousness of its message; after all, FBI target letters essentially announce...

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How Do I Get Out of a Subpoena to Testify?

How Do I Get Out of a Subpoena to Testify? Last Updated: 2022-05-04 If you have been served with a federal subpoena, there are various reasons why you might prefer not to testify. Under any circumstances, providing testimony before a federal agency or in federal district court presents risks, and...

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Understanding SEC Investigations

What happens during an SEC investigation? Our federal securities fraud defense lawyers explain. Last Updated: 2022-05-04 Each year, the U.S. Securities and Exchange Commission (SEC) brings hundreds of civil and administrative enforcement actions against individuals and companies for violations of the nation’s securities laws. Within the SEC, the Division of...

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Securities professionals who are being scrutinized by FINRA will likely first learn of an investigation when they receive an 8210 Letter, also known as an On-the-Record (OTR) Notice. The letter will describe the information being requested, and the recipient has to supply it or face repercussions. The best way to...

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What to Do If You Receive a FINRA 8210 Letter

Financial advisors and registered brokers who receive a FINRA 8210 request form should hire a FINRA defense attorney and then take the necessary steps to comply with the document requests laid out in the letter. The costs of ignoring the letter or not complying with its demands are steep, and...

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Subpoenaed to Testify Before the SEC? Here’s What to Expect

If you’ve been subpoenaed to testify before the U.S. Securities and Exchange Commission (SEC), you need to make sure you are thoroughly prepared. Testifying before the SEC can be a daunting experience—even for seasoned securities industry veterans and company executives. Since testifying is typically an all-day event, it can be...

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