SEC Investigation Archives - Federal Lawyer
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Understanding SEC Investigations

What happens during an SEC investigation? Our federal securities fraud defense lawyers explain. Last Updated: 2021-10-04 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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Defending SEC Complaints – Section 10(b) and 17(a) Litigation

Experienced Federal Securities Laws Defense Team If you have been charged or are being investigated for fraud in either the offer of securities or purchase or sale of securities, then you need to take immediate action in your defense. Fraud charges are serious concerns for individuals and entities, especially as...

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Defending SEC Complaints – Section 206 of the Investment Advisers Act (“IAA”) Litigation

Experienced IAA Defense Team Are you facing a federal investigation under the Investment Adviser's Act ("IAA")? Have you failed to register as an investment adviser? Did you allegedly violate your fiduciary duty? Is the SEC scrutinizing your advice? If so, then you need the legal services of an experienced investment/financial...

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SEC Cryptocurrency Fraud Investigations

Experienced Cryptocurrency Fraud Defense Team Are you being investigated by the SEC for crypto fraud? If so, now is the time to hire an experienced crypto defense attorney. The government has been developing strict rules that focus on strengthening cryptocurrency fraud investigations. Agencies such as the Securities and Exchange Commission...

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SEC Blockchain Investigations

Experienced SEC Blockchain Defense Team Do you need legal assistance regarding blockchain laws, blockchain technology, or an impending federal investigation? If so, then you need the help of an experienced blockchain defense attorney. The use of blockchain technology, mining new coins, verifying transactions, and investing in cryptocurrencies are becoming attractive...

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Facing Discipline Under SEC Rule 102(e): What Professionals Need to Know

While the U.S. Securities and Exchange Commission (SEC) has substantial resources at its disposal, it cannot fully monitor the domestic securities markets and enforce companies’ obligations under the Securities Act of 1933 and the Securities Exchange Act of 1934 on its own. As a result, it relies on so-called “gatekeepers”—attorneys,...

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Penalties for Securities Fraud

What is at risk if you or your company is under investigation for securities fraud? Here are some examples of recent federal securities fraud cases that resulted in substantial jury verdicts and settlements with the U.S. government. Violations of securities laws and regulations in the United States can have serious...

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SEC Investigations

An SEC investigation may be triggered by a whistle blower, the appearance of insider trading, self-reporting, or simply based on a report in the media. An SEC investigation demands instant, truthful, and complete reporting of any misconduct and a sophisticated level of cooperation. If you have been informed that you...

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