Legal Insights & Updates

Yes, securities fraud can result in significant jail time and fines. Penalties range from 5 to 25 years imprisonment depending on the statute violated.

While individuals have the right to self-represent in SEC investigations, significant practical obstacles make this approach inadvisable.

In many federal cases, settling without admitting guilt is possible. Learn when this option is available and how to make an informed strategic decision.

Any communication during an SEC investigation can have serious legal implications. Learn about the risks and the importance of legal counsel.

Yes, officers go to federal prison for securities violations regularly. Bernie Ebbers got 25 years, Jeff Skilling 24, Sam Bankman-Fried 25, and Bernie Madoff 150.

The SEC can require companies to recover executive bonuses paid based on inaccurate financial statements under the Dodd-Frank Act.

The SEC possesses authority to sanction attorneys practicing before the Commission, including censure, suspension, and permanent disbarment.

While the SEC cannot directly revoke a CPA license, it can bar you from practicing before the Commission with devastating career consequences.

Two federal courts have concluded that the SEC cannot regulate Bitcoin as it is not an "investment contract." Learn about the legal landscape.

The SEC has been increasingly willing to pursue enforcement actions against CFOs personally. Learn about common charges, defenses, and what to do if investigated.