Legal Insights & Updates

Compliance officers now face criminal liability in addition to civil liability. The DOJ has prioritized prosecuting compliance officers who breach their duties.

Most executives believe D&O insurance will protect them from SEC investigations. The harsh reality is that policy language is designed to deny coverage.

Whistleblower allegations present substantial risks. Learn the five steps to take when facing a federal whistleblower complaint and available defense strategies.

Regulatory scrutiny of the cryptocurrency ecosystem is rapidly intensifying, with DeFi becoming a focal point of federal enforcement efforts.

Corporate directors can face personal civil and criminal consequences in SEC investigations. Learn about the circumstances that trigger enforcement action.

FINRA arbitration can be daunting and complex. Learn why legal representation is essential and how an experienced attorney can make a critical difference.

Failing to preserve documents after an SEC subpoena can lead to obstruction charges. Learn the steps for proper document preservation and litigation holds.

FINRA and the SEC both investigate securities fraud but have important differences. Learn about their authorities, enforcement actions, and what to do if investigated.

A FINRA Wells Notice notifies you of charges FINRA intends to bring. It is a preliminary step and an opportunity to explain your side of…

A defense team of former SEC enforcement attorneys provides an unparalleled advantage with insider perspective on the agency's strategies and priorities.