Legal Insights & Updates

What Is Neither Admit Nor Deny? SEC Settlements and DoJ Settlements Often Contain “Neither Admit Nor Deny” Provisions...

What Is Market Manipulation? Market manipulation is a federal crime that involves artificially influencing the price o...

What Is Insider Trading? Defending Clients Under Investigation for Insider Trading Insider trading is a term that t...

What Is Control Person Liability? Section 20(a) of the Securities Exchange Act of 1934 establishes a federal financia...

What Is an SEC Whistleblower? Meet the Whistleblowers The SEC whistleblower program operates under the Dodd-Fr...

What Is an SEC Deferred Prosecution Agreement? Our Former Federal Prosecutors and SEC Defense Attorneys Help Companie...

What Is a FINRA Investigation? FINRA Has Broad Authority to Investigate Broker-Dealers and Individual Brokers. If it ...

What Is a 10b5-1 Plan? Rule 10b5-1 sets forth the elements of the offense of insider trading and provides an affirmati...

Should I Self-Report to the SEC? Self-reporting to the U.S. Securities and Exchange Commission (SEC) is one of the mos...

Responding to an SEC Investigation: What You Need to Know Receiving word that you or your company is the subject of an...

Securities Fraud Penalties Explained How Federal Prosecutors and the SEC Penalize Securities Fraud – and What Defenda...

SEC Whistleblower Retaliation Claims The SEC’s Whistleblower Program Protects Employees Who Report Securities Law Vio...