Will SEC Investigation Become Public?
The SEC maintains significant authority to investigate individuals and companies suspected of breaching securities laws and can disclose investigations through subpoena issuance, testimony requests, and…
What Is a FINRA Investigation?
FINRA possesses extensive power to examine broker-dealers and individual brokers. When violations are discovered, FINRA can levy penalties or prohibit brokerage professionals from serving retail…
The SEC vs the CFTC: Who Regulates Crypto and Why It Matters
The question of whether the SEC or the CFTC regulates cryptocurrency has major implications for crypto businesses and investors facing enforcement actions.
Insider Trading Penalties Explained
Criminal penalties for insider trading include up to 20 years in federal prison for individuals and fines up to $5 million. The 85% rule means…
Pump and Dump Schemes Explained
Pump and dump schemes represent some of the most prevalent and hazardous securities fraud cases. Criminal prosecutors and regulators aggressively pursue them.
SEC Cooperation Credit Explained
The SEC has adopted a policy of giving cooperation credit to companies that quickly and fully report potential violations, potentially reducing penalties.
SEC Investigation of Lawyers
The SEC has increasingly expanded its enforcement agenda to include investigations and enforcement actions against attorneys in the securities industry.
SEC Settlement vs Going to Trial: What You Need to Know
When facing investigation by the SEC, the prospect of going to trial can be daunting. The decision to settle or go to trial is critical…
SEC Whistleblower Retaliation Claims
The SEC Whistleblower Program protects employees who report securities law violations from unlawful retaliation under the Dodd-Frank Act anti-retaliation provision.
Securities Fraud Penalties Explained
The Department of Justice prosecutes securities fraud under 18 U.S.C. Section 1348, with penalties including up to $5,000,000 in fines or imprisonment up to 20…