How to Protect My Reputation During SEC Investigation
Being under SEC investigation presents serious challenges for executives. Learn strategies to protect your professional reputation from permanent damage.
How to Respond to a Whistleblower Complaint
An effective compliance program should include procedures for responding to whistleblower complaints. Learn 10 tips for companies facing federal whistleblower complaints.
How to Respond to FINRA 8210 Request
Financial advisors and brokers who receive a FINRA 8210 request should hire a defense attorney and comply with document requests. Learn the step-by-step process.
ICO Securities Violations Explained
Understanding ICO securities violations, SEC enforcement actions against initial coin offerings, and how to protect your blockchain project from regulatory action.
5 Federal Insider Trading Defenses That Work
Learn five proven federal insider trading defenses including challenging materiality, fiduciary duty breach, confidentiality agreements, information usage, and sharing of information.
FINRA Wells Notice Explained
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…
Can I Settle Without Admitting Guilt?
In many federal cases, settling without admitting guilt is possible. Learn when this option is available and how to make an informed strategic decision.
Can I Talk to Coworkers During SEC Investigation?
Any communication during an SEC investigation can have serious legal implications. Learn about the risks and the importance of legal counsel.
Can Officers Go to Jail for SEC Violations?
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.
Can the SEC Claw Back My Bonus?
The SEC can require companies to recover executive bonuses paid based on inaccurate financial statements under the Dodd-Frank Act.