Can the SEC Disbar an Attorney?
The SEC possesses authority to sanction attorneys practicing before the Commission, including censure, suspension, and permanent disbarment.
Can the SEC Go After My CPA License?
While the SEC cannot directly revoke a CPA license, it can bar you from practicing before the Commission with devastating career consequences.
Can the SEC Regulate Bitcoin?
Two federal courts have concluded that the SEC cannot regulate Bitcoin as it is not an "investment contract." Learn about the legal landscape.
CFO Liability in SEC Cases
The SEC has been increasingly willing to pursue enforcement actions against CFOs personally. Learn about common charges, defenses, and what to do if investigated.
Compliance Officer Liability Explained
Compliance officers now face criminal liability in addition to civil liability. The DOJ has prioritized prosecuting compliance officers who breach their duties.
D&O Insurance and SEC Investigations: The Coverage Gaps Executives Discover Too Late
Most executives believe D&O insurance will protect them from SEC investigations. The harsh reality is that policy language is designed to deny coverage.
Defending Against Whistleblower Allegations
Whistleblower allegations present substantial risks. Learn the five steps to take when facing a federal whistleblower complaint and available defense strategies.
SEC Regulations and DeFi: What Every Blockchain Business Needs to Know
Regulatory scrutiny of the cryptocurrency ecosystem is rapidly intensifying, with DeFi becoming a focal point of federal enforcement efforts.
Director Liability in SEC Investigations
Corporate directors can face personal civil and criminal consequences in SEC investigations. Learn about the circumstances that trigger enforcement action.
Do I Need a Lawyer for FINRA?
FINRA arbitration can be daunting and complex. Learn why legal representation is essential and how an experienced attorney can make a critical difference.