FINRA vs SEC Investigation

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

Former SEC Attorneys as Defense Lawyers

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

Can I Appeal an SEC Settlement?

Learn how the SEC settlement process works, why most defendants cannot appeal, and the narrow circumstances under which you may challenge a consent judgment.

Accountant Liability in SEC Cases

How accountants become federal targets in SEC cases. Learn about the liability traps, criminal exposure, and defense strategies for accounting professionals.

Accounting Fraud and SEC Charges

Accounting fraud is one of the most aggressively prosecuted white-collar crimes. Learn what executives, CFOs, and controllers need to know when the SEC comes knocking.

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