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.
Why Auditors Are Facing a Surge of SEC Enforcement Actions
SEC and PCAOB fines against auditors have hit all-time highs. Learn about the enforcement triggers, recent cases, and immediate steps auditors must take.
Broker-Dealer SEC Enforcement
Most broker-dealer SEC examinations can become criminal traps. Learn why civil violations often lead to DOJ criminal referrals and how to protect your firm.
Can a CEO Be Personally Liable for SEC Violations?
The SEC can pierce the corporate veil and hold CEOs personally accountable for violations -- even without direct involvement. Learn how and why.
Can I Be Fired for Whistleblowing to the SEC?
The SEC Whistleblower Program provides strong protections for employees reporting securities violations, including anti-retaliation provisions under Dodd-Frank and SOX.
Can I Represent Myself in an SEC Investigation?
While individuals have the right to self-represent in SEC investigations, significant practical obstacles make this approach inadvisable.
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.
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 Negotiate With the SEC
A dozen things to know before you try to settle an SEC enforcement action. Over 98% of SEC cases settle before trial -- learn how…
How the SEC Proves Insider Trading
The SEC has built sophisticated surveillance infrastructure processing billions of records daily to detect insider trading. Learn the SEC's prosecution playbook.