Document Preservation After SEC Subpoena
Failing to preserve documents after an SEC subpoena can lead to obstruction charges. Learn the steps for proper document preservation and litigation holds.
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.
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.
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.
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.
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.
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 Disbar an Attorney?
The SEC possesses authority to sanction attorneys practicing before the Commission, including censure, suspension, and permanent disbarment.
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.
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.