Amanda S. Marshall
Former U.S. Attorney
(Local Counsel)
Lynette Byrd
Former Assistant
U.S. Attorney
Roger Bach
Former Special
Agent
(OIG & DEA)
Joe Brown
Former U.S. Attorney
Dr. Nick Oberheiden
Attorney & Founder
Understanding SEC Investigations
What happens during an SEC investigation? Our federal securities fraud defense lawyers explain. Last Updated: 2023-03-04 Each year, the U.S. Securities and Exchange Commission (SEC) brings hundreds of civil and administrative enforcement actions against individuals and companies for violations of the nation’s securities laws. Within the SEC, the Division of...
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Types of SEC Enforcement Action
Broadly speaking, the U.S. Securities and Exchange Commission (SEC) pursues two different types of enforcement actions: Administrative and civil. However, while the agency does not have the authority to pursue criminal enforcement actions, it can, and frequently does, refer courses of conduct that are potentially criminal in nature to other...
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What Happens At An SEC Interview?
If the U.S. Securities and Exchange Commission (SEC) is investigating you or your company, you may receive a request to sit for an interview. While meeting with SEC agents and putting the facts on the table can be helpful in some cases, it can also be dangerous if you don't...
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Subpoenaed to Testify Before the SEC? Here’s What to Expect
If you’ve been subpoenaed to testify before the U.S. Securities and Exchange Commission (SEC), you need to make sure you are thoroughly prepared. Testifying before the SEC can be a daunting experience—even for seasoned securities industry veterans and company executives. Since testifying is typically an all-day event, it can be...
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Defending SEC Complaints – Section 10(b) and 17(a) Litigation
Experienced Federal Securities Laws Defense Team If you have been charged or are being investigated for fraud in either the offer of securities or purchase or sale of securities, then you need to take immediate action in your defense. Fraud charges are serious concerns for individuals and entities, especially as...
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Defending SEC Complaints – Section 206 of the Investment Advisers Act (“IAA”) Litigation
Experienced IAA Defense Team Are you facing a federal investigation under the Investment Adviser's Act ("IAA")? Have you failed to register as an investment adviser? Did you allegedly violate your fiduciary duty? Is the SEC scrutinizing your advice? If so, then you need the legal services of an experienced investment/financial...
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SEC Cryptocurrency Fraud Investigations
Experienced Cryptocurrency Fraud Defense Team Are you being investigated by the SEC for crypto fraud? If so, now is the time to hire an experienced crypto defense attorney. The government has been developing strict rules that focus on strengthening cryptocurrency fraud investigations. Agencies such as the Securities and Exchange Commission...
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SEC Blockchain Investigations
Experienced SEC Blockchain Defense Team Do you need legal assistance regarding blockchain laws, blockchain technology, or an impending federal investigation? If so, then you need the help of an experienced blockchain defense attorney. The use of blockchain technology, mining new coins, verifying transactions, and investing in cryptocurrencies are becoming attractive...
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Facing Discipline Under SEC Rule 102(e): What Professionals Need to Know
While the U.S. Securities and Exchange Commission (SEC) has substantial resources at its disposal, it cannot fully monitor the domestic securities markets and enforce companies’ obligations under the Securities Act of 1933 and the Securities Exchange Act of 1934 on its own. As a result, it relies on so-called “gatekeepers”—attorneys,...
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Penalties for Securities Fraud
What is at risk if you or your company is under investigation for securities fraud? Here are some examples of recent federal securities fraud cases that resulted in substantial jury verdicts and settlements with the U.S. government. Violations of securities laws and regulations in the United States can have serious...
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