Tag: Finra Investigation

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The Wells Notice SEC/FINRA Investigations

By Mark Astarita Being the subject, target, or even a witness in an SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC or a FINRA investigation is not a pleasant experience. As I discussed in my column “When the SEC Comes Calling” a financial professional’s involvement in a regulatory investigation or proceeding is extremely serious, and can be […]

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Investigative Transcripts are not Confidential

Kirkland vs. Superior Court of LA County, 2002 Ca. App. Lexis 105 (Cal. App., 2Dist., 1/9/02 Discovery Issues * Enforcement Practices/Procedures * Record of Proceedings (Regulatory). Transcripts of testimony in connection with a regulatory investigation are not confidential and may be produced in a subsequent private lawsuit. Guess? Inc. sued […]