Tag: SEC Investigation

subpoena
Brokers Compliance Corp Finance Investors

What Happens If I Ignore an SEC Subpoena?

Anyone who follows our blog or website knows that the seclaw.com/glossary/sec/” class=”glossaryLink” data-cmtooltip=”

SEC
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.(…)

” >SEC Enforcement Division is getting tougher on financial firms, investors, and issuers. When you are served with an SEC subpoena, you know that they are not fun to deal with. But you must deal with it. Even if you don’t know or didn’t commit a […]

News

SEC Charges Three in Digital Asset Frauds

he Securities and Exchange Commission today charged three individuals with defrauding hundreds of retail investors out of more than $11 million through two fraudulent and unregistered digital asset securities offerings. According to the SEC’s complaint, filed in U.S. District Court for the Eastern District of New York, from approximately December […]

News

Gamestop Investigations?

 By now, all of our readers are aware of the dramatic rise in Gamestop’s stock, after a short squeeze generated by the retail investors from Reddit. The question I am hearing most now, is, will the SEC do something about it. Interesting question – but I have to answer with […]

Wells Notice, SEC, FINRA Investigation
Brokers Commentary Compliance Featured Articles Primer

The Wells Notice SEC/FINRA Investigations

By Mark Astarita Being the subject, target, or even a witness in an SEC or a seclaw.com/glossary/finra/” class=”glossaryLink” data-cmtooltip=”

FINRA
The Financial Industry Regulatory Authority, the primary regulator for United States stock brokers and brokerage firms. For more information see our article, FINRA – The Financial Industry(…)

” >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 […]

Uncategorized

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 […]