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Warren Law Group defends individuals and companies in all types of litigation. Our team has decades of experience in all types of litigation, white collar defense, securities litigation, and financial services enforcement proceedings.

SEC Investigations FAQs

Q
How Can I Ensure Compliance During SEC, DOJ, or AG Investigations?
A

When navigating investigations by the Securities and Exchange Commission (SEC), Department of Justice (DOJ), or Attorney General’s (AG) office related to securities fraud, misrepresentation, and more, compliance is of paramount importance. To address these inquiries effectively:

Engage Specialized Legal Counsel: It’s crucial to seek counsel from legal professionals well-versed in securities law and the intricate regulatory landscape. Their expertise will guide you through complexities, ensuring your actions align seamlessly with legal requirements.

Conduct a Comprehensive Assessment: Carefully evaluate your business operations, policies, and practices to preemptively identify potential issues that might attract scrutiny. Proactively addressing these matters showcases your dedication to compliance.

Collaborate and Communicate Transparently: Embrace a proactive and cooperative approach by fully collaborating with investigators and maintaining transparent communication. Demonstrating commitment to resolving concerns can positively impact how authorities view your efforts.

Q
What Is the Interplay Between SEC, DOJ, and AG Investigations?
A

Interactions among the Securities and Exchange Commission (SEC), Department of Justice (DOJ), and Attorney General’s (AG) office can be intricate, especially in matters of securities fraud or misrepresentation:

Distinct Jurisdictions: Each entity operates independently within its jurisdiction. The SEC primarily focuses on civil enforcement, while the DOJ handles criminal cases. The AG’s office often oversees state-level violations.

Exchange of Information: There are instances when these bodies share information, particularly when investigating interconnected matters. This collaboration enhances the collective understanding of potential wrongdoing.

Convergence of Investigations: In certain situations, SEC, DOJ, and AG investigations may converge due to shared interests. For example, allegations involving both civil and criminal violations could lead to parallel investigations for comprehensive enforcement.

Q
How Should I Respond to a Subpoena or Inquiry?
A

When confronted with a subpoena or inquiry from the SEC, DOJ, or AG pertaining to securities fraud, misrepresentation, and related issues, a strategic response is vital:

Prompt Legal Consultation: Reach out to experienced legal advisors immediately to evaluate the situation and formulate a response strategy aligned with your circumstances.

Preserve Essential Documents: Safeguard all pertinent documents and communications, ensuring their preservation and accessibility for potential investigations.

Transparency and Cooperation: Approach the investigation with full cooperation, providing accurate and transparent information. Open dialogue with investigators is essential.

Protecting Legal Privileges: Understand the significance of attorney-client privilege and collaborate closely with your legal team to safeguard sensitive communications appropriately.

Q
What Are the Potential Consequences of Non-Compliance?
A

Neglecting compliance in the face of SEC, DOJ, or AG investigations can lead to severe outcomes:

Civil Penalties: Violating SEC regulations can result in civil penalties, fines, and sanctions, impacting both reputation and financial stability.

Criminal Charges: DOJ investigations might lead to criminal charges, including fines and potential imprisonment for individuals found guilty of securities fraud or related offenses.

Reputation Damage: Even without legal penalties, non-compliance can tarnish your company’s reputation and erode investor and public trust.

We are approaching our second year working with the Warren Law Group. Their team of attorneys have you covered from head to toe. Whether you need help in corporate compliance, cryptocurrency, FINRA arbitration or commercial litigation.
Bill Teubner
02/02/2023
Jon-Jorge Aras did a fantastic time navigating an extremely challenging time in my life with my career on the line. He is a passionate lawyer who fought tooth and nail to achieve expungement. I am back in the drivers seat in my career after nearly two years thanks to him and The Warren Law Group
Constantine Matsakis
12/27/2022
Jon-Jorge Aras is an exceptional lawyer. I hired Jon-Jorge to help with a Finra expungement and got it done for me in a fast amount of time. He took the time to understand my case and the impact the defamatory statement had on my career and my life. When I was arguing my case you can feel the passion as if it was personal to him. I highly recommend Jon-Jorge for your legal services.
sam
11/07/2022
I have to compliment Chris Warren and the entire team at Warren Law Group. They were extremely professional and was very detailed oriented in their work. Specifically, they spent a lot of time focused on my needs and communicated their process every step. I would never hesitate to use them and highly recommend Chris and the firm.
Michael Marino
02/02/2022