Are You Under Investigation For Securities Fraud?
If you are, you may not even be aware of it yet. It is well-known that the U.S. Securities and Exchange Commission (SEC) is one of the country’s most formidable enforcement agencies. Often, those under SEC investigation do not know their activity is being monitored. An SEC investigation can span months or years. Investigations are frequently triggered by:
- Investor complaints to the SEC
- Media reports
- Self-regulating agencies
- Market surveillance activity
- Other securities sources
The Enforcement Division of the SEC collects data in a way that preserves critical evidence and the reputations of those interviewed.
When the investigation is complete, the SEC may initiate an administrative action within the SEC or in federal criminal court. Depending on the nature of the violations, the SEC has the option to prosecute in both venues.
Getting Ahead Of A Confidential Investigation
Confidential investigations preserving evidence and reputations are frequently replete with government overreach. You have a right to due process under the law pertaining to surveillance methods, searches and seizures of property. However, because the investigation begins informally, you may be blindsided by the time a formal order of investigation is issued.
Seek legal counsel as soon as possible if whispers of price-fixing, insider trading, unfair client treatment or selling unregistered securities are sounding anywhere in the company from home offices to social media.
Contact Kushner Law Group, PLLC
The SEC’s Division of Enforcement is a formidable force. The SEC Enforcement Division has extensive resources for conducting investigations. If you are under investigation, it is critical to speak with an experienced attorney who is able to represent you with an assertive defense. At the Kushner Law Group, PLLC, our team has the knowledge to take the steps necessary to mitigate losses and criminal prosecution with a strong defensive posture. Send us an email or call us now at 718-838-9341.