by Adriaen Morse | Jan 9, 2024 | Digital Assets, AI & Emerging Technology
The SEC defines everything from cryptocurrencies such as Bitcoin and Ethereum to digital tokens that are tracked on the blockchain as “digital assets” that may be regulated as a security. Learn more about our blockchain practice here. SEC’s...
by dcadmin | Jan 9, 2024 | Financial Services
We’ll speak in the context of an SEC subpoena, but any subpoena issued by the government–whether by the SEC, DOJ, CFTC, or some other agency–will have similar considerations and parallel processes Before a Subpoena is Issued Often (although by...
by dcadmin | Jan 9, 2024 | White Collar Defense & Investigations
How did we come to the government’s attention? Many clients wonder how the government came to focus on them. Where did the original information come from? How did the government learn about our audit client or us? The answer will vary, of course, and it may be...
by dcadmin | Jan 9, 2024 | FAQs
Have I been defrauded? Just because you’ve lost money in the markets does not mean that you’ve been defrauded. Markets go up, but they go down, too. The question is whether or not the investment professional who advised you placed you into investments that...
by dcadmin | Jan 9, 2024 | FAQs
Your firm says you did something wrong You’ve worked hard to build your reputation in the industry, and it doesn’t take much to tarnish everything you’ve built. Sometimes a customer will make a complaint and the firm will react defensively, blaming...
by dcadmin | Jan 9, 2024 | FAQs
Customer claim or regulatory issue? Whether a Financial Adviser has been accused of impropriety by a customer or a regulator has begun asking questions, you will want to retain experienced counsel to address the relevant issues. We have handled both sides of customer...
by dcadmin | Jan 9, 2024 | FAQs
What do I do now? Talk to a lawyer with experience dealing with whistleblowers. Most organizations have policies against retaliating against employees who report potential issues in good faith. Some types of reports may be covered by federal or state laws. A lawyer...
by dcadmin | Jan 9, 2024 | FAQs
First steps Before you report anything, you need to assess whether what you have observed is actually unlawful. Sometimes, someone may have done something that appears to be illegal or unethical but, upon investigation, it is not in fact a legal violation. You should...
by dcadmin | Jan 9, 2024 | FAQs
Finding the “right” lawyer changes with the context. Insurance—Directors & Officers (“D&O”) Insurance Most companies of any size will have considered purchasing a D&O insurance policy and most corporate insurers will suggest such a policy...
by dcadmin | Jan 9, 2024 | FAQs
You need an advocate We’ve had many clients wrongly accused. And if we’re able to get involved early, we stand a better chance of addressing the issues before they spiral out of control. If an employer or someone else has informed you that they believe...
