by dcadmin | Dec 19, 2023 | Securities & Regulatory Enforcement, Uncategorized
SEC investigations begin and are tracked, completed, resolved, and ultimately closed in accordance with the SEC’s processes and procedures. Accordingly, the progress of an investigation and the next steps in the process can be understood and anticipated. Matter...
by dcadmin | Dec 19, 2023 | FAQs
Now that the government has served a subpoena on you, what does it mean and what should you or your company do in response? 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...
by dcadmin | Dec 19, 2023 | FAQs
Do you wonder how the government receives information that leads it to open an investigation? Good question. An investigation may be sparked in a myriad of ways. Years ago, it might have been from a Wall Street Journal or New York Times article in the morning paper...
