Each year, the U.S. Securities and Exchange Commission (SEC) brings hundreds of civil and administrative enforcement actions against individuals and companies for violations of the nation’s securities laws.
As our capital markets continue to experience unprecedented growth and expansion, the SEC’s enforcement program must regularly monitor the financial markets, the internet, company filings, and news stories for information indicating that a violation of the federal securities laws may have occurred.
Some scrutinized conduct is of a significant enough magnitude that overlapping jurisdictions become involved and parallel investigations are initiated.
The ever-broadening landscape of local, state, federal, and international laws and regulations that govern business entities and individuals alike make the risk of parallel investigations ever-present.
Competently navigating the investigative process from the beginning is imperative.
Join PBI and a panel of experts as they discuss the practice and pitfalls of navigating SEC investigations and criminal proceedings.
SEC Investigations & Proceedings
- SEC power to Investigate
- Document Production Issues
- Testimonial Issues
- The Wells Process
- The Supreme Court’s Upcoming Decision on Legality of ALJ Process
Criminal Proceedings and the DOJ
- The Grand Jury stage
- The Charging Stage
- Brady & Jencks Considerations
- Pleas & Trials
Intersection of SEC and DOJ Proceedings – Parallel Proceedings
5th Amendment Issues
- The Applicable Law of Invocation and Waiver
- Individual vs Corporation
- Documents vs Testimony
- The Adverse Inference
Related Ethical Issues
Recorded in April 2023.