Securities Investigations
Should I hire a securities lawyer?
Laws and regulations with respect to securities can be complex and confusing without an experienced securities lawyer. Our attorneys are particularly qualified to represent clients in securities investigations because they have experience in both securities transaction/ litigation as well as criminal defense. Our securities lawyers represent individuals who have been contacted as a part of an investigation or have been charged with securities violations both on the federal level (SEC, FINRA, DOJ) or state regulators.
When should I hire a securities attorney?
You should contact a securities/criminal attorney as soon as you are contacted regarding an investigation. Our attorneys are familiar with the process and the law and can help you determine any potential civil and/or criminal exposure and what the possible outcomes may be.
The SEC conducts both informal and formal investigations. Your response to the investigations can determine if the SEC pursues their investigation and brings an enforcement action. In addition, your interaction and response to the SEC may also determine whether the DOJ will criminally prosecute the matter.
What is your attorney’s role during interviews?
The SEC will likely request your testimony in either an informal interview or under oath in a subpoena: an attorney should be present for both proceedings. Statements in any proceedings may be used against you.
Our attorneys are familiar with the types of questions asked during an interview and can prepare you for testimony. Additionally, an attorney can help you decide whether it is in your best interest to invoke the 5th amendment or answer the questions asked. An attorney should be present during any interviews in order to ensure that the SEC does not use any unfair tactics or infringe on your rights.
What is your attorney’s role during document production?
Furthermore, a securities lawyer can assist you with document production. The SEC has specific requirements on how documents are to be produced. A failure to properly produce documents can result in the SEC pursuing an enforcement action or contempt of court for failure to comply.
The SEC does not have a right to all documents; an attorney can help you determine which document need to be turned over and those that do not. Knowing the difference is vital because the documents can be used as evidence against you.
How can your attorney assist in resolving the matter?
A securities attorney can negotiate and advocate on your behalf whether it be to settle or to encourage the SEC to not pursue an enforcement action.
It is extremely important to have an attorney to protect you and your rights.
