Written by the lawyers who fight these cases.

A Wells Notice means FINRA has already decided to come after you. The investigation is over. The evidence has been gathered. The…

Do I Have to Tell Employees About SEC Subpoena There's no legal requirement to announce an SEC subpoena to all employees. That's…

A FINRA investigation is not what you think it is. Most people assume it's like a government inquiry, something with constitutional protections,…

Employee Rights During SEC Investigation Your employer is not on your side during an SEC investigation. That's the first thing you need…

If you're searching for the difference between an SEC subpoena and a formal investigation, you've already misunderstood the situation. There is no…

Yes. And they probably already have. That's the answer nobody wants to hear when they search this question. You're looking for reassurance…

The SEC subpoena demands everything from you while telling you almost nothing. You don't know if you're the target of the investigation…

The referral already happened. You just don't know it yet. That's the part nobody explains when you search for "what triggers SEC…

The SEC investigation is the criminal investigation. You just don't know it yet. By the time someone tells you the Department of…

Ignoring an SEC subpoena to keep the investigation quiet is the exact thing that makes it public. The enforcement action creates permanent…

Is an SEC Subpoena Serious? If you're asking whether an SEC subpoena is serious, you already know the answer. You're not asking…

The Question You're Really Asking The question isn't "what's the difference between an SEC inquiry and an enforcement action." The question is…