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Do I Have to Tell Employees About SEC Subpoena There's no legal requirement to announce an SEC subpoena to all employees. That's the short answer. The SEC doesn't require you to call a company-wide…

A FINRA investigation is not what you think it is. Most people assume it's like a government inquiry, something with constitutional protections, the right to remain silent, due process. It's not. FINRA is a…

Employee Rights During SEC Investigation Your employer is not on your side during an SEC investigation. That's the first thing you need to understand. The lawyer your company sends to interview you doesn't represent…

If you're searching for the difference between an SEC subpoena and a formal investigation, you've already misunderstood the situation. There is no difference. The SEC cannot issue a subpoena without first obtaining a formal…

Yes. And they probably already have. That's the answer nobody wants to hear when they search this question. You're looking for reassurance - maybe some rule that requires notification, some process that keeps you…

The SEC subpoena demands everything from you while telling you almost nothing. You don't know if you're the target of the investigation or just a witness. You don't know if it's civil or criminal.…

The referral already happened. You just don't know it yet. That's the part nobody explains when you search for "what triggers SEC referral to DOJ." You're looking for a list of factors, some warning…

The SEC investigation is the criminal investigation. You just don't know it yet. By the time someone tells you the Department of Justice has "taken an interest" in your case, you've already given them…

Ignoring an SEC subpoena to keep the investigation quiet is the exact thing that makes it public. The enforcement action creates permanent court records that didn't exist before. Confidential investigations stay confidential if you…

Is an SEC Subpoena Serious? If you're asking whether an SEC subpoena is serious, you already know the answer. You're not asking because you genuinely don't know. You're asking because you're hoping someone will…