SEC Subpoena – What to do after?
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SEC Subpoena Survival Guide: What to Do Next
Don’t face an SEC investigation alone. Get expert legal guidance to protect your rights and future.
Process Timeline
- 1. 2002: Sarbanes-Oxley Act expands SEC powers after Enron scandal
- 2010: Dodd-Frank Act further strengthens SEC enforcement after financial crisis
- 2021: SEC files record-breaking 434 enforcement actions
- 2022: Gurbir Grewal takes over as SEC Enforcement Director, signaling aggressive approach
- 2023: SEC expands use of subpoenas and depositions in investigations
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Receiving an SEC subpoena can be a nightmare scenario for any business executive or investor. Suddenly, you find yourself facing a complex and adversarial legal process, with your reputation, assets, and even your freedom at risk.
The Securities and Exchange Commission has broad powers to investigate suspected violations of federal securities laws. An SEC subpoena may demand the production of documents, information, or sworn testimony. Failing to comply can lead to harsh consequences, including contempt of court charges or criminal prosecution.
But you don’t have to face this ordeal alone. The experienced SEC defense attorneys at Spodek Law Group are here to guide you every step of the way. We’ve helped countless clients navigate high-stakes SEC investigations and emerge with their lives and livelihoods intact.
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How serious is an SEC subpoena?+
Extremely serious. An SEC subpoena means you are under investigation for potential federal securities law violations. The consequences can include heavy fines, permanent injunctions, asset freezes, officer and director bars, and even referral to the DOJ for criminal prosecution.
What should I do if I receive an SEC subpoena?+
Contact an experienced SEC defense attorney immediately. Do not respond to the subpoena, speak to SEC staff, or destroy any documents before consulting with counsel. You have important rights that a skilled attorney can help protect.
How can SEC defense attorneys help?+
SEC defense attorneys can communicate with SEC staff on your behalf, help you comply with the subpoena while protecting your rights, prepare you for giving sworn testimony, and develop an overall defense strategy aimed at resolving the investigation as favorably as possible.
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Important: Never ignore or delay responding to an SEC subpoena. Doing so can lead to additional charges and make your situation much worse. Engage an SEC defense attorney as soon as possible to protect your interests.
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Facing an SEC subpoena? Don’t wait to get the legal help you need.
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“When I received an SEC subpoena, I felt my world crashing down. But the legal team at Spodek Law Group was a lifesaver. They took charge, dealt with the SEC, and ultimately got the investigation closed without any charges being filed. I’m forever grateful for their outstanding work.” – CEO, Financial Services Company