What are the critical mistakes made during an SEC investigation? If you have received an SEC subpoena, a containable civil matter can quickly escalate into parallel criminal exposure with the DOJ absent a calculated defense strategy.
In this video, former SEC Enforcement Division Senior Counsel David R. Chase outlines the most damaging legal and strategic mistakes corporate executives, financial professionals, and individual investors can make during an inquiry. Critical Mistakes in SEC Investigations: Mistake #1: Speaking to the SEC Without Defense Counsel Mistake #2: Document Destruction & Failing to Preserve Records Mistake #3: Discussing the SEC Subpoena with Non-Attorneys Mistake #4: Ignoring Potential Parallel DOJ Criminal Exposure
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
[View Source]