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securities-exchange-commission Archives

What to Do When the SEC and the U.S. Attorney’s Office are Investigating You

By Robert G. Stahl Esq., NJ & NY Criminal Defense Lawyer posted in Criminal Investigation, Federal Investigation, Prosecution, Subpoena, SEC, Securities Exchange Commission on Thursday, November 1, 2018

The U.S. Securities and Exchange Commission (SEC) operates from its headquarters in Washington, D.C. and has 11 regional offices. It’s Division of Enforcement investigates cases and recommends to the Commission cases to be brought against individuals and entities. Investigations can begin through whistleblowers, news articles, referrals from other agencies, complaints from the public or data derived from market surveillance.

Tags: Criminal Investigation, Federal Investigation, Prosecution, Subpoena, SEC, Securities Exchange Commission

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