Category Archives: SEC Investigation

SEC Investigations 101: The Wells Notice (Part 2)

This post is the seventh in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from Enforcement division staff. By  … Continue reading

Posted in SEC Investigation, SEC policy and practice | Leave a comment

SEC Investigations 101: The Wells Notice (Part 1)

By  Dan Portnov SEC investigations can last a long time. Even when the Enforcement staff comes charging out of the gate, the investigative pace invariably slows once there are terabytes of documents and hundreds of pages of testimony to review. … Continue reading

Posted in SEC Investigation, SEC policy and practice | Leave a comment

SEC Investigations 101: Testimony

This post is the fifth in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from Enforcement division staff. By  … Continue reading

Posted in SEC Investigation, SEC policy and practice | Leave a comment

SEC Investigations 101: Cooperation?

This post is the fourth in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from Enforcement division staff. By Dan … Continue reading

Posted in SEC Investigation, SEC policy and practice | Leave a comment

Practical Insights from SEC’s Newest Enforcement Associate Directors

  By Y. Ramona Lin[1] Last week, I had the pleasure of [virtually] attending a lunch and discussion featuring two newest SEC Enforcement Associate Directors, Anita Bandy and Carolyn Welshhans.[2] The discussion was moderated by Kara Brockmeyer, a partner at … Continue reading

Posted in SEC Investigation, SEC policy and practice | Leave a comment

Initial Coin Offerings and What the SEC Might Think About Them: An Update

By Daniel Portnov Earlier this week I attended the DC Bar’s Communities program “Crypto Update: Current Issues Relating to Blockchain, Digital Assets and ICOs” featuring two members of the Commission’s staff – Assistant Director Jennifer Leete from the Enforcement Division and … Continue reading

Posted in SEC Investigation, SEC policy and practice | Leave a comment

SEC Investigations 101: Establishing the Pace and Scope

This post is the third in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from SEC’s Enforcement division staff. … Continue reading

Posted in SEC Investigation, SEC policy and practice | Leave a comment

SEC Investigations 101: Making Contact

By Dan Portnov This post is the second in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from SEC’s … Continue reading

Posted in SEC Investigation, SEC policy and practice | 1 Comment

SEC Investigations 101: How It All Begins

By Daniel Portnov This post kicks off a series for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of an SEC document request, subpoena or call from SEC Enforcement division staff. Receiving a call from … Continue reading

Posted in SEC Investigation, SEC policy and practice | Leave a comment

Latest Developments in the SEC’s Cryptocurrency Enforcement

  By Daniel Portnov It’s been a busy 2018 for cryptocurrency enforcement by the SEC. Following statements by Chair Jay Clayton and Co-Director of Enforcement Stephanie Avakian announcing various cryptocurrency concerns, sweeps and initiatives,[1] several recent Commission enforcement actions have … Continue reading

Posted in SEC Investigation, Securities fraud, SEC policy and practice | 1 Comment