Category Archives: SEC Investigation

SEC Investigations 101: The Endgame

Posted on May 23, 2019 by

This post is the eighth 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, SEC Settlement | Leave a comment

SEC Investigations 101: The Wells Notice (Part 2)

Posted on March 15, 2019 by

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 →

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SEC Investigations 101: The Wells Notice (Part 1)

Posted on March 1, 2019 by

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 | 1 Comment

SEC Investigations 101: Testimony

Posted on January 31, 2019 by

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 →

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SEC Investigations 101: Cooperation?

Posted on January 2, 2019 by

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 | 2 Comments

Practical Insights from SEC’s Newest Enforcement Associate Directors

Posted on December 26, 2018 by

  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 | 1 Comment

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

Posted on December 14, 2018 by

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 →

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SEC Investigations 101: Establishing the Pace and Scope

Posted on November 27, 2018 by

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 | 1 Comment

SEC Investigations 101: Making Contact

Posted on November 14, 2018 by

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

Posted on November 1, 2018 by

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 →

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