OUR BLOG
Getting Cooperation Credit in SEC Settlements: Strategies for Defense Lawyers
Getting Cooperation Credit in SEC Settlements: Strategies for Defense Lawyers Settling an SEC enforcement action can be a complex process for companies and individuals. The SEC’s cooperation program provides incentives for defendants to cooperate with… Read More
SEC Valuation and Impairment Enforcement: Investigation Focus Areas
SEC Scrutinizes Valuation and Impairment Practices: What Companies Need to Know The Securities and Exchange Commission (SEC) closely examines how public companies value assets and recognize asset impairment losses. Failures in these areas can mislead… Read More
SEC Enforcement in Financial Services: Industry Trends and Priorities
SEC Enforcement in Financial Services: An Overview for Industry Professionals The U.S. Securities and Exchange Commission, commonly referred to as the SEC, plays a crucial role in regulating and overseeing financial markets and services. As… Read More
SEC Energy Sector Enforcement: Investigation Trends and Priorities
SEC Energy Sector Enforcement: Investigation Trends and Priorities The energy sector has been under increased scrutiny by the Securities and Exchange Commission (SEC) in recent years. With a focus on environmental, social and governance… Read More
The SEC Wells Process: Wells Submissions and Defense Strategies
The SEC Wells Process: Wells Submissions and Defense Strategies When the SEC believes someone has violated securities laws, they may issue a Wells Notice informing the recipient they plan to bring an enforcement action. This… Read More
SEC Scrutiny of Pharma and Life Sciences Companies: Investigation Focus Areas
SEC Scrutiny of Pharma and Life Sciences Companies: Investigation Focus Areas The life sciences industry, including pharmaceutical, biotechnology, and medical device companies, operates in a complex regulatory environment. Companies in this space are subject to… Read More
SEC Crackdown on Insider Trading by Investment Professionals
SEC Crackdown on Insider Trading by Investment Professionals The Securities and Exchange Commission (SEC) has really been cracking down on insider trading lately. They’ve brought a bunch of cases against hedge fund managers, analysts,… Read More
Auditor Independence and SEC Enforcement Actions
Auditor Independence and SEC Enforcement Actions Auditor independence is super important when it comes to public company auditing in the U.S. Auditors need to remain objective and impartial when conducting audits so that investors can… Read More
Financial Reporting Fraud: SEC Focus on Misconduct and Misstatements
Financial Reporting Fraud: SEC Focus on Misconduct and Misstatements Financial reporting fraud is a big deal, you know? The SEC takes this stuff super seriously because it messes with investor confidence and the integrity of… Read More
FCPA Violations and SEC Enforcement: Investigation and Settlement Strategies
FCPA Violations and SEC Enforcement: Investigation and Settlement Strategies Dealing with an SEC investigation into potential FCPA violations can be daunting for any company. The stakes are high, and the legal complexities immense. But… Read More
SEC SPAC Projections: Enforcement Risks and Disclosure Obligations
SEC SPAC Projections: Enforcement Risks and Disclosure Obligations Special purpose acquisition companies, or SPACs, have become an increasingly popular way for companies to go public in recent years. However, SPACs also come with unique risks… Read More
FCPA Violations: Navigating Parallel SEC and DOJ Investigations
FCPA Violations: Navigating Parallel SEC and DOJ Investigations In recent years, enforcement of the Foreign Corrupt Practices Act (FCPA) has become a high priority for both the Securities and Exchange Commission (SEC) and Department of… Read More
Calculating SEC Disgorgement and Civil Penalties
Calculating SEC Disgorgement and Civil Penalties What is the SEC? The Securities and Exchange Commission, or SEC, is the primary regulator and enforcer of U.S. securities laws. The SEC is an independent federal government agency… Read More
Parallel SEC and DOJ Investigations: Strategies for Navigating Overlap
Parallel SEC and DOJ Investigations: Strategies for Navigating Overlap Companies operating in highly regulated industries like finance and healthcare often face the prospect of parallel civil and criminal investigations by different government agencies. For example,… Read More
SEC Enforcement Trends to Follow in 2023
SEC Enforcement Trends to Follow in 2023 The SEC has been ramping up enforcement actions in recent years, and we can expect this trend to continue in 2023. Here are some of the key areas… Read More
Insider Trading Enforcement by the SEC: Investigations and Prosecutions
Insider Trading Enforcement by the SEC: Investigations and Prosecutions Insider trading has been a big focus for the SEC in recent years. The SEC says it undermines trust in the markets and isn’t fair for… Read More
SEC Crackdown on Accounting Fraud and Financial Misstatements
SEC Crackdown on Accounting Fraud and Financial Misstatements The Securities and Exchange Commission (SEC) has been ramping up efforts to detect and punish companies engaging in accounting fraud or making false and misleading statements… Read More
SEC Examinations and Enforcement of Investment Advisers
Dealing with SEC Exams and Enforcement as an Investment Adviser As an investment adviser in the U.S., you need to know that the Securities and Exchange Commission (SEC) oversees and regulates your business. The SEC… Read More
SEC Crypto Enforcement: Actions Against Digital Assets and Offerings
SEC Crypto Enforcement: Actions Against Digital Assets and Offerings The SEC has been ramping up enforcement actions against crypto assets and offerings over the past few years. With the explosive growth of the crypto market,… Read More
SEC SPAC Enforcement: Disclosure Requirements and Risks
SEC SPAC Enforcement: Disclosure Requirements and Risks Special purpose acquisition companies, or SPACs, have become an increasingly popular way for companies to go public in recent years. However, the SEC has raised concerns about… Read More
Preparing Executives for SEC Interviews and Testimony
Getting Ready for SEC Interviews – Tips from an Attorney Being called in for an SEC interview or to give testimony can make anyone feel nervous. As an attorney who has prepared many executives for… Read More
SEC Probes of Public Company Disclosures: Strategies for Defense Lawyers
SEC Probes of Public Company Disclosures: Strategies for Defense Lawyers When the SEC comes knocking on your client’s door with questions about their public disclosures, it can be daunting for both the company and… Read More
Red Flags Triggering SEC Inquiries: Recognizing the Warning Signs
Red Flags Triggering SEC Inquiries: Recognizing the Warning Signs The Securities and Exchange Commission (SEC) is the government agency responsible for enforcing securities laws and regulating the securities industry. One of the SEC’s main goals… Read More
Self-Reporting SEC Violations: Weighing Pros, Cons and Strategies
Self-Reporting SEC Violation: Weighing Pros, Cons and Strategies Making a mistake is human, but how a company responds to errors can reveal its true character. When an internal investigation uncovers potential wrongdoing within a publicly… Read More
SEC Referrals to DOJ for Criminal Charges: Navigating the Crossroads
SEC Referrals to DOJ for Criminal Charges: Navigating the Crossroads The Securities and Exchange Commission (SEC) is tasked with civil enforcement of federal securities laws. However, in some cases where serious misconduct is uncovered, the… Read More
Negotiating SEC Settlements: Key Factors for Defense Lawyers
Negotiating SEC Settlements: Key Factors for Defense Lawyers Dealing with an SEC investigation can be stressful and intimidating for any company or individual. However, skilled defense lawyers can help their clients navigate the process and… Read More
Responding to SEC Subpoenas: Dos and Don’ts for Defense Lawyers
Responding to SEC Subpoenas: Dos and Don’ts for Defense Lawyers Dealing with an SEC subpoena can be intimidating. The SEC has broad authority to investigate potential securities law violations, and failure to properly respond can… Read More
Fighting SEC Allegations: Litigation Tactics and Strategies
Fighting SEC Allegations: Litigation Tactics and Strategies Dealing with allegations from the Securities and Exchange Commission (SEC) can be scary. But there are ways to fight back. This article talks about strategies companies and individuals… Read More
Ponzi Schemes and Pyramid Schemes Under SEC Scrutiny
Ponzi Schemes and Pyramid Schemes Under SEC Scrutiny The Securities and Exchange Commission (SEC) has been cracking down on Ponzi schemes and pyramid schemes in recent years. These types of investment fraud target unsuspecting investors… Read More
SEC Whistleblowers: Their Role and Impact on Investigations
SEC Whistleblowers: Their Role and Impact on Investigations Whistleblowers play a critical role in uncovering securities fraud and other violations of federal securities laws. By coming forward with insider information, whistleblowers can help the Securities… Read More
Cooperation in SEC Probes: How It Affects Settlement Terms
Cooperation in SEC Probes: How It Affects Settlement Terms When companies or individuals are being investigated by the SEC for potential violations of securities laws, their level of cooperation with the investigation can have a… Read More
SEC Enforcement: How Investigations Unfold and Cases Get Built
SEC Enforcement: How Investigations Unfold and Cases Get Built Dealing with an SEC investigation can be scary. The SEC has a lot of power to dig into your affairs and charge you with violations. But… Read More
Mortgage APR Calculator
Mortgage APR Calculator Getting a new mortgage can be confusing, with all the different rates and fees to consider. One important number to look at is the Annual Percentage Rate, or APR. This helpful… Read More
Debt Consolidation Calculator
Debt Consolidation: What It Is and How It Works If you’re struggling with debt across multiple credit cards or loans, you may have heard of debt consolidation. Essentially, it allows you to combine all your… Read More
Federal Tax Calculator
Federal Tax Calculator Figuring out your federal taxes can be really tricky. With all the different tax rates, deductions, credits, and exceptions, it’s easy to get confused. That’s why using an online federal tax… Read More
7 Steps to Eliminate Small Business Debt
7 Steps to Eliminate Small Business Debt Running a small business can be extremely rewarding, but it also comes with its fair share of challenges. One of the biggest struggles for many small business owners… Read More
How long does the IRS have to audit the ERC credit?
How Long Does the IRS Have to Audit the ERC Credit? The Employee Retention Credit (ERC) has been a lifeline for many businesses during the pandemic. This refundable tax credit was designed to help employers… Read More
What is the penalty for false ERC claims?
What is the Penalty for False ERC Claims? The Employee Retention Credit (ERC) threw struggling businesses a lifeline during COVID-19. This refundable payroll tax credit encouraged retaining staff when revenue dropped. But some abused this… Read More
What is the process of an ERC audit?
What is the Process of an ERC Audit? An ERC audit can be a scary thing. The IRS sending you a letter about an audit makes your stomach drop. But don’t freak out just yet…. Read More
What can I expect from an ERC audit?
What Can I Expect From an ERC Audit? The Employee Retention Credit (ERC) has been a lifeline for many businesses during COVID-19. But with big money comes big attention from the IRS. So if you… Read More
Do you have to pay back an ERC refund?
Do You Have to Pay Back an ERC Refund? Lots of folks are wondering if they gotta pay back the money they got from the Employee Retention Credit (ERC). This article will explain everything real… Read More
What triggers a ERC audit?
What Triggers an ERC Audit? The Employee Retention Credit (ERC) has been a lifeline for many businesses during the pandemic. This tax credit helps companies keep employees on payroll by providing a credit for wages… Read More
Will the IRS audit the ERC credit?
The Employee Retention Credit (ERC) has been a valuable lifeline for many small businesses during the pandemic, but some questionable claims have led the IRS to crack down. This has many business owners worried about… Read More
Anaheim PPP – SBA – EIDL Loan Fraud Lawyers
Anaheim PPP Loan Fraud The Paycheck Protection Program (PPP) was created in 2020 to provide small businesses with loans to help them through the COVID-19 pandemic. However, the hastily rolled out program was rife with… Read More
Riverside PPP – SBA – EIDL Loan Fraud Lawyers
The COVID-19 pandemic brought much needed financial relief to small businesses through the Paycheck Protection Program (PPP) and Economic Injury Disaster Loan (EIDL) program. But it also opened the door for fraudsters trying to take… Read More
Corpus Christi PPP – SBA – EIDL Loan Fraud Lawyers
Corpus Christi PPP – EIDL Loan Fraud Lawyers The Paycheck Protection Program (PPP) and Economic Injury Disaster Loan (EIDL) program were created by the federal government to provide financial assistance to small businesses struggling during… Read More
Omaha PPP – SBA – EIDL Loan Fraud Lawyers
Dealing with PPP and EIDL Fraud Charges in Omaha Getting accused of PPP or EIDL fraud is scary stuff. The government is taking these cases super seriously and going after small business owners across the… Read More
Raleigh PPP – SBA – EIDL Loan Fraud Lawyers
Raleigh PPP Loan Fraud Lawyers – Helping Small Businesses Avoid Jail Time When the COVID pandemic hit in 2020, the government set up the Paycheck Protection Program (PPP) to throw struggling small businesses a lifeline…. Read More
Long Beach PPP – EIDL Loan Fraud Lawyers
Long Beach PPP – EIDL Loan Fraud Lawyers The COVID-19 pandemic brought unprecedented government assistance to struggling businesses and employees. The Paycheck Protection Program (PPP) and Economic Injury Disaster Loan (EIDL) program distributed hundreds of… Read More
Miami PPP – SBA – EIDL Loan Fraud Lawyers
Dealing with PPP and EIDL Fraud Charges in Miami Hey there! I wanted to provide some helpful information if you or someone you know is facing allegations of fraud related to COVID relief loans like… Read More