Tag: SEC Investigation

Defending an SEC Investigation
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9 Proven Strategies for Defending an SEC Investigation

In today’s complex regulatory environment, facing an SEC investigation can pose an existential threat for public companies. It also affects private funds, investment advisers, and broker-dealers. The key to mounting a resilient defense lies in early action, clear strategy, and rigorous discipline. I am a securities attorney specializing in regulatory investigations. I’ve outlined nine essential steps to help you defend against SEC scrutiny. These steps will protect your reputation and ensure business continuity.

What triggers an sec investigation
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What Triggers an SEC Investigation

The SEC’s enforcement division investigates potential violations of securities laws and regulations. Several triggers can lead to an SEC investigation: Tips and Complaints: The SEC often receives tips and complaints from whistleblowers, investors, industry insiders, or the public. If these tips suggest potential securities law violations, the SEC may investigate. Market […]

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What Does a Securities Lawyer Do?

Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com Securities law is a specialized field of law encompassing various types of securities lawyers. Transactional securities lawyers […]

Cryptocurrency Enforcement News

SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities

On July 13, 2023, the Securities and Exchange Commission (SEC) charged Celsius Network Limited (Celsius) and its founder and former CEO, Alex Mashinsky, with violating registration and anti-fraud provisions of the federal securities laws. The SEC alleged that Celsius failed to register the offers and sales of its crypto lending […]

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SEC Charges Three in Digital Asset Frauds

he Securities and Exchange Commission today charged three individuals with defrauding hundreds of retail investors out of more than $11 million through two fraudulent and unregistered digital asset securities offerings. According to the SEC’s complaint, filed in U.S. District Court for the Eastern District of New York, from approximately December […]

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Gamestop Investigations?

 By now, all of our readers are aware of the dramatic rise in Gamestop’s stock, after a short squeeze generated by the retail investors from Reddit. The question I am hearing most now, is, will the SEC do something about it. Interesting question – but I have to answer with […]