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If you’ve been served with an SEC subpoena, it’s likely you are facing a stressful and uncertain situation. A subpoena is an official request from the Securities and Exchange Commission (SEC) to produce documents, provide testimony, or both, as part of an investigation into potential violations of securities laws. While receiving a subpoena does not necessarily mean you are under

Insider trading accusations can severely damage reputations, careers, and company credibility. Several recent cases involving high-profile executives emphasize the importance of adhering to best practices for compliance with securities laws. Below, we outline essential strategies for corporate leaders to avoid accusations of insider trading, using recent cases as cautionary tales. Understand and Respect Blackout Periods A blackout period is a

Transparency in investor advisory fees is not just a regulatory requirement—it reflects integrity. But when disputes arise, defending the legitimacy of advisory fees becomes a nuanced challenge, often hinging on whether those fees were adequately disclosed and justified. Recent cases have brought this issue to the forefront, highlighting both the pitfalls of poor communication and the importance of proactive transparency.

A target letter is a formal communication issued by federal prosecutors to inform an individual that they are the subject of a criminal investigation. It serves as a notification that the recipient is considered a “target,” meaning prosecutors believe there is substantial evidence linking them to a federal crime. While a target letter does not mean the individual has been

When facing federal criminal charges, selecting a defense lawyer with a deep understanding of the federal sentencing regime is critical. Federal sentencing involves complex considerations, including statutory minimum and maximum penalties, the nuanced calculations under the U.S. Sentencing Guidelines, and important legislative reforms like the First Step Act (FSA), which expanded opportunities for sentence reductions and early release. A knowledgeable