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If you have received a subpoena, a call from an examiner, or a Wells notice from the Securities and Exchange Commission (SEC), an SEC investigation lawyer from Price Benowitz will help you plan your response. Our skilled team will handle document production, help you to decide whether to participate in a deposition, prepare you to testify, and take the lead in managing communications so you are well-informed at every step. Steady and early guidance makes a difference in maintaining control of your case.
Contact our office today to begin working with a dedicated legal advocate.
An SEC investigation may start slowly, with a subpoena for records or a request for sworn testimony. These inquiries fall under the Securities Exchange Act of 1934, 15 U.S.C. § 78u, and could expand into broader reviews of trading practices, disclosure issues, or investment activity. Investigators may look to provisions such as Section 10(b) and Rule 10b-5, the antifraud section of the Securities Act of 1933 § 17(a), or the Investment Advisers Act of 1940 § 206. In certain situations, the Department of Justice may begin a parallel investigation in addition to the SEC’s review.
Deadlines, confidentiality, and privilege concerns arise almost immediately. An experienced attorney in this area can help if you are facing an SEC investigation by:
The possible outcomes of an investigation range widely. Some inquiries close without charges, while others may lead to settlements involving injunctions, disgorgement, civil penalties under 15 U.S.C. §§ 77t(d) and 78u(d), or restrictions on serving as an officer or director. How you respond at each stage directly impacts the outcome, which is why you need an experienced attorney to support you. Reach out to our team as soon as you learn you are facing an investigation.
During an SEC inquiry, our skilled securities counsel can help control the process by narrowing the scope of requests, safeguarding privileged communications, and negotiating realistic timelines. Your company’s employees may be subject to interviews and may receive an Upjohn warning, which specifies that your company’s lawyers represent the organization, not the employee. Understanding that distinction is essential.
There are also strategic questions around cooperation. In some cases, carefully managed disclosures may earn credit with the SEC. In others, asserting the Fifth Amendment or holding back information may be the safer route. A seasoned SEC defense lawyer knows how to strike that balance without creating unnecessary exposure.
Challenging the government’s legal theories is another key step. Attorneys may contest allegations of intent, materiality, or scheme liability or argue that certain claims fall under negligence-based provisions such as Section 17(a)(2) or (3). When settlement discussions begin, the collateral consequences matter as much as the penalties themselves. There could be impacts to your professional licenses, employment, immigration status, and related civil suits. If the SEC issues a Wells notice, a carefully drafted submission could persuade the Commission to narrow or even drop charges. Call today to understand more about your rights and options during an investigation.
If the SEC has contacted you, there is no reason to face the inquiry alone. An SEC investigation lawyer could explain the process, prepare you for each step, and help you make choices that protect your rights.
Price Benowitz represents clients across the United States. Contact us today for a free case evaluation to discuss your situation and available options. A well-informed response at the start could determine the course of the entire investigation.
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