Articles Posted in SEC Subpoena

Rafael Nadal and Roger Federer are almost certainly among the top five or six male tennis players of all time. Federer retired from tennis in 2022, and Nadal just announced he will retire at the end of this year. At their peaks, they were undisputedly the top two players in the world. And while few…

SEC Made Numerous Material Misrepresentations to Utah District Court ***UPDATES BELOW – 3/19/24 and 6/4/24*** For a government agency with the talent and resources of the Securities and Exchange Commission, its ability to lose its focus and score an own goal is sometimes remarkable. At the same time the Supreme Court has power of administrative…

Lisa Braganca interviewed about SBF trial on Coindesk TV, describing the overwhelming evidence presented at trial from insiders, but also the dangers of having a defendant freely making statements prior to trial.

The Foregone Conclusion Doctrine Overriding the Fifth Amendment. Bragança Law LLC | September 8, 2023. Many legal ”experts” warn people to add a passcode lock to their phone if they suspect they will be arrested, or change to a passcode if they have a biometric lock. This summer, however, Illinois became the latest state to…

If you are subpoenaed by the SEC – the U. S. Securities and Exchange Commission – you should contact an SEC subpoena defense attorney right away. Just because you are not named in the title of the investigation or you think you have done nothing wrong, there are many ways that individuals and businesses can…

We aggressively protect our client’s rights, whether they’re businesses, investors, financial professionals, or whistleblowers. The tools of our trade are federal and state laws that regulate the securities industry and protect those who may be abused by it. Other laws or legal doctrines may also apply to participants in the securities industry. They include state…

There is one major concern that just about everybody has when they receive an SEC subpoena. That is, “How on earth am I going to pay for this?” There are two ways that you might be able to get help paying for attorney’s fees to respond to a subpoena if the subpoena is related to…