“I am not going to answer your trick questions, Mr. Wisenberg.”

PRESIDENT BILL CLINTON

SEC

Responding to an SEC Subpoena During a Securities Fraud Investigation: Ten Do’s and Don’ts

This article is for the business executive or entrepreneur who receives a subpoena from the Securities and Exchange Commission (“SEC”) for testimony and/or documents. Often the subpoena is directed to the individual’s company or companies. Understanding the playing field on which the SEC conducts securities fraud investigations is critical to mapping out an effective defense strategy. The smallest tactical error

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