Being investigated or charged by the Securities and Exchange Commission can be an intimidating and stressful experience. However, you don't need to face it alone. This guide will walk you through the SEC enforcement process and how an experienced defense lawyer can protect your rights.

Responding Strategically to an SEC Investigation

The SEC has broad authority to investigate suspected violations of securities laws, including insider trading, accounting fraud, breach of fiduciary duty, and more. If you receive a subpoena or request to testify, it's essential to engage an SEC defense lawyer immediately.

How Defense Attorneys Help During SEC Investigations

An experienced attorney can help you respond strategically instead of blindly handing over documents or sitting for interviews. Your lawyer can:

• Negotiate the scope of SEC requests
• Prepare you for testimony
• Overall protect your rights during the investigation

They will also provide counsel on whether to settle with the SEC early or take your chances fighting any charges. Having an advocate who understands SEC tactics levels the playing field.

Understanding the Most Common SEC Violations

Defense lawyers in Virginia Beach see many SEC cases stemming from:

Types of Securities Law Violations

• Insider trading - Buying or selling securities based on non-public information.
• Accounting fraud - Falsifying financial statements.
• Ponzi schemes - Using investments from new victims to pay earlier investors.
• Misrepresenting or omitting material facts about investments.
• Market manipulation through techniques like high-frequency trading, pump-and-dump schemes, and spoofing.
• Bribery of foreign officials to get business overseas.

Successfully defending complex SEC cases requires both securities law expertise and criminal defense experience. Virginia Beach has law firms capable of handling all aspects of SEC defense.

Navigating SEC Settlements or Taking Your Chances at Trial

Settlement is a common outcome in SEC probes. It avoids a trial, but can still mean injunctions, disgorgement of profits, and hefty fines. Your lawyer can negotiate to minimize the damage.

Outcome Type	Key Components	Considerations
SEC Settlement	Injunctions, disgorgement, civil penalties	Avoids trial but still has consequences
Federal Trial	Administrative judge or jury trial	Higher risk but chance to defeat charges
Parallel Proceedings	Multiple agency investigations	Requires coordinated defense strategy

However, some cases warrant fighting at trial if the SEC insists on draconian settlements or has a weak case. If your case does go to trial, your Virginia Beach SEC defense lawyer's primary job is undermining the SEC's arguments and evidence. This often involves battling the SEC's expert witnesses with your own credible experts. While most trials occur before an administrative judge, you have the right to a jury for any criminal charges.

When an SEC Case Leads to Criminal Charges

For major violations, the Department of Justice may file criminal charges like wire fraud, mail fraud, conspiracy, obstruction of justice, or false statements. Now your lawyer needs experience defending criminal trials before a jury.

SEC and DOJ Coordination

The SEC may also use threats of criminal referral to pressure you into a tough settlement. A knowledgeable SEC defense lawyer can say whether this threat is real or just a negotiation tactic.

Handling Parallel Investigations

Frequently an SEC case triggers other federal and state probes by:

• The IRS
• FBI
• FINRA
• CFTC
• And more

Your attorney needs to quarterback the overall defense strategy across these parallel investigations.