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Expert Analysis

5 Common Misconceptions About SEC Investigations

By Daniel Hawke ( November 13, 2018, 12:57 PM EST) -- There are few things that are as unpleasant, expensive and fear-inducing as a U.S. Securities and Exchange Commission investigation. Companies and individuals often find themselves in a state of high anxiety over the possibility of an enforcement action and its implications. Jobs, reputations and, in some cases, liberty are at risk. Attorneys' fees can far exceed the amount of money at issue. The longer an investigation continues, the greater the psychic drain, disruption, and toll on emotional health and financial well-being can be. And, when the conduct at issue is genuinely problematic, the consequences can be severe and life-altering....

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