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Expert Analysis

Fear Is Not Sufficient Grounds To Duck SEC Subpoena

Law360, New York ( September 3, 2015, 10:57 AM EDT) -- A witness testifying under oath before the U.S. Securities and Exchange Commission recently refused to answer any questions directed to him, not because he was protected by a privilege, but rather because — as he said, 68 separate times — he was "scared" and "frightened." The SEC subsequently persuaded a Massachusetts federal court to compel the witness to reappear before the SEC and comply with the subpoena in question, or show cause why he shouldn't have to do so. SEC v. Carlos R. Garza, 1:15-mc-91258-RGS (D.Mass.)....

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