Los Angeles
Criminal Defense Attorneys

Responding To SEC Subpoenas

If you have been sent a subpoena from the SEC, we can help. The SEC has shifted into high gear recently, due to ICO’s/Crytocoins, and is diligently investigating all issues. SEC Subpoena’s are being sent in full force, and require immediate action. Receiving an SEC subpoena can be jarring – here’s whats important: you have to respond to SEC subpoenas.

Do not ignore the SEC subpoena

Be extremely diligent, and mindful, of the deadline. Even if you question whether the SEC has the right to regulate your industry – the SEC’s investigative authority is broad, and you can’t ignore the subpoena. You have to respond to it.

Hire an attorney

Before you respond to an SEC subpoena, hire an attorney to help you. Even if you believe no laws were violated, new problems can arise if you don’t understand

Preserve Documents

Be sure to preserve all your documents and data, regardless of what form they are in. Preserve all documents relating to the topics covered by the subpoena. Don’t edit or delete any documents. We can help you gather all necessary documents. Any missteps can result in the SEC pursuing further actions against you. We can also help advise you which documents might be covered under attorney-client privilege, and thus do not need to be produced.

Avoid Non-Privileged Conversations

Be careful about having conversations about the SEC’s request. Limit those communications, and involve your lawyers in ALL Communications – because this can help you maintain attorney-client privilege. If you, or others, have to testify, then non-privileged conversations can become evidence.