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Transcript: hey everyone today I want to talk to you about the 10 things you should know about SEC investigations I know you never want to be the subject of one but you should know these 10 things in case you are or in case you're ever called in as a witness to them now the first thing you should know and I know this is a question you're asking is why why am I part of this SEC investigation there could be a number of reasons why you could be a witness you could be a party that has books and Records related to the person or issue under investigation or you could be the person under investigation either way there are some common reasons why an SEC investigation is started some common reasons are misrepresentations theft of client funds fraud Market manipulation and more so if you are worried that this is something that is happening in your firm or something that you know in the deep darkest parts of your soul that you've committed then yeah you can bet your bottom dollar that you are the subject of the investigation but you could also be the owner of a firm where someone else a previous advisor is currently under investigation and you have the documents and information related to the issue at hand even in this scenario your firm could be found liable for certain failures in supervision so you want to make sure if you are part of an SEC investigation whether you're a witness or the party of the investigation you need to act swiftly and decisively in responding the second thing you should know is that there are two types of Investigations an informal investigation and a formal investigation in an informal investigation you will receive a request for information and documents this is the SEC initiating a fact-finding mission to find out if there are legitimate violations of Securities Law most SEC investigations start as informal investigations following an informal investigation the SEC can take one of three courses of action they can decide that there's been no wrongdoing they can issue a warning letter that initially States you know we found some wrongdoing but nothing to escalate this further or they may then take the facts and information they've received during the informal investigation and turn it into a formal enforcement investigation the third thing you should know is that a formal investigation is incredibly serious and should be treated as such in a formal investigation the SEC has established facts information and documentation that show Securities violations and during the course of a formal investigation the SEC has subpoena power where they can subpoena other third parties for information and documentation Even parties that may not necessarily want to help the SEC and are an advocate for you under this subpoena power they can be forced to testify the fourth thing you should know is that neither an informal or formal investigation is disclosable on your form u4 it only becomes a disclosable event once formal charges are brought against you which means it's incredibly important to work with an attorney to make sure they are able to help you get rid of the investigation and resolve it before it's escalated the fifth thing you should know is that once you are formally charged it's public the SEC doesn't give a hot damn about you what they want to do is protect investors which means there will be an SEC press release on their website on their Twitter account on their LinkedIn account about you it's going to outline the charges against you the conduct that led to those charges and what they are pursuing in terms of Remedies against you that press release is going to be picked up by news organizations within our industry...