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.

But, as...

Stay ahead of the curve

In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.

  • Access to case data within articles (numbers, filings, courts, nature of suit, and more.)
  • Access to attached documents such as briefs, petitions, complaints, decisions, motions, etc.
  • Create custom alerts for specific article and case topics and so much more!


Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!