Every day, millions of us quietly interact with artificial intelligence whether we know it or not. Often, it’s not even obvious that we’re relying entirely on AI to manage whatever we’re doing online. In many cases, it’s intentional, such as letting ChatGPT polish our resumes, having Gemini generate a quick summary of news events, or…
Continue reading ›Lisa Braganca was recently interviewed for CFO Brew about the risks of CFOs lowering their guards because they perceive the current Securities and Exchange Commission enforcement agenda to lean toward increasing deregulation. In the article (selections below), Lisa explained that not only could the SEC ramp up enforcement in future administrations before the statute of…
Continue reading ›**Updated June 4, 2026** adding to update of January 9, 2026 When a prospective client call us, they often tell us they don’t understand why they are being investigated because no customer complained and nobody lost any money. They believe once they show the SEC or FINRA or a state securities regulator that there is…
Continue reading ›Under Investigation? Why You Must NOT Talk to the SEC or Government Agents Without a Lawyer If you or your company receive a subpoena or get a call or visit from the Securities & Exchange Commission (SEC), FBI, or another governmental authority, it’s not likely because they want to help you. Even if you are…
Continue reading ›Just before Christmas, the SEC filed insider trading charges against Jason Peltz for trading on nonpublic information he obtained before the March 15, 2016 announcement that a private equity firm had made an offer to acquire Ferro Corp. The SEC alleges that Peltz traded and tipped others who traded on this material nonpublic information. On…
Continue reading ›
