Articles Posted in SEC Subpoena

Practically every week we learn of another political insider who made a fortune allegedly trading on inside information,1 an insider trader who was pardoned,2 or of a scheme by the President to sell early access to inside information for a subscription fee of $100,000 per month.3 We also know that the ability of the Securities…

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…

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…

**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…

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…

Rafael Nadal and Roger Federer are almost certainly among the top five or six male tennis players of all time. Federer retired from tennis in 2022, and Nadal just announced he will retire at the end of this year. At their peaks, they were undisputedly the top two players in the world. And while few…

SEC Made Numerous Material Misrepresentations to Utah District Court ***UPDATES BELOW – 3/19/24 and 6/4/24*** For a government agency with the talent and resources of the Securities and Exchange Commission, its ability to lose its focus and score an own goal is sometimes remarkable. At the same time the Supreme Court has power of administrative…

Lisa Braganca interviewed about SBF trial on Coindesk TV, describing the overwhelming evidence presented at trial from insiders, but also the dangers of having a defendant freely making statements prior to trial.

The Foregone Conclusion Doctrine Overriding the Fifth Amendment. Bragança Law LLC | September 8, 2023. Many legal ”experts” warn people to add a passcode lock to their phone if they suspect they will be arrested, or change to a passcode if they have a biometric lock. This summer, however, Illinois became the latest state to…

If you are subpoenaed by the SEC – the U. S. Securities and Exchange Commission – you should contact an SEC subpoena defense attorney right away. Just because you are not named in the title of the investigation or you think you have done nothing wrong, there are many ways that individuals and businesses can…