For lawyers, every case brings its own unique and complicated facets to the courtroom. However, there are a certain number of set precedents to know when your client is under investigation for criminal fraud and related securities enforcement.
1. Federal criminal investigations are conducted by the U.S. Attorney’s Office and the grand jury, and may or may not occur simultaneously with an SEC investigation.
If you or a loved one is facing charges of securities fraud in Texas, contact Matthew Arnold, Dallas securities fraud defense attorney. If not, keep reading.
2. As in a criminal case, generally, your client can assert the Fifth Amendment privilege against self-incrimination as to his/her statements in an SEC investigation or litigation. This may not be true with regard to responses to SEC discovery requests. Learn 10 more. (more…)