Securities & Fintech

SEC investigations, crypto compliance, and securities litigation

Topics

Topics in Securities & Fintech

SEC Investigations

SEC investigations are serious matters requiring immediate, sophisticated res...

Crypto Compliance

Cryptocurrency operates in an evolving regulatory landscape. Whether you're b...

Securities Litigation

Securities litigation—from shareholder disputes to SEC enforcement—has hi...

Resources

Legal Guides

Securities & Fintech

SEC Investigation Defense: Responding to Securities Enforcement Actions

SEC investigations can lead to substantial penalties, industry bars, and referrals for criminal prosecution. Early strategic decisions significantly affect outcomes. Learn how SEC investigations develop, defense strategies, cooperation considerations, and protecting yourself from the start.

January 19, 2026

Securities & Fintech

SEC Subpoenas and Document Requests: Responding to Investigative Demands

SEC subpoenas require document production and testimony under penalty of contempt. Over-production and inadequate privilege protection create serious risks. Learn how to respond to SEC document demands, privilege issues, testimony preparation, and common production mistakes to avoid.

January 19, 2026

Securities & Fintech

Cryptocurrency Compliance Guide: Navigating Regulatory Requirements for Digital Assets

Cryptocurrency businesses face overlapping federal and state regulations—securities law, money transmission, AML/KYC, and tax requirements. Enforcement has intensified dramatically. Learn the regulatory landscape for crypto businesses, compliance requirements, and avoiding enforcement traps.

January 19, 2026

Securities & Fintech

SEC Cryptocurrency Enforcement: Defending Against Digital Asset Enforcement Actions

The SEC has pursued numerous enforcement actions against crypto projects, exchanges, and promoters under securities laws. The Howey test determines token classification. Learn about SEC crypto enforcement priorities, common violation theories, and defense strategies for digital asset cases.

January 19, 2026

Securities & Fintech

Securities Litigation Guide: Class Actions, Fraud Claims, and Shareholder Disputes

Securities litigation encompasses class actions for misrepresentations, fraud claims, and shareholder disputes. Stakes routinely reach billions of dollars. Learn how securities cases work, pleading requirements, class certification, and realistic outcomes for plaintiffs and defendants.

January 19, 2026

Securities & Fintech

Securities Fraud Claims: Proving Material Misrepresentation and Scienter

Securities fraud requires proving material misstatements or omissions made with scienter that caused losses. The PSLRA imposes heightened pleading standards that defeat many claims early. Learn fraud claim elements, pleading requirements, and how successful fraud cases are built.

January 19, 2026