Complex Immigration, Employment & SEC Subpoena Issues

Malecki Law’s New York Employment and Subpoena Lawyers are committed to representing the “whole client” and not inclined to pass off or neglect issues which are tangential to their representation. Obviously, for non-citizens, your immigration status in the United States of America is important, and must be addressed if your employment is terminated by the employer who sponsored your immigration application, as well as if you receive a subpoena from the United States Securities and Exchange Commission or other governmental actor, state or Federal. You must figure out your disclosure responsibilities to your employer if you are licensed and employed when you become the subject of an investigation. That investigation, and disclosure, could then have an impact on your legal status.

If you are an “ex-pat” executive recruited from outside the United States, you were most likely sponsored by your employer to work in the United States, and worked with an immigration lawyer that the company provided you. That lawyer represents the employer, and not you individually. If you are the subject of an investigation, or terminated, in most cases those lawyers will not be available to assist you, and even if they are, their loyalty will be to protecting their client, your employer, and not you. On the other hand, you will naturally have a lot of questions and concerns on which you need representation. Malecki Law’s Securities Employment Immigration Attorney will be available to consult with you on these important issues.

Moreover, if you are a non-citizen on a work visa, many issues arise around the costs of getting you back to your native country, as well as whether there is any way you can stay in the US legally in the event your employment is terminated. Malecki Law’s New York based Securities Employment law firm are experienced in negotiating severance agreements and Form U5 Termination situations, and also has counsel experienced in immigration issues available to advise you on how to manage your current status.

It is always best to deal with the language on the Form U5 before it is filed, as it is harder to change it after it is filed, and you would likely need to file an arbitration at FINRA to change your Form U5 language. Most employers will, at a minimum, listen to your counsel’s recitation of your side of the story prior to filing a Form U5, and will also often concede to language changes which are still truthful, but less harmful to you – both in your search for a new job, as well as how these may be used in your immigration setting. These are all issues which are important to handle in the best way possible with experienced counsel. Your employer simply will not talk to you in the same way they will talk to, and respond to, an attorney representing you.

On the other hand, if you are currently employed, but you received an SEC subpoena or a subpoena from another Federal or state government actor, you need to carefully manage how your response may impact your immigration status. Sometimes, from the perspective of an SEC Lawyer, advice you may receive could include that you plead the Fifth Amendment against self-incrimination, but you also need to weigh that against your immigration status and produce the right solution. Allegations of insider trading, securities fraud and related offenses can have serious immigration implications for non-citizens, even if they do not lead to any criminal charges.

For people on student (F-1) visas or temporary work visas (such as E, H, L or O visas), or who are awaiting green cards, these allegations can result in serious consequences. These consequences can include job loss resulting in loss of an employer-sponsored visa, visa revocation, a finding of a status violation, deportation, or removal proceedings, and/or denial of any future visa applications or applications to change or extend status.

Often, the biggest problem faced by non-citizens in these situations comes from their own well-meaning statements or admissions to investigators, and most securities lawyers are not always equipped to address the immigration consequences of these statements. If you are a target of an investigation by the SEC, or any government or law enforcement agency, it is critical that you have representation by an immigration attorney like those that work with Malecki Law’s Securities and Immigration Lawyers throughout such investigation, in order to protect your immigration status.

Malecki Law takes great pride in assisting people in the many aspects of the law that can impact their employment and registration status, as well as their immigration status. This holistic approach is also important in negotiating with government regulators in investigations and actions. Feel free to reach out to Malecki Law’s Securities and Immigration Attorneys for a free consultation to discuss your unique and important issues on a confidential basis.