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What Are the Consequences of Failing to Cooperate with an SEC Investigation - Transcript

So if you don’t cooperate in an SEC investigation um you will be subject to potentially a court order the SEC works with the FBI many times they could the FBI can get a court order show up at your house and take your computer and leave so you know it’s important to to cooperate as best as you can if you plead the fifth then you know you you can do that if it’s necessary in the finra proceeding um you know if you don’t cooperate they can bar you from being licensed at finra and through finra now some people uh say you know what I don’t want to work in the Securities industry again I don’t care barmy uh and they don’t want to respond but that’s really a short-sighted way to look at it because ephemera bar is a high search engine optimization event with your name on it and so what does that mean when somebody’s gonna hire you and they Google you the first thing that’s going to pop up is that finra bar and it’s going to carry with you forever and be something you have to disclose in applications I can say I have represented numerous people who were trying to help themselves with finra and fitness bar bar we want a bar we want a bar or who said oh my prior lawyer said you know I should just take a bar and not worry about it I don’t want to be in the industry that’s the wrong thing to do you should negotiate the least penalty probable and um and try to settle with them if you’re not interested in your license or whatever so that at least you can explain it you can have some control over the language that goes into the fin resettlement so it’s really important not to ignore these things and to keep your address updated at finra at all times because you not updating your address and them sending it to the wrong address could result in a bar that you don’t even know about and I’ve helped people through that very very important once you’ve been licensed to keep your dress active and to respond to requests I mean unless you really have something you’ve done that’s criminal the best thing to do is to try to produce some documents and negotiate a penalty.

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