by dcadmin | Jan 9, 2024 | Auditor or Accountant, Financial Adviser or Investor
What do I do now? Talk to a lawyer with experience dealing with whistleblowers. Most organizations have policies against retaliating against employees who report potential issues in good faith. Some types of reports may be covered by federal or state laws. A lawyer...
by dcadmin | Jan 9, 2024 | Auditor or Accountant, Blockchain Participant, Company Officer
Finding the “right” lawyer changes with the context. Insurance—Directors & Officers (“D&O”) Insurance Most companies of any size will have considered purchasing a D&O insurance policy and most corporate insurers will suggest such a policy...
by dcadmin | Jan 9, 2024 | Auditor or Accountant, Company Officer, Company Owner, Financial Adviser or Investor
You need an advocate We’ve had many clients wrongly accused. And if we’re able to get involved early, we stand a better chance of addressing the issues before they spiral out of control. If an employer or someone else has informed you that they believe...
by dcadmin | Dec 20, 2023 | Auditor or Accountant, Blockchain Participant, Company Officer, Company Owner, Financial Adviser or Investor
Audit Committee/Board-led Independent Investigation Where a company’s audit committee wishes to conduct an investigation into potential violations (this may happen before any government investigation starts), they should probably not use a law firm that regularly...
by dcadmin | Dec 19, 2023 | Auditor or Accountant, Blockchain Participant, Company Officer, Company Owner, Financial Adviser or Investor
SEC investigations begin and are tracked, completed, resolved, and ultimately closed in accordance with the SEC’s processes and procedures. Accordingly, the progress of an investigation and the next steps in the process can be understood and anticipated. Matter...
by dcadmin | Dec 19, 2023 | Auditor or Accountant, Blockchain Participant, Company Officer, Company Owner, Financial Adviser or Investor
Now that the government has served a subpoena on you, what does it mean and what should you or your company do in response? We’ll speak in the context of an SEC subpoena, but any subpoena issued by the government–whether by the SEC, DOJ, CFTC, or some...
