Skip to main content

SEC Investigations

The repercussions of an SEC investigation are extremely serious

The accused face forfeiture of stock and profits, and often criminal investigation or prosecution.

If convicted, these individuals face lengthy prison terms without parole. That is why Dan Guthrie believes in intense proactive investigation to do everything possible to prevent indictments of his clients.

That is why Dan Guthrie believes in intense proactive investigation to do everything possible to prevent indictments of his clients.

If involved at an early date, after a proactive and thorough investigation, Dan Guthrie may be able to preempt an indictment and convince prosecutors and investigators to reach a settlement of the investigation without charges being filed against you.

If convicted, individuals can face lengthy prison terms without parole

Preventing publicity surrounding an indictment for securities fraud is always a priority

Insider trading or an FCPA violation, even if there is an acquittal later, can irreparably damage the reputation of an executive or CEO.

Dan has successfully defended board chairmen, CEOs, CFOs, doctors, lawyers, CPAs and entrepreneurs embroiled in complex white collar criminal investigations related to securities fraud and insider trading.


SEC Investigations are Increasing

Although the SEC says it does not handle criminal investigations (which is technically true), the information developed by its agents is frequently turned over to the U.S. Attorney’s Office or state authorities for criminal prosecution.

The use of “cooperating individuals” to record conversations with others is becoming more and more widespread, as is the use of wiretaps. In most criminal cases, prosecutors level broad conspiracy charges covering complex transactions against the defendants, as well as charges of mail and wire fraud.

If you’ve been called to testify before the SEC or a federal grand jury, it is imperative that you contact Dan Guthrie for a consultation.

Current issues being aggressively pursued by the SEC include:

  • Insider trading
  • Timing of stock option grants and stock sales
  • Foreign Corrupt Practices Act (FCPA) violations
  • Misrepresentation to investors
  • False or misleading information in a 10K or 10Q
  • Premature recognition of income to inflate profits
  • Whistleblower claims

The Impact of an SEC Investigation

Private companies often face the same scrutiny as public companies when raising venture capital. Dan has defended a number of private companies in legal matters involving false statements, misrepresentations and material omissions related to raising venture capital for private projects.

He has significant experience handling white collar defense cases involving securities fraud and stock manipulation. He has successfully represented numerous clients in the financial industry, oil and gas industry, real estate professionals and investment bankers.

Dan is a former state and federal prosecutor, so he understands the tactics used by prosecutors to obtain grand jury indictments and convictions.

Defense Attorney for Securities Fraud and Insider Trading

Bloomberg News


Sign up to receive The White Collar Defense Report®, which provides updates on cases, policy developments and trends in the white collar area.