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Browse: Home / 2013 / September / 06 / Traders, Don’t Turn Your Telephone Interview With the SEC Into a Federal Crime – Compliance Week

Traders, Don’t Turn Your Telephone Interview With the SEC Into a Federal Crime – Compliance Week

By Securities Docket on September 6, 2013, 7:41 am

A California man’s conviction this week for obstructing an SEC investigation is the latest reminder that although the SEC is a civil agency, it is still possible for someone being investigated to botch things so badly that federal criminal prosecutors also get involved.

via Traders, Don’t Turn Your Telephone Interview With the SEC Into a Federal Crime – Compliance Week

Posted in Criminal, SEC, Top | Tagged Convictions, Obstruction

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