What Types of Evidence Are Typically Collected During a FINRA or SEC Investigation? - Transcript
The SEC have broad broad powers to get almost anything that they want from you in an investigation barring use of your use of the Fifth Amendment privilege which is the end of your career the minute you plead the fifth you your license is not going to be active uh for much longer they can famously they do what’s called a financial colonoscopy because they want to see whether you got any ill-gotten gains from the conduct that you engaged in and they’re going to request extremely personal information if there are transfers to a spouse or a loved one with what appear to be ill-gotten gains they’re going to investigate them the failure to cooperate with finra could be the loss of your license and the failure to cooperate with the SEC could result in court orders and you know the enforcement of a subpoena that could have civil or Criminal results.
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