‘Judge, Jury and Executioner’: How the SEC is finally leveling the playing field on its dreaded ‘Wells Notice’ enforcement process
As Securities and Exchange Commission defense counsel, we can attest first-hand to the dread of our clients’ experience when we inform them that we have received a “Wells Notice” from the Division of Enforcement at the SEC. The Wells Notice, which serves as the civil equivalent of a criminal grand jury target letter, informs the recipients … Read more