Gustafson Nicolai pc Successfully Defends Insurance Agent in SEC Investigation
Gustafson Nicolai pc recently represented an insurance agent and the firm with which he is affiliated in connection with a United States Securities and Exchange Commission (the “SEC”) preliminary investigation. After vigorously defending our clients during the SEC investigation and subpoena process, the SEC declined to recommend an enforcement action against our clients at this time. We believe the SEC was correct in its decision not to initiate an enforcement action, and that our advocacy on behalf of our client and dealings with SEC staff attorneys helped influence the SEC to refrain from taking such action.
Uploaded by: Adam C. Nicolai, esq., June 16, 2015