The Janey Law Firm P.C.The Janey Law Firm P.C.2026-04-15T14:26:58Zhttps://www.thejaneylawfirm.com/feed/atom/WordPress/wp-content/uploads/sites/1304154/2025/07/cropped-favicon_site-identity-32x32.pngOn Behalf of The Janey Law Firm P.C.<![CDATA[What happens after the arrival of a Wells Notice from the SEC?]]>https://www.thejaneylawfirm.com/?p=465702026-04-15T14:26:58Z2026-04-15T14:25:38ZWhat is a Wells Notice?
The Wells Notice is essentially a warning about a likely upcoming lawsuit. The SEC sends a Wells Notice as a letter of intent to advise those potentially engaged in securities fraud and similar financial misconduct of impending legal action. Responding appropriately to that notice can have a profound impact on the future of the party subject to the investigation.
What should happen next?
The person served with the notice has the right to respond, typically within four weeks. They may send a Wells Submission, which is a legal brief including information about why the SEC should not take legal action. The Wells Submission becomes public information, and it can serve as evidence in the legal proceedings that may follow.
Anyone who is subject to a federal investigation likely requires the guidance of a white-collar criminal defense attorney, if not a lawyer who specializes in securities-related criminal matters. Small mistakes can potentially strengthen the government's case.
In cases involving a misrepresentation of circumstances or the provision of inaccurate information, the party interacting with federal investigators could be at risk of secondary charges related to lying to the investigators. A white-collar criminal attorney can help assess the Wells Notice and can assist with the creation of the Wells Submission, if they determine that it is likely to be beneficial.
Rather than ignoring a Wells Notice and hoping that the evidence clears their name, professionals who receive warning letters from the SEC generally need to take immediate action to protect themselves. Retaining the services of a securities law attorney familiar with complex federal white-collar cases can help financial professionals and business owners protect themselves from potentially devastating federal investigations and legal action.]]>On Behalf of The Janey Law Firm P.C.<![CDATA[What is the Foreign Corrupt Practices Act?]]>https://www.thejaneylawfirm.com/?p=465682026-03-25T20:27:38Z2026-03-25T20:25:04ZWho does the FCPA apply to?
The FCPA can apply to you even if your business activity abroad is limited. If you are a U.S. citizen, work for a U.S. company or handle transactions that pass through the United States, the law can apply.
Who counts as a foreign official?
A foreign official includes more than elected officials or government employees.
It also covers employees of companies owned or controlled by a foreign government, such as public utilities, transportation agencies or national resource companies. If government ownership exists, the law treats that contact as an “official.”
What counts as a prohibited payment?
A prohibited payment includes anything of value offered to gain an advantage. Cash is only one example. Travel, gifts, consulting fees or hiring someone connected to a decision-maker can all create risk if they tie back to winning business or speeding up approvals.
Does intent matter under the FCPA?
Intent determines whether a payment crosses the line.
If you offer something with the purpose of influencing a decision, that alone can trigger a violation, even if nothing comes from it. How you describe and justify a payment internally can matter just as much as the payment itself.
What are the recordkeeping requirements?
You must accurately record transactions and maintain clear internal controls.
If you disguise payments, leave out details or route expenses through unclear accounts, you create a separate violation. The law treats inaccurate records as a problem on their own, not just as supporting evidence of bribery.
Facing questions about a transaction?
FCPA problems do not always show up right away, and by the time questions come up, the situation can already feel serious. If you find yourself under review or investigation, getting a defense attorney involved early can help you respond the right way and avoid making things worse.]]>On Behalf of The Janey Law Firm P.C.<![CDATA[Top securities law violations prosecuted in NYC courts]]>https://www.thejaneylawfirm.com/?p=462392025-09-22T18:08:20Z2025-09-22T18:08:20ZNew York City moves at a pace where financial opportunities and legal risks collide every day. If you're part of that world, whether in finance, real estate or tech, you know the consequences of crossing the line can be swift and unforgiving.
Prosecutors here don't just target large-scale fraud. They go after the individuals and firms who disrupt the integrity of the markets. Below are some of the most common securities violations that end up in NYC courts. These are the cases where reputations fall and careers unravel.
Insider trading
Prosecutors watch for insider trading because it strikes at the core of fair markets. If you buy or sell securities based on material, nonpublic information, you risk serious criminal charges. Whether that information comes from boardroom discussions, merger negotiations or confidential filings, the law holds you accountable. In NYC, where deal flow never stops, these cases often involve financial firms, tech startups or major real estate transactions.
Securities fraud schemes
You cross into fraud the moment you knowingly mislead investors. That could mean inflating your company's financials, hiding key risks or running market manipulation schemes like pump-and-dump tactics. Prosecutors take action because fraud distorts investor confidence and threatens market stability. When the deception reaches sophisticated investors and funds in New York, the consequences only grow more serious.
Broker misconduct
Brokers and financial advisers face prosecution when they breach their fiduciary duties. Whether it's executing trades without permission, recommending products that don't fit your client's goals or charging hidden fees, misconduct turns trusted relationships into criminal liability. NYC's regulators and courts hold financial professionals to a high standard, and violations rarely go unnoticed.
Offering fraud
When someone sells fake or misrepresented investments, they face prosecution for offering fraud. Whether it’s a bogus startup, a fraudulent private placement or a Ponzi scheme, the law sees through it. These cases often appear in New York's boutique investment circles or fast-moving venture markets, where ambitious fundraising sometimes masks criminal intent.
Protecting your reputation
If you operate in NYC's financial circles, scrutiny comes with the territory, but getting ahead of it makes all the difference. When you build strong compliance systems and address concerns before they escalate, you give yourself room to operate without fear of unnecessary legal exposure. When you bring in the right legal guidance the moment issues arise, you protect your reputation, business and future from the kind of damage that a single misstep can cause.]]> nakannan@findlaw.com<![CDATA[Derrelle Janey, lead counsel for Bishop TD Jakes, successfully defeats Youngblood’s Special Motion to Dismiss]]>https://www.thejaneylawfirm.com/?p=461572025-06-03T21:45:55Z2025-04-30T05:00:00Zhere to read the full order.]]> nakannan@findlaw.com<![CDATA[Derrelle Janey named one of USA Today’s “Top Attorneys to Look Out For in 2025”]]>https://www.thejaneylawfirm.com/?p=461602025-06-03T21:27:58Z2025-04-10T05:00:00Z
Click here to read the full article:]]> nakannan@findlaw.com<![CDATA[The Janey Law Firm achieves stipulated dismissal of false claims case against clients]]>https://www.thejaneylawfirm.com/?p=461632025-06-03T21:29:15Z2025-01-17T06:00:00Zhere to read the written agreement.]]> nakannan@findlaw.com<![CDATA[Derrelle Janey Appointed to US Eastern District Courts Magistrate Judge Selection Panel]]>https://www.thejaneylawfirm.com/?p=461542025-06-03T21:30:37Z2024-07-26T05:00:00Zhere to read the order.]]> nakannan@findlaw.com<![CDATA[Derrelle Janey moderates panel at the 5th Annual Summit on Controlled Substances]]>https://www.thejaneylawfirm.com/?p=461642025-06-03T21:31:39Z2022-07-12T05:00:00Z nakannan@findlaw.com<![CDATA[Ex-Pharma CEO Wants Landmark Opioid Conviction Tossed]]>https://www.thejaneylawfirm.com/?p=461512025-06-03T21:32:54Z2022-02-16T06:00:00ZClick here to read the article.]]> nakannan@findlaw.com<![CDATA[Street Level Oxy Pusher Admits Tricking Ex-CEO’s Company]]>https://www.thejaneylawfirm.com/?p=461582025-06-03T21:34:03Z2022-01-27T06:00:00ZClick here to read the article.]]>