Federal securities matters · Preparation guide
Finance Professionals Under Federal Investigation: Individual Roles and Records
A financial professional’s title can obscure differences in authority, information and responsibility. Build a dated record of the actual role rather than relying on a résumé.
By Joseph De Gregorio · Federal Sentencing Strategist
Founder and President, Sentencing Advocacy Group
Published November 5, 2026
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Identify capacities and transitions
Separate employee, adviser, partner, director and account-authority roles. Record the dates and source documents supporting each. A title may remain unchanged while responsibilities shift, and access to a system does not itself explain how it was used. Flag uncertainties rather than converting broad job descriptions into conclusions about conduct.
Preserve relevant professional records
Counsel may identify appointment letters, supervision arrangements, training history, policies and communications for collection. Do not take employer or client information outside authorized channels. A custodian map can identify where records exist without deciding whether you are entitled to copy them or whether they should be produced.
Keep collateral professional questions separate
Registration, licensing, employer reporting, insurance and indemnification can involve different professionals and obligations. SAG does not advise on those requirements. Record who is handling each issue, the confirmed deadline and the documents provided. An employment decision and a criminal-case decision should not be treated as the same event.
Prepare the person’s wider history
Professional achievements provide context but do not replace a complete personal record. Organize education, family responsibilities, health, community activity and actual corrective steps. SAG works directly with the client within a defined assignment, handing counsel source-linked materials and unresolved factual questions. The scope should identify authorized recipients and avoid assuming privilege merely because counsel is involved.
Sources and the next preparation question
SEC: How Investigations Work. Source checked November 5, 2026. Counsel evaluates the governing law and individual facts.
Does the company’s lawyer automatically represent me?
Do not assume that. Representation, conflicts and individual advice must be clarified with qualified counsel.
A defined preparation assignment
Work directly with Joseph to establish the scope, source records, authorized recipients and review dates. Agreed deliverables can include a personal-history chronology, an indexed supporting file, factual questions and a practical preparation schedule. Investigation-stage legal decisions require qualified federal defense counsel. An engagement with SAG does not automatically establish privilege.
SAG serves clients nationally from Freehold, New Jersey, with travel arranged for cases. Share your stage and next deadline in the initial inquiry. Do not upload investigative records, investor details or privileged advice.
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SAG is not a law firm and does not provide legal advice or representation. Courts and agencies determine outcomes. No charging decision, sentence or release date is guaranteed.