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CA9: SEC investigation led to valid consent that led to a criminal investigation

By John Wesley Hall, Jr.

Consent obtained during an SEC investigation by the SEC was not involuntary because the targets we well aware of the potential for a criminal investigation arising out of it. United States v. Stringer, 2008 U.S. App. LEXIS 7267 (9th Cir. April 4, 2008): In this case, the SEC made no affirmative misrepresentations. The SEC did advise defendants of the possibility of criminal prosecution. The SEC engaged in no tricks to deceive defendants into believing that the investigation was exclusively civil in nature. The SEC's Form 1662 explicitly warned defendants that the civil investigation could lead to criminal charges against them: "Information you give may be used against you in any federal ... civil or criminal proceeding brought by the Commission or any other agency...continue to full post

Full post as published by Fourth Amendment on April 07, 2008 (boomark / email).