{"id":10375,"date":"2022-01-10T11:26:55","date_gmt":"2022-01-10T16:26:55","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10375"},"modified":"2022-01-10T11:26:55","modified_gmt":"2022-01-10T16:26:55","slug":"when-does-sec-get-involved-in-allegations-relating-to-sexual-harassment","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/when-does-sec-get-involved-in-allegations-relating-to-sexual-harassment\/","title":{"rendered":"When Does SEC Get Involved In Allegations Relating To Sexual Harassment?"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10205 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg\" alt=\"Under the law, the Securities and Exchange Commission (SEC) can investigate and enforce violations of the nation\u2019s securities laws. On the agency\u2019s website, the SEC provides examples of conduct it is \u201cinterested in,\u201d such as Ponzi schemes, insider trading, bribery of foreign officials, and false or misleading statements about a company in SEC reports or financial statements. But all of that seems worlds away from allegations relating to sexual harassment at a company\u2014even if it\u2019s a publicly-traded one. So how does the SEC get \u201cinterested\u201d in that?  Ironically enough, allegations of sexual harassment themselves are probably not enough for the SEC to get involved. That is not to say that targets of sexual harassment would be without recourse. For example, they could file complaints with the Equal Employment Opportunity Commission or a state labor office. But for the SEC to become involved, there needs to be a tie into securities laws. \u00a0This can include a corporate culture that leads to misconduct or an impact on the company\u2019s stock price. This can be at a publicly traded company of at a Wall Street brokerage firm.  One of the primary ways that occurs is if a company fails to reveal harassment-related complaints against its leadership or resolution of lawsuits. Companies are required to disclose to the SEC, and shareholders, any litigation or other controversies. Therefore, if a company was investigating the staff\u2019s behavior, or if it had responded to related litigation, that should be included in required SEC filings. Companies also have duties not to mislead investors in filings. So a company can\u2019t promote the excellence of its leadership team, if they know that the team is operating under a cloud.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Under the law, the Securities and Exchange Commission (SEC) can investigate and enforce violations of the nation\u2019s securities laws. <a href=\"https:\/\/www.sec.gov\/whistleblower\/frequently-asked-questions#faq-2\" target=\"_blank\">On the agency\u2019s website<\/a>, the SEC provides examples of conduct it is \u201cinterested in,\u201d such as Ponzi schemes, insider trading, bribery of foreign officials, and false or misleading statements about a company in SEC reports or financial statements. But all of that seems worlds away from allegations relating to sexual harassment at a company\u2014even if it\u2019s a publicly-traded one. So how does the SEC get \u201cinterested\u201d in that?  <a href=\"https:\/\/www.silverlaw.com\/blog\/when-does-sec-get-involved-in-allegations-relating-to-sexual-harassment\/#more-10375\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Under the law, the Securities and Exchange Commission (SEC) can investigate and enforce violations of the nation\u2019s securities laws. On the agency\u2019s website, the SEC provides examples of conduct it is \u201cinterested in,\u201d such as Ponzi schemes, insider trading, bribery of foreign officials, and false or misleading statements about a company in SEC reports or [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1287],"tags":[],"class_list":["post-10375","post","type-post","status-publish","format-standard","hentry","category-whistleblower-program"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>When Does SEC Get Involved In Sexual Harassment Allegations?<\/title>\n<meta name=\"description\" content=\"Under the law, the SEC can investigate and enforce violations of the nation\u2019s securities laws, such as Ponzi schemes, insider trading, etc.\" \/>\n<meta name=\"robots\" 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