S1E7 - Investigations with Jim Etri of the SEC

Do you want to avoid SEC investigations?  Or least manage them more effectively? Learn a bit about how the SEC launches and runs investigations without actually being subject to one.

In this episode, I interview Jim Etri - Assistant Regional Director of the Dallas/Fort Worth section.*

• Even if you have signed an NDA with your (ex)employer, there are protections in place for whistleblowers.
• We also discussed why self-reporting potential securities violations may be the smartest thing to do.

* - his views are his own and not officially those of the SEC.