Navigating SEC Investigations: The Importance of Transparency and Cooperation in Communications and eDiscovery

By Catherine Ostheimer

In today’s data-driven landscape, navigating SEC investigations and discovery processes presents unique challenges. In addition to the growing amount and types of data that needs to be part of a discovery process if an investigation is launched, the time and cost required for preparing for such an event can be daunting. What can you do to best prepare and deliver the best outcomes when the SEC calls?

In a recent interview CloudNine’s VP of Strategic Partnerships, Rick Clark, conducted with the Securities and Exchange Commission (SEC)’s Jeaneen Kappell, the complexities surrounding government inquiries surfaced as well as what an organization can do in the early days of an investigation. Kappell served as an associate at Morgan, Lewis & Bockius LLP and at K&L Gates prior to joining the SEC in 2020, and now serves as Senior Counsel, Division of Enforcement. The takeaways boiled down to two simple principles that can positively impact the trajectory of the exercise: transparency and cooperation.

This 30-minute recorded webinar presents additional ideas and solutions that can help your organization, or your client, better navigate the new challenges that accompany governmental inquiries. You can watch it here:


If you are interested in learning more about CloudNine and how we can help you to simplify eDiscovery with our SaaS solutions and services, contact us today.

 Catherine Ostheimer is VP, Marketing at CloudNine and has been working in the legal technology industry for 8+ years.