How can a person under investigation plead his case prior to EEs decision on how to proceed on a case?
A. The OCC attorney assigned to the case is the proper conduit through which to communicate any mitigating factors or other relevant arguments that should be considered by EE in deciding how it should pursue an administrative enforcement case. The OCC attorney will consider any points or arguments in mitigation that the respondent or his attorney wants to make during the course of settlement discussions, and these factors will be reflected in the attorney’s legal advice to EE and in discussions with the ACRB. Additionally, OEE and OAC personnel are prepared to participate in settlement discussions as appropriate. The ACRB will continue to rely significantly on the judgment and discretion of the EE enforcement personnel and OCC attorneys in formulating its advice to the Assistant Secretary and otherwise carrying out its duties. In addition, the ACRB will review and consider significant written communications submitted by respondents and their attorneys to the OCC attorney charged with p
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