Federal prosecutors, the Securities and Exchange Commission, State Attorneys General and sophisticated local District Attorney’s Offices all investigate and aggressively prosecute what they perceive to be violations of insider trading laws. The legal issues in insider trading cases are complex and the facts are often very involved. Insider trading charges are based upon allegations that an individual buys or sells securities based upon material, non-public information.
Friends and family members acting otherwise innocently on tips they receive with regard to how a particular stock may trade can be swept into a massive securities investigation. Third party vendors including lawyers, accountants, printing companies and others who acquire information during the regular course of business and then buy or sell securities may be targeted by regulators and proscutors for inquiry.
Charles A. Ross and Associates has been involved in representing individuals on insider trading charges in federal and state court; in criminal cases and in regulatory matters. We are experienced with the intricate legal subject matter and the multifaceted factual situations presented by these particular securities charges.