Securities Fraud Defense

The Securities and Exchange Commission as well as local federal and state prosecutors investigate allegations of stock broker fraud  very aggressively.  Securities fraud law  is complex and constantly changing.  Criminal litigation can often arise from a regulatory investigation brought by an SEC attorney .  We are regularly retained to represent individual securities professionals in a wide variety of stock market related investigations and stockbroker fraud allegations including those which have focused on market timing, stock lending, insider trading, soft dollar rebates, short selling, pump and dump, churning, and many other areas.  We are experienced in defending against claims of securities fraud and we work hard to protect your reputation and your license.

There is no such thing as a simple grand jury subpoena.  Subpoenas require proper responses.  Business documents cannot simply be turned over without a careful consideration of privilege and production protections. Whether or not a prosecutor views an individual as a witness, subject, or target is critical to how to approach a response to a grand jury subpoena.

Even well meaning, innocent activities can become the flavor of the month for regulators and prosecutors to investigate, sue over, and even charge in an indictment.  An insider trading penalty can involve both money and a significant amount of jail time if there is a criminal conviction.  Prosecutors can chose from a long list of felonies in the securities area from which to bring charges.  If you are caught up in this sort of investigation, you need an experienced white collar criminal defense lawyer.  This is our specialty.

Representative Securities Fraud Defense Cases

  • Representation of a stock broker charged with securities fraud in an alleged “boiler room” high-pressure sales case.
  • Representation of a businessman charged with fraud in relation to promoting securities offerings and obtaining private placement investment on behalf of various companies.
  • Representation of a broker charged with securities fraud in connection with Private Investment in Public Equity (“PIPE”) offerings.
  • Representation of a trader under investigation for insider trading.
  • Representation of an individual sued by the SEC in connection with allegations of securities fraud.