The Securities Exchange Commission is the primary federal agency responsible for investigating and prosecuting civil securities law violations. They often work in parallel with federal criminal prosecutors who may assist in the background until the SEC case is over. Securities fraud accusations can cover a wide range of activity, including:
Misrepresentations and omissions
Churning/overtrading
Market manipulation
Unauthorized trading
Forgery
Insider trading
Failure to execute
Over-concentration of investments
Conversion and theft
Margin violations
Breach of contract
Breach of fiduciary duty
Federal law enforcement focuses on securities fraud of all types, including high-yield investment fraud, Ponzi schemes, pyramid schemes, advanced fee schemes, broker embezzlement, hedge fund-related fraud, foreign currency fraud and late day trading. If you have come under investigation for securities fraud or other white-collar crimes by the FBI or SEC, or allegations have surfaced that you or your business has violated the Securities Exchange Act or related SEC regulations, it is crucial that you contact an experienced criminal defense attorney immediately.
Early legal representation in these kinds of securities fraud cases is critical. Not only are there potentially severe criminal penalties, but often there are also harsh civil consequences as well. Convictions for securities fraud can often result in hefty fines and lengthy prison sentences. In addition, a judge has the power to order that businesspeople who have been found guilty of violating federal securities laws can be forbidden from holding positions of power in the future, including that they can no longer serve as a director or officer of a public company.
Our team of securities fraud lawyers at Birrell Criminal Defense can evaluate any allegations against you and provide advice about the facts and laws surrounding complicated securities transactions that have been alleged to be violations of the law. We have experience in defending against investigations and enforcement actions by regulatory agencies.
These kinds of charges for fraud can impact not only your liberty, but also your professional wellbeing. You need to contact a skilled criminal defense attorney immediately if you have come under suspicion or investigation. Punishments for securities fraud under federal law can include staggering fines and terms of imprisonment.
Have you been charged with securities fraud?
Contact our battle tested securities fraud lawyers
A highly respected, trial-focused law firm, our members include three attorneys elected to membership in the American College of Trial Lawyers, and numerous attorneys designated “Super Lawyers” or “Rising Stars” by Minnesota Law & Politics magazine. We have decades of trial and appellate experience, and the good judgment such experience brings.
Our securities fraud lawyers are resourceful, tough, and committed to our clients’ interests, and we have the ability to keep the orders, verdicts and judgments we obtain on appeal.
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