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The Spodek Law Group understands how delicate high-profile cases can be, and has a strong track record of getting positive outcomes. Our lawyers service a clientele that is nationwide. With offices in both LA and NYC, and cases all across the country - Spodek Law Group is a top tier law firm.

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Securities Fraud Charges: Here’s How a White Collar Crimes Attorney Can Fight Them

By Spodek Law Group | October 20, 2023
(Last Updated On: October 21, 2023)

Last Updated on: 21st October 2023, 08:40 am

Securities Fraud Charges: How a White Collar Crimes Attorney Can Fight Them

Getting charged with securities fraud can be scary. The penalties are severe – we’re talking years in prison and massive fines. But with an experienced white collar crimes attorney on your side, you’ve got a fighting chance. Here’s a plain English guide on how a good lawyer can defend you against securities fraud accusations.

What is Securities Fraud?

Securities fraud basically means deceiving investors when selling or trading stocks, bonds, or other investments. Some examples include:

  • Lying about a company’s finances to make its stock price look better
  • Not telling investors important information about investment risks
  • Insider trading – using secret info to trade stocks
  • “Pump and dump” schemes to artificially inflate stock prices

These actions defraud and cheat investors out of money. And they undermine trust in the financial markets. So the government takes securities fraud very seriously.

How Are Securities Fraud Charges Filed?

Most securities fraud cases are filed in federal court. The main laws used to charge people are:

  • Securities Exchange Act of 1934 – prohibits fraud related to the purchase or sale of securities
  • Securities Act of 1933 – prohibits deceit, misrepresentations, and other fraud in the offer and sale of securities

Prosecutors can also tack on charges like mail fraud, wire fraud, and money laundering.

The Securities and Exchange Commission (SEC) often investigates securities fraud cases. They may refer serious matters to the Department of Justice for criminal prosecution.

Defendants face steep fines and many years in federal prison if convicted.

How Can a White Collar Crimes Lawyer Defend Against the Charges?

A skilled white collar attorney has many options to fight securities fraud accusations. Here are some of the most common defenses:

You Didn’t Actually Commit Fraud

There may be an innocent explanation for what you did. Prosecutors sometimes don’t understand complex investment products and transactions. Your lawyer can argue you didn’t intend to deceive or cheat anyone.

The Information Wasn’t Material

One element of securities fraud is that misinformation must be “material” – important enough to impact investors’ decisions. Your attorney can argue the info was trivial and wouldn’t have changed anyone’s mind.

Statute of Limitations

There are time limits on how long after an alleged fraud prosecutors can file charges. An experienced lawyer knows how to argue the statute of limitations has expired in your case.

You Relied on Professionals

Many people accused of securities fraud reasonably relied on accountants, lawyers, or other financial pros. Your attorney can argue you acted in good faith based on expert advice.

Constitutional Violations

Skilled lawyers know how to file motions arguing your constitutional rights were violated. For example, if evidence was obtained illegally or your right to a speedy trial was denied.

Why Do You Need an Experienced Attorney?

Securities fraud cases are highly complex. The government devotes huge resources to prosecuting them. Without an experienced white collar crimes lawyer, you can’t hope to match their firepower.

A skilled attorney knows how to analyze complicated transactions and investments at issue. They can develop creative arguments to fight the charges. And they have the courtroom skills to persuasively present your defense.

Don’t go it alone against seasoned SEC lawyers and federal prosecutors. Get an experienced white collar crimes attorney in your corner immediately. It’s your best chance to avoid harsh penalties and clear your name.

How Do You Find the Best Lawyer?

  • Look for an attorney with extensive experience specifically defending securities fraud cases. You want someone who has taken these complex cases to trial.
  • Make sure they have a proven track record of positive outcomes for clients facing SEC charges. Many lawyers simply plead out every case. You want someone who’ll fight hard in court for you if needed.
  • Look for good communication skills. Your lawyer should be able to explain the defense strategy and options to you in plain English.
  • Find someone you’re comfortable with. Securities cases take time, so make sure you click with your attorney’s personality and style.
  • Don’t just choose based on low fees. This is your future – go with quality over cost.

Facing securities fraud charges is daunting. But with an experienced white collar crimes lawyer, you can craft a powerful defense. Don’t wait to seek out skilled legal counsel. It could make all the difference in avoiding harsh penalties if the government accuses you of investment fraud.

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