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Securities Fraud Lawyers

By Spodek Law Group | November 18, 2016
(Last Updated On: May 27, 2023)
Securities Fraud Lawyers
The terms securities is a broad one. In general, this refers to something that can be bought and sold as part of the securities market such as stocks and bonds. Many people own stock in some way. They might buy stocks as part of their savings plan or own them as part of their company’s retirement plans. Some people work in finance and deal with securities as part of their everyday working life. The management of securities is essential in order to make sure that everything is being done as it should be done and all laws pertaining to securities are being followed at every turn.
Securities Fraud
Securities fraud is sometimes also called stock or investment fraud. This type of crime can happen when a company or individual deliberately engages in fraudulent actions and acts to deceive others in some way. For example, this type of fraud happens when a company or a person chooses to provide any kind of inaccurate information about a stock or other type of securities product. This type of crime also happens when someone avoids providing accurate information that might otherwise influence a person to purchase stocks. Securities fraud is a violation of state and federal laws.
There are many types of actions that can be considered securities fraud in some way. For example, if someone steals money that was entrusted to their care nd intended to be used for investment in the stock market, that theft is considered securities fraud. If company officials deliberately mislead investors about the health of the company as they bring out an initial public offering, that is also considered securities fraud. A company’s directors have a legal obligation to let the public know all about the finances of the company including the company’s sources of funding and income.
Reporting to Auditors
The American stock market is heavily regulated. Each day, auditors examine a company’s records. Their goal is to ensure that all necessary procedures are being followed when it comes to issues such as reporting all sources of income and making sure that investors are being access to promises such as quarterly dividends. Company officials are required to maintain the company’s books and adhere the regulations imposed by federal regulations. Violations of such regulations can result in the company officials being charged under several laws including the far reaching federal securities act of 1933.
There are several other types of securities fraud. Insider trading is when someone such as a high ranking company official or friend of such an officer uses information they have that is not available to the general public to their own advantage. A person can also be charged with this form of securities fraud if they engage in trading and fail to inform officials of their actions. Failure to report securities trade is considered a violation of tax laws as it may be a form of trading without paying the required income taxes on any capital gains. This is also considered securities fraud.
Other Actions
Other kinds of actions can also be considered securities fraud. A classic form of securities fraud is what is known as a Ponzi scheme. In this type of behavior, investors use the funds they get to pay out previous entrants into the fraud. Many people have heard of the actions of Bernie Madoff. Madoff was at the head of the single largest Ponzi scheme every prosecuted in the United States. His actions brought him a long jail term. They also brought massive losses to all those who invested in his work,
Company officials can also be accused of misconduct by the federal or local government if they falsify financial records. An accountant for the company may act on their own or in concert with others to create false records for investors and federal investigators. For example, if the company is not profitable overall or suffers losses during a given quarter, company officials can choose to cover it up. This is considered a serious form of securities fraud.
Officials estimate this form of fraud is quite common in the United States. Each year, Americans and investors from abroad are defrauded to the tune of billions. This is why those charged with investigating this form of criminal activity take it very seriously. The same should be said of anyone or any company charged with such violations. Any charge of securities fraud is a very serious matter. Even the hint that officials at the company are not being above board with their investors will often create problems with the company’s overall finances. This can lead to issues in the longer term that can ultimately impact the company’s ability to function. That is why is hugely important to have skilled legal help on your side right now.

Whether it’s a small individual investor or a high net-worth investor, there are a number of risks they face when deciding how and where to invest their money. In these situations, it’s imperative the broker they work with be someone whose trust and honesty are impeccable. Yet time after time, investors find themselves the victims of securities fraud. In these cases, not only are large amounts of money lost, but the lives of countless investors are forever changed. One example of securities fraud, is when a large pool of money is raised – for example a hard money loan fund, and the funds are stolen. For some investors their retirement accounts are wiped out, while in other situations parents may realize they will not be able to send their children to college. No matter the circumstances, those whose money and dreams have disappeared deserve proper legal representation. If you have been the victim of an unscrupulous broker or corporation that withheld information or provided inaccurate information about investments, you need the services of a knowledgeable and experienced securities fraud lawyer.
Effects of Securities Fraud
When securities fraud occurs, there are a number of things that can happen. For example, if a corporation provides misleading information about inflated earnings, it has committed stock fraud. However, once the truth is revealed to the public, it can cause the financial markets to react negatively. When this happens, stock prices tend to fall, leading to numerous investors losing much if not all of their money. Because these actions violate state and federal securities laws, investors are entitled to pursue legal action against those who misled them on their investments.
Who Can Be Sued?
In many instances, clients may become part of a class-action lawsuit against a company or its officers and directors. However, some investors choose to simply sue a broker or financial manager who committed securities fraud against them. For example, if a broker pressured you into making a certain investment or over-promised results from an investment, it is generally a sign the broker may be involved in illegal activities concerning your money. Regardless of the circumstances, investors who have been lied to about their financial plans should seek the advice of an experienced securities fraud lawyer. While sometimes investors may feel embarrassed and hesitate to come forward, doing so can help them recoup some of their losses and gain the financial compensation they deserve.
Securities Fraud Penalties
Whether it’s an individual broker cheating one investor or a large corporation whose lies impact thousands of people, the good news is that those who commit securities fraud face stiff penalties if convicted. While the federal government handles many of these cases through the Securities and Exchange Commission, states also have the authority to enforce laws through their securities commissions. In most cases, the majority of cases are prosecuted as federal crimes. Penalties often include a combination of civil and criminal aspects such as fines, prison sentences, and license restriction. For example, those convicted of insider trading can face fines up to $5 million and prison sentences of five years for each offense. In lesser cases where a defendant has no prior criminal history, probation of five or more years may be given, which will require those convicted to meet regularly with a probation officer, submit to drug testing, and pay restitution.
While this may sound as if it pertains to making butter, it unfortunately refers to a broker who is committing investor fraud. In these instances, the broker convinces their client to make more trades than are needed, generating more fees and commissions for the broker. By failing to adhere to do what is in the best interests of their client, the broker is putting their client’s money at risk simply for their own benefit.
Speaking With an NYC Securities Fraud Lawyers
If you have found yourself to be the victim of securities fraud, speaking with an attorney who is skilled in these matters is critical to getting the results you deserve. Known for being very aggressive in their pursuit of justice, securities fraud lawyers will fight for your rights every step of the way. By doing so, you will have an opportunity to make those who lied to you be held accountable for their actions, while receiving the financial compensation needed to keep your financial dreams alive and well for the future.

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Dealt with Alex Zhik, very attentive with a bulldog mind set, in a good way. Went out of his way to be on the offensive to get done what needed to be done. His Superior knowledge of law and proper route to assist in your needs in a timely manner is what will project Alex further than any other lawyer out there. Trust me. Alex is to the point with everything, Plain and simple! If you need something dealt with, just go to Alex. You won’t be dissatisfied.
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yaxiong li
yaxiong li
I was so glad that I made the decision to switch my attorney to Spodek law group, i was amazed by their professionalism when I first met them and discussed about my case. They always keep me posted about any progress of my case and handle the case with my best of interest. At the first court hearing, they advised me to denied the offer of ACD, as they know this is not my best of interest and they confidently handle my case with a better outcome (as my case was dismissed and sealed). One thing I have to mention that my misdemeanor charge affect my personal life and work, they made me feel so confident and comfortable throughout the process that I can focus on my work and life without worrying about it. Thank you Alex, Liz, Jeremy and Todd. I highly recommend Spodek Law Group to those who is going through similar situations like me.
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This year in June I got in trouble for the first time ever in my life, just making a not so smart decision. Putting myself in a not so good position as well. Experiencing being arrested, and also experiencing prison for the first time, it was traumatizing, but also taught me a lesson as well. After posting bond I was facing serious prison time. I had so much anxiety, also feeling so depressed and lost on what to do next. I remember just crying and trying to find the right legal team to represent me. I spent hours on talking to multiple firms about my case, because I wanted someone who was confident to fight for me, support me, and to get me the best possible outcome. I felt like giving up, I didn’t think I had a chance. I told myself I’m going to make one more call, and this call was to the (Spodek Law Group ). My first conversation with Todd Spodek felt different than any other lawyer I had previously spoken to. I explained my situation and what I was facing to Mr. Spodek. He explained to me what my charges were, and what I was facing and the services he can provide me. He made feel at ease, calm,and even instilled in me confidence within myself to be strong dealing with the unfortunate events that had transpired. He had so much confidence and at that moment I knew I found the right firm and lawyer for me. Providing me with excellent communication and service. I’m extremely satisfied with my outcome and the hard work the Spodek Group has put in for me. I recommend the Spodek Law Group to anyone who wants excellent service and a lawyer like Todd Spodek who is outstanding, understanding, and overall amazing in every way. Again I want to thank the spodek law group for the will power you put in for me.
Shauna Mowery
Shauna Mowery
I am impressed with the outstanding service provided by Todd Spodek and his team! When my son reached out for a consultation, Alex responded quickly and with the info he provided we knew representation from this team is what he needed. Both Todd and Josh represented him in the courtroom and were awesome!! We are elated with the outcome and without hesitation recommend Spodek Law Group. Thank you to the team for a job well done!!

An In-Depth Look at Securities Fraud and the Importance of Skilled Attorneys

The term “securities” encompasses a wide array of financial assets, including stocks and bonds, which investors frequently purchase as part of their savings or retirement plans. The proper management of these securities is crucial to ensure compliance with all relevant laws and regulations. In this article, we’ll delve into the world of securities fraud and the critical role that dedicated Securities Fraud Lawyers play in protecting investors’ rights and interests.

Understanding the Different Forms of Securities Fraud

Securities fraud, also known as stock or investment fraud, occurs when companies, individuals, or financial professionals deliberately deceive or manipulate their clients or investors. Common ways fraud can be executed include providing inaccurate information about a security, withholding pertinent information, insider trading, and theft of investment funds.

One infamous example of securities fraud is a Ponzi scheme, in which new investors’ funds are used to pay off earlier investors. Bernie Madoff’s massive Ponzi scheme led to devastating losses for those who invested in his company and ultimately landed him in prison.

The Consequences of Securities Fraud

Securities fraud can wreak havoc on people’s lives, wiping out retirement accounts, derailing college plans, and destroying dreams. It can also have a profound impact on the financial markets, as news of corporate fraud may lead to plummeting stock prices and widespread financial loss.

Since securities fraud is a violation of state and federal laws, those affected can seek legal action against the offenders. However, it is essential to have knowledgeable and experienced legal representation to maximize the chances of a successful outcome.

Getting the Legal Help You Deserve: Qualities of Stellar Securities Fraud Lawyers

A top-notch securities fraud lawyer will possess certain crucial qualities and skills, such as tenacity, in-depth knowledge of the law, and a passion for seeking justice. These attorneys will not hesitate to hold unscrupulous brokers and corporations accountable for their actions and advocate fiercely for their clients’ interests.

Victims of securities fraud often have multiple options for legal recourse, such as joining class-action lawsuits against companies, their officers, and directors. Alternatively, individual investors may choose to sue brokers or financial managers who engaged in fraudulent activities directly. In either case, having a highly skilled securities fraud lawyer in your corner is invaluable.

Securities Fraud Penalties and the Importance of Legal Representation

The penalties for committing securities fraud can be severe, with fines reaching up to $5 million, lengthy prison sentences, and restrictions on professional licenses. Securities fraud cases are typically prosecuted as federal crimes, handled by both the Securities and Exchange Commission (SEC) and state securities commissions.

With such high stakes, victims of securities fraud cannot afford to take chances with their legal representation. A seasoned securities fraud lawyer will be well-versed in both civil and criminal law, strategically pursuing the best possible outcome for their clients.

Navigating the Complex Landscape of Securities Fraud Litigation

Individuals who have become victims of securities fraud need a dependable legal advocate to help them navigate the complex litigation process. A gifted securities fraud lawyer will go above and beyond to secure financial compensation for clients, allowing them to recover from the devastating effects of fraudulent activity.

Securities Fraud Penalties Fines up to $5 Million
Long prison sentences
License restrictions

In conclusion, falling victim to securities fraud can be an emotionally and financially devastating experience. Choosing the right securities fraud lawyer is paramount in securing justice and pursuing the compensation you deserve. With skill, determination, and a deep understanding of the law, these exceptional attorneys will fight tirelessly on your behalf, helping to restore your financial future and safeguard your investments.

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