SEC And CFTC Enforcement Lawyer - Federal Lawyers
Whether it is an individual or company, SEC and CFTC violations are serious. With penalties ranging from fines and bans to prison sentences for certain violations, those charged with these acts can have their personal and professional lives forever changed. When faced with these matters, it is important to not put your future in the hands of an attorney who knows little about these violations and the agencies prosecuting them. Instead, hire the services of an SEC and CFTC enforcement lawyer who possesses a track record of success with clients.
Whether it is the U.S. Commodity Futures Trading Commission or the Securities and Exchange Commission, both agencies are known for their aggressive prosecution against individuals and companies. In most cases, investigators from these agencies will use every trick available to them in an effort to force those charged with violations to cooperate with the investigation. However, that is not always the best strategy for defendants. Depending on the allegations, it may be best to work instead with attorneys who can coordinate a defense strategy with a company’s in-house legal representatives and management team. By doing so, this does not allow government investigators the opportunity to get clients in one-on-one situations without attorneys present, which almost always leads to disastrous results for the accused.
Criminal and Civil Penalties
Whether facing such allegations as insider trading, making false or misleading statements to clients, breach of contract, professional negligence, or numerous others, it is possible you could face not only criminal penalties, but civil penalties as well. As lawmakers and judges make it a higher priority to hold those in these situations accountable for their actions, there is a greater likelihood that if charges are brought against you, you may face a plethora of severe penalties. In fact, many rulings over the past several years have found judges ordering companies and their principal executives and partners to pay millions of dollars in fines and damages to those whom they harmed. While it is certainly possible to appeal these verdicts, it is far better to instead work with skilled SEC and CFTC enforcement lawyers who know how to bring about an innocent verdict from the court.
With the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act following the financial crisis of 2008, the U.S. government has demanded greater transparency regarding financial transactions of corporations and financial markets. Because of this, any potential violations are treated quite seriously and are dealt with in a manner aimed at punishing those involved. Therefore, if government investigators have their sights set on you or your company, hire legal representation immediately. If you don’t, you will only increase the chances you will be found guilty of the violations and be staring prison or other penalties in the face. Rather than let these serious allegations doom your career and change your life forever, turn to a knowledgeable SEC and CFTC enforcement lawyer to guide you through the process and protect your legal rights.
Since the U.S. financial crisis of 2008 that was due largely to the lack of regulation involving corporate financial transactions, the federal government has taken a much stronger stand on ensuring transparency and protection for consumers. Because of this, when these violations are brought forth by the SEC or CFTC, the consequences can be severe. In many cases, government investigators will put tremendous pressure on those charged to admit wrongdoing. However, it is best to not be intimidated in these matters. Since these cases are extremely complex and involve the gathering and analysis of large amounts of evidence, having an experienced SEC and CFTC enforcement lawyer on your side can be a tremendous benefit.
Developing a Legal Strategy
Since government prosecutors will be eager to get a guilty verdict in court, it is very important you work with an attorney who has experience developing winning legal strategies in these cases. Since most of these cases ultimately go to trial, it will be crucial to have an attorney who can present an argument that is easy for a jury to understand and embrace. In doing so, your attorney will be able to break down complex financial matters into easy-to-understand terms for a jury, making it more likely they will return a verdict of not guilty.
Cooperating with Government
Depending on the circumstances involved in a case, it may be to a defendant’s advantage to cooperate with the government. But in doing so, it is crucial to also have an attorney on your side who can advise you on how to handle various matters. For example, some situations may dictate that it be best you not answer questions about certain subjects or transactions, while other instances may prove to be beneficial to you by answering the questions posed to you by investigators. Whatever the case may be, never under any circumstances allow yourself to be questioned by investigators without your attorney being present.
Don’t be Caught Off-Guard
In these situations, investigators often use the element of surprise on those they accuse of these allegations. Thus, should you start being asked questions by management or be requested to turn over various documents and records, it is likely you are under investigation. Rather than be caught off-guard, immediately consult with an experienced SEC and CFTC enforcement lawyer to ensure your rights are protected each step of the way.