24/7 call for a free consultation 212-300-5196

AS SEEN ON

EXPERIENCEDTop Rated

YOU MAY HAVE SEEN TODD SPODEK ON THE NETFLIX SHOW
INVENTING ANNA

When you’re facing a federal issue, you need an attorney whose going to be available 24/7 to help you get the results and outcome you need. The value of working with the Spodek Law Group is that we treat each and every client like a member of our family.

Client Testimonials

5

THE BEST LAWYER ANYONE COULD ASK FOR.

The BEST LAWYER ANYONE COULD ASK FOR!!! Todd changed our lives! He’s not JUST a lawyer representing us for a case. Todd and his office have become Family. When we entered his office in August of 2022, we entered with such anxiety, uncertainty, and so much stress. Honestly we were very lost. My husband and I felt alone. How could a lawyer who didn’t know us, know our family, know our background represents us, When this could change our lives for the next 5-7years that my husband was facing in Federal jail. By the time our free consultation was over with Todd, we left his office at ease. All our questions were answered and we had a sense of relief.

schedule a consultation

Blog

Kendall Securities Fraud Lawyers

March 21, 2024 Uncategorized

Kendall Securities Fraud Lawyers

Being accused of securities fraud can be scary. The penalties are severe, and it can ruin careers or land folks in prison. But with an experienced lawyer on your side, you can fight the charges–and in some cases even get them dismissed.

Securities fraud laws are complex. Prosecutors go after big cases that get media attention. And when your name ends up in the headlines for white collar crimes, it’s easy to panic. That’s why having a knowledgeable attorney is key.

What is Securities Fraud?

Securities fraud happens when someone lies or omits key info related to investing. This includes stocks, bonds, mutual funds–anything traded on financial markets. Some examples:

  • Insider trading – using non-public info to make investment decisions
  • Pump and dump schemes – artificially inflating a stock’s price through false info, then selling your shares when the price peaks
  • Misrepresenting financial performance – cooking the books through bogus revenue numbers, profits, etc.

There are civil and criminal penalties for securities fraud. On the civil side, the SEC can fine you and ban you from financial services. Criminal charges mean possible prison time and major fines. For high-profile cases that get media attention, prosecutors often pursue jail time to set an example.

Why You Need an Attorney

Navigating securities fraud accusations is tricky, even for legal experts. The laws are complex with a lot of exceptions and technicalities. Plus prosecutors have huge budgets to investigate and build their case.

An attorney levels the playing field. They know how to poke holes in the prosecution’s arguments. And they understand how to present counter evidence in the best light. An experienced securities fraud lawyer can analyze the facts of your case to build a defense targeting weaknesses.

In some cases, lawyers can even get charges reduced or dismissed through plea negotiations. But this requires an aggressive legal strategy and attention to detail. Every piece of evidence must be scrutinized to undermine the other side’s position.

Finding the Right Lawyer for Your Case

Not all lawyers are created equal when it comes to securities fraud. You need someone experienced specifically with financial crimes and SEC rules. Ask these questions when researching attorneys:

  • How many securities fraud cases have you handled?
  • What’s your track record with getting charges dismissed or reduced?
  • Are you familiar with the specific laws I’m accused of violating?
  • Will you take an aggressive stance to undermine the prosecution’s arguments?

It also helps if the lawyer knows your industry. The rules for banks differ from hedge funds or private equity. And the norms around executive compensation in tech vary from manufacturing. So find someone familiar with your sector.

Lastly, make sure you vibe with the attorney’s personality and tactics. Their style needs to align with how aggressively you want to fight. If you prefer a pit bull approach, find that kind of lawyer.

The Kendall Roy Case – What His Lawyers Must Prove

Fictional character Kendall Roy faces serious fraud charges that could land him in prison. As heir apparent to Waystar Royco, his case grabs headlines. So prosecutors want to make an example out of Kendall.

Based on the accusations, Kendall’s lawyers must build a case showing:

  • He did not knowingly and intentionally misrepresent Waystar’s financials
  • There’s no evidence he acted in bad faith to mislead investors or regulators
  • Any inaccuracies were honest mistakes or the fault of subordinates

This requires scrutinizing emails, financial records, and communication trails to undermine the prosecution’s narrative. It also means blaming sloppy accounting, rogue employees, or incompetent managers.

In particular, Kendall’s lawyers must attack witnesses testifying against him. Cross examination questions should highlight contradictions and credibility issues. Anything to make key witnesses seem less reliable to a jury.

It’s also critical to humanize Kendall. His lawyers need to show he’s a hard working family man, not a greedy corporate raider. This makes him more sympathetic to a jury when deciding guilt or innocence.

The Bottom Line

Fighting securities fraud charges head on is risky. Even with top lawyers, you could still end up in prison. That destroys lives and shatters families.

The smarter path is trying to get charges dismissed or reduced through aggressive lawyering. Hiring experienced securities fraud attorneys levels the playing field against high-powered prosecutors.

So if you find yourself facing accusations like Kendall Roy, don’t go it alone. Call a law firm that specializes in financial crimes for a free case review. An expert by your side might just keep you out of jail.

Citations

[1] Kendall Lewis Manlove on Securities Fraud
[2] Kendall did not commit securities fraud

Lawyers You Can Trust

Todd Spodek

Founding Partner

view profile

RALPH P. FRANCHO, JR

Associate

view profile

JEREMY FEIGENBAUM

Associate Attorney

view profile

ELIZABETH GARVEY

Associate

view profile

CLAIRE BANKS

Associate

view profile

RAJESH BARUA

Of-Counsel

view profile

CHAD LEWIN

Of-Counsel

view profile

Criminal Defense Lawyers Trusted By the Media

schedule a consultation
Schedule Your Consultation Now