Securities Fraud Defense
SEC enforcement defense • DOJ criminal prosecution • Protecting Wall Street professionals, public companies, and investment advisors
Securities Fraud Defense
Securities fraud prosecutions threaten everything you've worked for - your licenses, career, assets, and freedom. These cases involve parallel SEC civil enforcement and DOJ criminal prosecution, with sophisticated investigators analyzing every trade, email, and communication.
Parallel Proceedings
Simultaneous SEC civil and DOJ criminal investigations
Industry Bars
Permanent exclusion from securities industry and public companies
Asset Freezes
Emergency orders freezing accounts and seizing assets
Why Financial Professionals Trust Us
Our attorneys understand complex financial markets and securities regulations. We've defended hedge fund managers, investment bankers, public company executives, and traders in the most high-profile securities fraud cases.
Securities Violations We Defend
Comprehensive defense against all SEC and DOJ securities charges.
Insider Trading
Trading on material non-public information, tipping violations, misappropriation theory, and Rule 10b-5 violations.
Market Manipulation
Pump and dump schemes, spoofing, layering, wash trading, and other manipulative trading practices.
Accounting Fraud
Revenue recognition fraud, financial statement manipulation, and violations of SOX internal controls requirements.
Investment Advisor Fraud
Breach of fiduciary duty, misrepresentation to clients, cherry-picking, and fraudulent fee arrangements.
Offering Fraud
IPO fraud, private placement violations, unregistered securities offerings, and Regulation D violations.
Ponzi Schemes
Investment fraud schemes, misappropriation of investor funds, and fraudulent investment operations.
Navigating SEC and DOJ Investigations
SEC Civil Enforcement
Wells notices, testimony, document production, and negotiating settlements. We protect your licenses and minimize civil penalties while avoiding criminal referral.
DOJ Criminal Prosecution
Grand jury subpoenas, target letters, and indictments. We leverage relationships with prosecutors to negotiate favorable plea agreements or fight for acquittal at trial.
Whistleblower Defense
Defending against whistleblower complaints and Dodd-Frank bounty actions that can trigger investigations and destroy reputations.
FINRA & Exchange Actions
Defending regulatory actions by FINRA, NYSE, NASDAQ, and other SROs that threaten your ability to work in the industry.
Securities Fraud Defense Strategy
Sophisticated defense combining market expertise, regulatory knowledge, and trial experience.
Trading Analysis
Expert review of trading patterns, communications, and market data to identify legitimate trading rationales and challenge government theories.
Expert Witnesses
Former SEC officials, market experts, and financial analysts who understand complex trading strategies and can explain them to juries.
Cooperation Credit
Strategic cooperation to minimize exposure while protecting against self-incrimination and preserving trial options.
SEC Investigation? DOJ Subpoena? Call Now
Securities fraud cases move at lightning speed. The government is building its case right now. You need experienced defense counsel immediately to protect your career and freedom.
Available 24/7 • Confidential • Former Federal Prosecutors