Dallas SEC Defense Lawyers

If You’re Dealing with the SEC

If you’re dealing with the SEC, you need an experienced Dallas SEC defense lawyer. The SEC don’t play around. They will come at you hard. So you need someone in your corner who knows how to handle SEC investigations and enforcement actions. You need a battle-tested Dallas securities attorney whose ready to fight for you.

I’m going to give you the real deal here on what your up against and how a good Dallas securities lawyer can help. I’m not going to sugarcoat it or use a bunch of legal mumbo jumbo. My goal is to explain this stuff in plain English so you understand what’s going on.

What is the SEC?

First off, what is the SEC? It stands for the Securities and Exchange Commission. They are the federal agency that oversees and enforces laws related to the buying and selling of stocks, bonds and other investments. The SEC’s job is to protect investors by making sure the securities industry operates fairly and honestly.

The SEC has regional offices all over the country. The one that handles Texas is located in Fort Worth. This office investigates and prosecutes securities law violations occurring in the state. If your in the SEC’s crosshairs, there’s a good chance your dealing with the Fort Worth office.

Common SEC Violations

Some of the most common violations the SEC goes after include:

• Insider trading – using non-public information to trade securities
• Accounting fraud – falsifying financial records
• Ponzi schemes – using money from new investors to pay earlier investors
• Misrepresenting or omitting important facts about investments
• Manipulating the market through techniques like high frequency trading, pump-and-dump schemes, and spoofing
• Unregistered securities offerings – selling securities without registering with the SEC first

Basically, you can’t sell securities without registering with the SEC first. For instance, if your company wants to offer shares of stock, you need SEC approval. They make sure you provide key details about the investment so people can make informed decisions.

DEFENSE TEAM SPOTLIGHT

Todd Spodek

Lead Attorney & Founder

Featured on Netflix's "Inventing Anna," Todd Spodek brings decades of high-stakes criminal defense experience. His aggressive approach has secured dismissals and acquittals in cases others deemed unwinnable.

NY Bar Admitted Multi-State Licensed Federal Courts

Meet the Full Team

How SEC Investigations Get Started

SEC investigations can start in a few different ways:

Legal Scenario: What Would You Do?

Scenario

You receive a letter from the SEC stating you are under investigation for securities violations based on trades you made months ago.

Should you respond to the SEC on your own?

Attorney's Answer

Never respond to SEC inquiries without experienced legal counsel. Early statements can be used against you in both civil and criminal proceedings. An attorney can negotiate with investigators and protect your Fifth Amendment rights.

This is general information only. Contact us for advice specific to your situation.

• Tips – The SEC gets tons of tips from investors and industry insiders about potential violations.
• Referrals – Other agencies like FINRA often refer cases to the SEC if they suspect major securities fraud.
• Surveillance – The SEC actively monitors trading markets looking for suspicious activity.
• Document Reviews – As part of routine exams, the SEC reviews brokerage records, trade logs, emails, etc.

In other words, they use every tool at their disposal to detect securities law breakers. So if you’ve stepped over the line, they’re probably going to find out sooner or later.

The SEC Investigation Process