Securities Fraud Defense Lawyer
Securities fraud is covered under 18 U.S.C. §1348 and applies to anyone who knowingly defrauds or tries to defraud someone via some type of scheme having to do with commodities and securities registered under Section 12 of the Securities Exchange Act of 1934. If you have been accused of securities fraud and are found guilty, you could face fines, up to 25 years in prison or both. With the stakes so high, you should retain an experienced and aggressive New York securities fraud defense lawyer as soon as possible.
Skilled, Experienced, Aggressive Defense Of Financial Fraud
Whether you have been accused of securities fraud or you are an investor who thinks your broker may be taking certain liberties with your portfolio, you will need a securities fraud lawyer. If you are an investor, you have a few places to turn to, including an attorney, FINRA and the U.S. Code. FINRA – the Financial Industry Regulatory Authority – oversees brokerage firms and monitors the U.S. equities markets. They are private organizations that protect investors via technology and rules that govern the securities market.
Our white collar crimes defense attorney stands out, with a track record that includes numerous high-profile cases. In addition, attorney Jeffrey Chabrowe:
- Has over 25 years of experience in criminal law
- Understands both sides of the courtroom as a former Manhattan prosecutor
- Will use his extensive knowledge to provide a defense for you based on case law, the U.S. Code and FINRA regulations
Legal Violations That You May Be Involved In
The legal issues you face in a securities fraud case depend on the role you play. If you are a broker, your firm may have been accused of reporting violations, financial fraud, aiding and abetting, disclosure issues, improper valuation methods, “cooking the books” or insider information.
If you are an issuer, corporate officer or investment promoter, you could face charges related to accounting fraud, orchestrating an unauthorized investment scheme, misstating financial statements, or other fraudulent actions.
Other issues include:
- High-yield investment fraud: Unrealistic promises of extraordinary returns that lead to significant investor losses
- Foreign currency fraud: Misrepresenting exchange rates or creating deceptive trading platforms
- Pyramid and Ponzi schemes: Using new investor funds to pay earlier investors while concealing losses
- Embezzlement: Misappropriating funds by someone in a position of trust
- Hedge fund fraud: Misrepresenting complex financial instruments to investors
- Late trading: An unlawful mutual fund practice involving the placement of trades after market close while improperly receiving that day’s 4 p.m. Net Asset Value (NAV), in violation of SEC forward-pricing rules
- Advanced fee schemes: Misleading victims into paying upfront costs for nonexistent opportunities
- Insider trading: Trading securities using material non-public information
- Accounting fraud: Manipulating financial records to misrepresent a company’s true financial condition
No matter which of these charges you face, our lawyer is prepared to build the strongest defense possible on your behalf.
Who Is Charged With Securities Fraud Crimes
Securities fraud charges can be brought against a wide range of individuals and entities. Brokers, financial advisors and investment managers are frequently charged when they misrepresent products or mishandle client funds. Corporate executives may face charges for manipulating financial statements or engaging in insider trading to benefit themselves at the expense of shareholders.
Individual investors are not immune either. Someone who creates fraudulent financial records or participates in a deceptive scheme can face serious federal charges. Even accountants and attorneys who knowingly assist in fraudulent activities may be held liable under federal law.
We understand how truly overwhelming securities fraud charges can feel no matter your background or position. Whether you are a broker, executive or individual investor, we are here to stand by your side, and our attorney will fight aggressively to protect your future and freedom.
Take Action Against Your Securities Fraud Charges
Whether you are accused of broker fraud, insider trading or some other form of securities fraud, we can help. Don’t wait, call 212-235-1510 today. We are very busy and you may need to leave a message. You can also contact us online. We will get back to you as soon as possible.