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Securities Fraud

Securities fraud occurs when for the purposes of financial gain a financial services person or company pressures or misleads an investor into investing more than the investor might not otherwise invest or breaches the fiduciary duty by not handling the investor’s accounts and investments in the manner instructed. The investment industry is regulated by the Security and Exchanges Commission, and the Financial Industry Regulatory Authority administers a dispute resolution forum for investors and advisers.

The securities fraud is punishable by criminal and civil penalties, including imprisonment and fines.

Securities Fraud Attorneys

If you are being investigated for securities fraud or been charged with violations, you may need to consult an attorney experienced in securities law who can:

  • Advise you on the specifics of the charges against you
  • Devise a legal defense strategy for your case
  • Mount challenges to the enforced disgorgement of your accounts and other property
  • File motions to have the charges dismissed or reduced
  • Negotiate an agreement for you to make restitution
  • Represent you at disciplinary proceedings before FINRA or the SEC

Why You Should Hire a Securities Fraud Attorney

If you believe you have experienced securities fraud, you may want to retain legal counsel to:

  • Investigate the circumstances of the suspected fraud to determine whether the viability of your case
  • Assist you in filing complaints with the SEC and FINRA
  • Prepare your claim for arbitration or mediation
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