Top Fort Defiance, AZ Securities Fraud Lawyers Near You
1 Turks Head Pl, Suite 600, Providence, RI 02903
321 Evans Street, Suite 200, PO Box 7384, Greenville, NC 27835
600 Jefferson Plaza, Suite 201, Rockville, MD 20852
111 2nd St. SE, Altoona, IA 50009
The Cherokee Building, 400 West Church Avenue, Suite 101, Knoxville, TN 37902
211 Nordic Lane, PO Box 161801, Big Sky, MT 59716-1801
729 South 3rd Street, Columbus, OH 43206
42 N. Phelps Street, Youngstown, OH 44503
300 N. Greene Street, Suite 1900, Greensboro, NC 27401
8080 North Central Expressway, Suite 1600, LB 65, Dallas, TX 75206-1819
Mark Twain Plaza I, 101 W. Vandalia Street, Suite 200, Edwardsville, IL 62025
131 Airline Dr, Suite 201, Metairie, LA 70001
901 Sheridan Ave, Bronx, NY 10451
1157 Highland Ave, Suite 202, Cheshire, CT 06410
6300 Ridglea Place, Suite 315, Fort Worth, TX 76116
800 Main St, Ste 4A, Niagara Falls, NY 14301
53 State Street, Suite 500, Boston, MA 02109
3412 W. Market St., Fairlawn, OH 44333
1930 Huguenot Road, PO Box 35655, Richmond, VA 23235
6519 126th Ave N, Largo, FL 33773
817 East Trade Street, Charlotte, NC 28202
6 South Fourth Street, Youngwood, PA 15697
111 South Main Street, Suite 2100, Salt Lake City, UT 84111
115 East McIntosh Street, PO Box 1370, Milledgeville, GA 31061
820 Buddy Holly Avenue, Suite 12, Lubbock, TX 79401
Fort Defiance Securities Fraud Information
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What Does the Law Say About Securities Fraud?
Securities fraud involves fraudulent misrepresentations in buying, selling, trading stock or other financial commodities. Securities fraud can also involve stock price manipulation to artificially inflate or deflate stock values. Securities fraud is a type of “white-collar crime,” which is a financially motivated, nonviolent crime.
Is Securities Fraud a Federal Crime?
Securities fraud is a federal offense, like mail fraud or wire fraud. Under securities law in the U.S. Code, it is a violation of the Securities Exchange Act to defraud any person in connection with any commodity. It is also a crime to execute a scheme to obtain money or property in connection with any stock commodity through misrepresentation, false pretenses, or fraudulent promises.
Securities fraud may also be a violation of Arizona state law. Many states have a law that mirrors the federal criminal statute. State agencies or state law enforcement may prosecute fraudulent securities practices that occur within state lines.
What Are Common Types of Securities Fraud?
Fraudulent security schemes can take a variety of forms. Common examples of securities fraud include:
- Corporate fraud
- Insider trading
- Internet fraud
- Short selling schemes
- Ponzi schemes
- Pump and dump
Corporate fraud generally involves misrepresentations made by corporate directors and executives. This may include misrepresentations or cooking the books to artificially inflate the company’s stock value. Corporate shareholders can then profit from selling the overpriced stock or selling the overvalued company. The Enron corporate fraud case is a famous example of corporate-level fraud.
A Ponzi scheme is an investment scheme where earlier investors are paid out returns out of the money from new investors. As long as the share of investors continues to increase, other investors can receive consistent profits. However, as soon as the new influx of money starts to slow down or dry up, the scheme falls apart and individual investors find out their life savings are gone.
How Does Someone Find Out About Securities Fraud?
In some cases, a financial scheme can go on for years before anyone suspects any criminal activity. Federal government agencies may suspect fraud because of suspicious financial transactions, excessive trading, or irregular tax filings. However, many securities fraud cases are reported by whistleblowers. The Securities and Exchange Commission (SEC) has a whistleblower office for people to report possible fraud. Fraud may be reported by investors, employees, or even relatives who become aware of false securities claims.
Whistleblowers have an incentive to report insider trading or corporate fraud because the SEC provides monetary awards for individuals who report fraud that leads to SEC enforcement. Whistleblowers can receive up to 30% of the enforcement money collected.
Can You Go to Jail for Securities Fraud?
You can go to jail for securities fraud. Federal fraud statutes provide long prison sentences for felony fraud. Under U.S. law, a conviction for securities fraud can result in fines and imprisonment for up to 25 years. Depending on the fraud involved, securities violations may include other fraud charges, including:
- Telemarketing fraud
- Wire fraud
- Bank fraud
- Mail fraud
- Identity theft
- Credit card fraud
- Check fraud
- Insurance fraud
There may also be civil penalties for fraud, which could result in fines, treble damages, and restitution for the victims of investment fraud.
How Can an Experienced Securities Lawyer Help?
If your business or investment activities are being investigated by a government agency, you may be under investigation for securities fraud. Securities fraud attorneys may be able to represent you during an investigation to make sure your legal rights are represented. If you are facing legal action, criminal defense lawyers can represent you in court.
Investment fraud lawyers can use the discovery process to review all the evidence in your case, talk to witnesses, and gather relevant records to build a strong legal defense. An investment fraud attorney may also be able to negotiate a plea agreement for the best possible outcome. A successful plea deal can have charges reduced, charges dropped, or reduce the criminal sentencing.