Securities law is a complex area that requires a comprehensive look at the circumstances of a case to determine what options are present. We understand that you might be upset and frightened about what is to come in regards to your case. We can help you work through the issues one at a time so that you know where you stand.
When you have inside knowledge of a company that is publicly traded, you need to make sure that you are handling that knowledge in an appropriate manner. Namely, you should be certain you aren't committing insider trading, which is a form of securities fraud. Being charged with securities fraud can mean that you are blacklisted in your profession and that you are looking at spending time in prison.
There are a lot of things that people find mystifying about facing securities fraud charges. One of the things that is often puzzling is some of the terms that are used in these cases. If you are facing this type of criminal charge, we want to make sure that you understand some of the terms you might come across.
As we recently discussed, you need to take precautions to make sure that you don't do anything that could be considered insider trading. In some cases, this is unavoidable simply because you don't think that a specific circumstance will lead to this accusation.
Insider trading is criminal action that the Securities and Exchange Commission sometimes takes a harsh stance against. This is something that can easily be prevented, but it can also occur in some cases when you don't even realize what is going on.
When you are facing a securities fraud charge, it might feel like the odds against you are insurmountable. This isn't necessarily the case. You have to work hard to come up with a defense plan, but that plan might help you to reach your ultimate goal.
When people hear the term "securities fraud," they might not realize that this term encompasses more than one type of illegal activity. It is imperative that anyone who is facing charges related to securities fraud understands exactly what they are being charged with.
Securities fraud is usually the result of false or misleading statements about a company or stock -- or omission of important information about a company or stock. When others make investment decisions as a result of the misrepresented or omitted information, and they suffer financial damages, it could give rise to a securities fraud claim.
Charges were filed against two New York businessmen by the Securities and Exchange Commission on Jan. 27, 2017. It is alleged that they were responsible for running a complex Ponzi scheme that duped investors out of more than $81 million dollars.
The Securities and Exchange Commission (SEC) is investigating an investment business that is accused of misappropriating almost $4 million in funds from investors.