New York City Securities Fraud Attorneys
Security fraud investigations often result after prolonged patterns of unusual investment behavior on the part of brokers and financial advisors attracts the attention of employers or clients. Once referred to the Securities Exchange Commission (SEC), an intensive audit and review of a broker's or financial advisor's activities is undertaken.
At this stage in an investigation, brokers and financial advisors have certain rights that they should asserted in order to avoid investigative over-reach on the part of the SEC. Additionally, early involvement on the part of our office may be able to redirect an investigation or answer questions that pre-empt further action on the part of the SEC.
Don't Wait to Protect Your Rights in a Securities Fraud Investigation
If you're under investigation for stock fraud or have already been charged with a securities crime, contact the criminal defense attorneys at the Law Offices of Samuel Gregory today. We provide free, confidential consultations protected by the attorney-client privilege, regardless of whether you decide to hire us to represent you at trial.
At the Law Offices of Samuel Gregory, we consult financial experts, accountants, and investigators in defending clients accused of securities fraud. We situate our client's decisions within the context of market conditions, establishing their rationale and compliance with state and federal law.
Forms of Stock Fraud and Criminal Charges
Our criminal defense attorneys counsel and defend clients accused of committing the following kinds of securities fraud:
- Unsuitable investments
- Stock churning
- Violation of fiduciary responsibility
- Over-concentration of investments
- Pump and dump
- Fraudulent sales practices
- Ponzi / Madoff schemes
- Insider trading
Understanding the Decisions of Stock Brokers and Investors
Investment decisions reflect market conditions and other financial interests that obtain at a given time. In order to determine if an investment is unsuitable or if churning has occurred, a number of factors must be considered. Our attorneys situate our client's actions within the financial realities of the market, client-investor communications, and company led initiatives. We establish the rationale for our client's actions and explain why he or she acted in compliance with the law in his or her capacity as a fiduciary.
When Working with Prosecutors is Necessary
If you are guilty of stock fraud, working with prosecutors may be your best option for having the sentence or charges against you reduced. Depending on the scope of an investigation, prosecutors may be talking to other suspects and reaching deals that implicate you in crimes you did not commit or did not play a key role in. As your attorneys, we negotiate plea bargains with prosecutors while protecting your interests in any wider investigation.
To schedule a free, confidential consultation to discuss your case, contact the stock fraud lawyers at the Law Offices of Samuel Gregory today.
