Experienced New York City Securities Fraud Attorney
Don’t Wait To Protect Your Rights If You’re Under Investigation For Securities Fraud
Security fraud investigations often result after prolonged patterns of unusual investment behavior on the part of brokers and financial advisers.
Once a case is referred to the Securities Exchange Commission (SEC), an intensive audit and review of a broker’s or financial adviser’s activities is undertaken. At this stage in an investigation, brokers and financial advisers have certain rights that they should assert in order to avoid investigative over-reach on the part of the SEC. Getting an attorney is vital.
Plus, the involvement with a lawyer early on who can redirect the investigation or answer questions can preempt further action on the part of the SEC.
Over 35 Years Of Experience With Criminal Charges Involving Stock Fraud
If you’re under investigation for stock fraud or other white collar crime, Samuel Gregory with the Law Offices of Samuel Gregory, P.C., in Brooklyn, New York, is here to offer 25-plus years of experience to assist.
He utilizes financial experts, accountants and investigators to help defend clients accused of securities fraud in many forms, including:
- Unsuitable investments
- Stock churning
- Violation of fiduciary responsibility
- Overconcentration of investments
- Pump and dump
- Fraudulent sales practices
- Ponzi/Madoff schemes
- Insider trading
Sam’s Approach To Handling Securities Fraud Cases
Investment decisions reflect market conditions and other financial interests that are obtained 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.
Sam situates his client’s actions within the financial realities of the market, client-investor communications and company-led initiatives. He explains why his client’s actions 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.
Sam Gregory has been both friends and colleagues with both state and federal prosecutors for many years. There is no question that Sam is respected by these prosecutors in both of these venues.
Sam is aware that many white collar defendants often select an attorney simply because that person may have been a former prosecutor or because that lawyer wishes to “work things out.” Adversaries respect a willingness to fight and often give great plea offers to lawyers like Sam who are not afraid the go all the way to trial.
As your attorney, Sam Gregory will try to negotiate plea bargains with prosecutors while protecting your interests in any wider investigation.
Contact Sam Gregory Today. You Have Nothing To Lose.
Sam provides free, confidential consultations. Whatever is discussed is protected by the attorney-client privilege, regardless of whether you decide to hire him or represent you at trial.