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Securities fraud encompasses various offenses related to the purchase of sale of a security, such as insider trading, ponzi schemes, pump-and-dump schemes, embezzlement, accounting fraud, and presenting misleading or false information to investors.  These offenses are governed by the Securities Act of 1933 and the Securities Exchange Act of 1934, among other laws and regulations.  The primary investigative agencies are the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ).  The primary targets are stockbrokers, analysts, brokerage firms, corporations, financial institutions, and private investors.  These investigations have increasingly focused on digital currencies and trading platforms, with both private stakeholders and government entities debating whether cryptocurrency is a security or a commodity.  

Having represented many clients in civil and criminal investigations and actions filed by the SEC and DOJ, we have an in-depth understanding of state and federal securities laws. 

Additional Practice Areas

White Collar Criminal and Regulatory Defense

We defend businesses and individuals in criminal investigations, regulatory enforcement actions, and prosecutions.

Complex Civil Litigation

We resolve high-stakes disputes of all varieties, in all venues, and in all stages of litigation.

Bankruptcy Litigation

We prosecute and defend virtually every type of issue that may arise during a bankruptcy case or adversary proceeding.

Whistleblower Claims

We defend businesses and individuals in whistleblower investigations.  We also advocate for whistleblowers. 

Reassuring, articulate, knowledgeable, and effective. They made the process so much easier and gave me peace of mind in a stressful but successful outcome.