Dallas, Texas Securities Fraud Attorney
The corporate scandals at Enron, WorldCom, and Arthur Andersen have focused significant attention on corporate fraud and Securities and Exchange Commission (SEC) investigations related to securities fraud. In most cases, prosecutors level conspiracy charges and offer plea bargains to certain defendants in the hopes of expanding an investigation and handing down more indictments.
If involved at an early date, Dan Guthrie may be able to preempt an investigation, reassure investigators you've done nothing wrong, or arrange a plea bargain that reduces the charges or sentence against you. White collar crimes defense lawyer Dan C. Guthrie Jr. has over 30 years of experience defending corporations and individuals against allegations of securities fraud. If you've been called to testify before a grand jury, Mr. Guthrie can advise you outside of the grand jury courtroom to help ensure you don't go from being a witness to a defendant.
Experienced Securities Fraud Lawyer
Dan has successfully defended board chairmen, CEOs, CFOs, doctors, lawyers, CPAs, and entrepreneurs embroiled in complex white collar criminal investigations related to securities fraud. He has represented clients in criminal investigations, as well as investigations by regulatory agencies such as the SEC and the Internal Revenue Service (IRS).
Securities Fraud Investigations and the SEC
Some of the current issues being aggressively pursued by SEC investigators include:
- Grants of stock options to executives
- Timing of stock option grants
- How corporations account for stock options
- Insider trading
- The timing of executive stock sales
- Sarbanes-Oxley compliance
- Misrepresentation to investors
- False or misleading information in a 10K or 10Q
The Impact of an SEC Investigation
For many executives and CEOs the repercussions of a securities fraud conviction are serious. They can face the forfeiture of stock and the loss of benefits, and even face criminal prosecution. The publicity surrounding an indictment for securities fraud, even if there is an acquittal later, can irrepealably damage the reputation of an executive or CEO.
Private companies often face the same scrutiny as public companies when raising venture capital. Dan has defended a number of private companies in legal matters involving false statements, misrepresentations, or material omissions related to raising venture capital for private projects.
Dan has significant experience handling white collar defense cases involving securities fraud and stock manipulation. He has represented clients in the oil and gas industry, real estate professionals, and bankers. Dan is a former state and federal prosecutor, so he understands the tactics used by prosecutors to obtain grand jury indictments and convictions. He believes in intense proactive investigation to prevent indictments related to stock fraud.
Contact an Experienced Dallas, Texas White Collar Crime Law Firm
If you are under investigation for stock fraud or securities fraud, please contact Dan C. Guthrie Jr. He can be reached by phone at 214.953.1000, by E-mail, or by filling out the white collar criminal defense intake form on the Contact Us page.
Law Offices of Dan C. Guthrie, Jr.
2525 Mckinnon, Suite 425 Dallas, TX 75201
Phone: 214.953.1000 E-mail Fax: 214.953.0200
