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. While this is currently a hot-button issue, Dan C. Guthrie Jr. is a white collar fraud lawyer with more than twenty-five years of experience defending corporations and individuals against allegations of securities fraud.
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).
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
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 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.
2305 Cedar Springs Road, Suite 125 Dallas, Texas 75201
Phone: 214.953.1000 E-mail Fax: 214.953.0200
Dan C. Guthrie handles white collar criminal defense matters for clients throughout Texas, including the cities of Dallas, Houston, Austin, San Antonio, Lubbock, Amarillo, and the Nation: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
