Brokers, investors and other financial professionals must take careful precautions not to run afoul of the various state and federal laws and regulations. The Securities and Exchange Commission (SEC), Department of Justice (DOJ) and other agencies go to great lengths to investigate individuals and companies suspected of breaking these laws.
If you or your company is under investigation on suspicion of committing any type of securities crime, it is critical to retain experienced legal counsel at the earliest opportunity.
Dan C. Guthrie, Jr. has more than 30 years of focused experience. Having represented numerous clients against all types of allegations, he understands that these charges can bring on professional and financial devastation, aside from any criminal penalties. His diligent, strategic approach has paved the way to success for his clients time and time again.
The laws that federal law enforcement agencies rely upon to prosecute securities fraud violations are extremely broad. Under the relevant statute, the government must prove beyond a reasonable doubt that the defendant:
- Defrauded or attempted to defraud any person in connection with any commodity, option or security
- Obtained through false pretenses or fraudulent representation any money or property in connection with the purchase or sale of a commodity, an option or security
These laws can govern all types of securities fraud allegations, including insider trading, Ponzi schemes and other allegations. Moreover, many criminal investigations relating to purported breaches of securities laws start as SEC investigations. By retaining an attorney early in an SEC investigation, it can open up a number of potential opportunities that may not be available later on.