Securities Law

Defending Clients Against Securities Violations in Dallas and Nationwide

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.

Retain an Attorney Early in an Investigation

Clients usually retain Dan Guthrie prior to an indictment. By taking a proactive stance, he is often able to convince the government that the facts at hand do not support an indictment and further investigation. His goal is to minimize the disruption of a criminal investigation in his clients’ lives and help them seek the best result achievable under the circumstances.

Based in Dallas, Dan Guthrie’s practice is national in scope. Call 214-953-1000 or complete the firm’s online contact form to schedule a consultation.

LET'S TALK

Insider Trading

Insider trading by brokerage firms or corporate officers and directors will negatively impact investors' views of the markets. Consequently, the SEC closely scrutinizes individuals and companies suspected of committing insider trading. MORE

Ponzi Schemes

A Ponzi scheme occurs when a corporation or individual promises investors a specific rate of return. Rather than invest the money, however, old investors are instead paid with the principal of new investors. MORE

SEC Investigations

Recent well-publicized cases have focused attention on Securities and Exchange Commission investigations related to securities fraud, insider trading and Foreign Corrupt Practices Act violations. MORE

Securities Fraud

In the wake of insider trading scandals on Wall Street, many people readily assume that any company or individual under investigation for securities fraud is guilty — no questions asked. A proactive defense strategy can preserve your reputation. MORE

Dan Guthrie

With an established nationwide reputation for preventing grand jury indictments, Dan Guthrie has been a frequent guest of national news programs covering issues associated with white collar crime, including CBS’s “60 Minutes.” He has also been quoted in publications ranging from The New York Times to U.S. News & World Report. He is discreet and knows how to use the media to his clients’ advantage when appropriate. Of equal importance is the fact that Dan is independent, has no hidden agendas or conflicts of interest, and does not rely on inexperienced associates to do his job.

If you are under federal investigation or indictment anywhere in the United States, contact white collar defense attorney Dan C. Guthrie, Jr.

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