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Defending Clients Against Securities Violations

Brokers, investors and other financial professionals must remain cautious when handling and navigating securities. 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 for committing securities crimes, retaining experienced legal counsel is crucial. Lawyer Dan C. Guthrie Jr. from the Law Offices of Dan C. Guthrie, Jr., has over 30 years of experience helping clients defend themselves amid securities fraud accusations. Having represented numerous clients against allegations, he understands that alongside criminal penalties, these charges can also lead to professional and financial devastation. His diligent, strategic approach helps him protect his clients’ rights, freedom and reputation.

What Is Securities Fraud?

Securities fraud is any action or practice that aims to deceive investors or exploit domestic or global financial markets. It’s a charge that the federal government takes very seriously and can lead to severe monetary and criminal penalties if found guilty.

Different Types Of Securities Fraud

They can include:

  • Insider trading: Insider trading by brokerage firms, corporate officers and directors will negatively impact investors’ views of the markets. Consequently, the SEC scrutinizes individuals and companies suspected of insider trading.
  • 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 new investors’ principal.

Recent well-publicized cases have focused attention on Securities and Exchange Commission investigations related to these types of securities fraud. If you have any questions or concerns regarding your securities situation, call the firm at 214-730-4845. Mr. Guthrie can help you devise a proactive defense strategy to preserve your reputation.

The Laws Governing Securities Can Be Nuanced

The laws federal law enforcement agencies rely on to prosecute securities fraud violations are comprehensive. 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. Retaining an attorney early in an SEC investigation can open up a number of opportunities that may not be available later on.

What Are The Penalties For Securities Fraud?

Securities fraud is a felony in the United States. According to the U.S. Department of Justice, anyone guilty of securities fraud could expect to face millions of dollars in fines and up to two decades in prison.

Retain A Defense Attorney With Over 30 Years Of Experience

Clients usually retain Dan C. Guthrie Jr. before an indictment. By taking a proactive stance, he can often convince the government that the facts do not support an indictment and further investigation. His goal is to minimize the disruption of a criminal investigation and help you seek desirable results based on your circumstances.

Based in Dallas, Texas, Mr. Guthrie offers securities counsel nationwide. Complete the firm’s online contact form to schedule a consultation.