Charges Related to Securities Law

About Dan C. Guthrie, Jr.

Dan C. Guthrie, Jr., has focused his practice of the defense of white collar criminal matters for more than 30 years. He is a former state and federal prosecutor and headed the White Collar Practice section at one of the largest law firms in Texas.

T: 214-953-1000
F: 214-953-0200

In the Media

Dan C. Guthrie, Jr. in the media

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 tradingPonzi 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.

Insider Trading

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

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Ponzi Schemes

Finance Professionals Accused of Ponzi Scheme Operation 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....

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SEC Investigations

Recent well-publicized cases have focused attention on Securities and Exchange Commission (SEC) investigations related to securities fraud, insider trading and Foreign Corrupt Practices Act (FCPA) violations. Although the SEC says it does not handle criminal...

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Securities Fraud

Securities Fraud Lawyer | Dallas, TX 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. Mr. Guthrie is also keenly aware of the fact...

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Retain an Attorney Early in an Investigation

Clients usually retain Mr. 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, Mr. Guthrie’s practice is national in scope. Call 214-953-1000 or complete the firm’s online contact form to schedule a consultation.

Defending Clients Against Securities Violations in Dallas, Texas, and Nationwide