Lexington, South Carolina Securities Fraud Lawyers
Unusual, prolonged patterns of suspicious trading or investment behavior can alert employers or federal agents to the possibility of securities fraud on the part of brokers, financial advisors, and investors. Typically, suspicions of securities fraud are referred to the Securities Exchange Commission (SEC) where investigators begin an extensive, thorough audit of the actions and personal finances of a suspect. If you're under investigation for securities fraud, it's essential to consult an attorney as soon as possible in order to assert you rights and resist attempts on the part of investigators to portray your actions in a criminal light. At the Law Offices of Richard J. Breibart, we consult investigators, forensic accountants, and financial experts to explain and defend the actions of those accused of securities fraud. If contacted early in an investigation, our lawyers may be able to dissolve suspicions or redirect an investigation away from our client.
Before speaking with investigators or providing a statement, contact securities fraud attorneys at the Law Office of Richard J. Breibart today to schedule a confidential consultation to discuss the charges against you.
Securities Fraud and the Actions of Investors, Advisors, and Brokers
Our criminal defense attorneys counsel and represent stock brokers, financial advisors, and investors accused of the following:
- Churning stock
- Making unsuitable investments
- Ill-advised bundling of investments
- Ponzi / Madoff pyramid schemes
- Violation of fiduciary duties
- Pump and dump
- Over-concentration of assets in only a few funds or investments
Defending the Financial Decisions of Brokers and Financial Advisors
In order to establish securities fraud, prosecutors must prove that the accused intended to defraud their client, violated their fiduciary responsibilities, and acted in a manner at odds with market dictates. In order to challenge these allegations, we position our client's actions within the logic of market trends and indicators in order to establish their rationale and compliance with state and federal law.
In defending our clients, we place their decisions within the context of market realities at the time. When viewed in light of market indicators and directives from clients to their investors, what initially looks like churning or an unsuitable investment may actually reflect the logic of the marketplace at that time.
Reaching a Plea Bargain in Security Fraud Cases
If guilt is not in question, we are prepared to negotiate with prosecutors on behalf of our client. If you are willing to provide testimony that helps investigators in bringing others to trial, we may be able to reduce the sentence or charges against you. If conspiracy charges are not involved, it may still be possible to plead to a lesser charge and sentence in order to forego a trial.
For more information regarding our criminal law defense practice and how we can help you, contact securities fraud attorneys at the Law Office of Richard J. Breibart today.
