Tampa Securities Fraud Defense Attorneys
Securities fraud (18 U.S.C. Section 1348) is the intentional execution or attempt to defraud any person in connection with any security of an issuer — or to obtain, by means of false or fraudulent pretenses, representations or promises, any money or property in connection with the purchase or sale — of a class of securities registered under Section 12 of the Securities Exchange Act of 1934 or that is required to file reports under Section 15(d) of the Securities Exchange Act of 1934.
Conviction for securities fraud may result in fines and/or a prison sentence of up to 25 years.
Because securities fraud is a federal charge, you will face federal prosecutors and government agencies such as the U.S. Securities and Exchange Commission (SEC) or Financial Industry Regulatory Authority (FINRA). Your lawyer must have experience with federal criminal defense and complex financial fraud cases. The attorneys at Mark J. O’Brien, have this experience. We are aggressive litigators who will fight for you or your business in federal court.
Additionally, when we get involved during the investigative stage of the case, we can work to mitigate the charges and protect your business from the disruption of federal agencies seizing company records.
SEC Violations And Insider Trading In Florida
There may be numerous parties involved in securities fraud. Company officials may attempt to deceive their investors by presenting false information about their investments such as mischaracterization of asset values. Or, a company officer or employee may unlawfully disclose confidential stock information to other parties. If an individual knowingly acts on that confidential information, he or she may also be charged.
Securities fraud may involve the transmission of fraudulent or confidential information over the Internet, which can result in wire fraud charges. Depending on the circumstances of the case, suspects may also be charged with running a Ponzi or pyramid scheme or with conspiracy.
Tampa Stockbroker Fraud Attorneys
For a free initial consultation with our Tampa securities fraud attorneys, please call 813-440-2347 or contact us online. Our results for many of our clients facing state and federal charges speak for themselves.