Resourceful Defense Against Securities Fraud Charges
The Securities and Exchange Commission (SEC) aggressively investigates and prosecutes cases of alleged securities fraud. If you have been caught up in an SEC investigation or a Department of Justice prosecution, your only chance at a fair process is to retain an experienced and aggressive white collar criminal defense attorney.
Our attorneys at The Kreiss Law Firm have practiced white collar criminal defense in Florida for more than 44 years combined. As one of the most experienced boutique criminal defense teams in the state, they can help you with complex securities-related charges and fight to keep your business in operation and yourself out of prison.
Examples Of Our Securities Fraud Cases
Securities fraud is a complex and technical area of white collar law, but generally, examples of securities fraud include:
- Insider trading
- Market manipulation
- Fraudulent investment schemes, such as Ponzi schemes
- Commodities fraud
- Failure by a corporate officer or director to make accurate financial disclosures to shareholders, or misrepresentation of material facts
Our lawyers have the skills and resources to defend you against the most complex array of securities fraud charges. They have vast experience in securities law and representing clients in federal court. You can rely on our team to prepare a thorough defense based on the evidence and applicable law. There are often options to avoid trial and reduce the charges against you, but our seasoned litigators can bring your case to trial if that is the better option.
Potential Consequences Of Securities Fraud
Being convicted of securities fraud can lead to devastating and long-lasting consequences. The penalties are often severe, and they can extend far beyond the immediate legal ramifications, affecting every aspect of your life, including your career, reputation and financial stability.
- Criminal penalties: Convictions for securities fraud can lead to lengthy prison sentences. Federal law allows up to 25 years in prison, depending on the severity of the offense. Additionally, individuals can face fines of up to $5 million, and corporations may be fined up to $25 million.
- Loss of professional licenses: Many individuals convicted of securities fraud risk losing professional licenses essential to their careers. Regulatory bodies such as the Financial Industry Regulatory Authority (FINRA) or the Securities and Exchange Commission (SEC) can revoke or suspend licenses, preventing individuals from working in the financial services industry. For corporate officers and directors, losing these licenses means being unable to hold executive positions or engage in critical business functions. The loss of these licenses can effectively end careers in certain fields and make it extremely difficult to find comparable employment.
- Civil liabilities: In addition to criminal penalties, victims of securities fraud may pursue civil lawsuits to recover losses, potentially leading to significant financial liabilities. Defendants could be required to pay restitution or face disgorgement, returning profits obtained through fraudulent activities.
- Reputation damage: Perhaps the most enduring consequence of a securities fraud conviction is the lasting damage to your reputation. A conviction, especially in a high-profile case, can lead to negative media attention and public scrutiny. This can make it difficult to maintain business relationships, attract clients or secure future employment. A tarnished reputation can linger long after the legal penalties have been served, making it challenging to rebuild personal and professional credibility.
The penalties for securities fraud are not limited to immediate legal consequences. A conviction can have a profound and lasting impact on nearly every aspect of your life. Seek legal representation early will better ensure that your rights are protected and can minimize the lasting consequences of such charges.
Schedule An Appointment Today
Contact The Kreiss Law Firm as soon as possible after an arrest or learning that you are under investigation. The sooner you have one of our attorneys representing you, the better you can protect your rights against the SEC and DOJ. Call us for a free initial consultation: 888-211-4156. You can also reach out online if you prefer. We are based in Fort Lauderdale and represent businesses and individuals throughout Florida.