Lexington Securities Fraud Lawyers

When there are suspicions of illegal trading or investment activities the Securities and Exchange Commission (SEC) can conduct an investigation. They may perform an audit of both the suspicious transactions, and also other business and personal transactions. Investigations may be commenced based on a single report, or based on prolonged patters of trading behavior.

Before speaking with any investigators from any regulatory compliance or law enforcement agency contact the securities fraud lawyers at the Law Office of James R. Snell, Jr., LLC. You can schedule a confidential consultation to discuss any investigation or charges brought against you.

In order to obtain a criminal conviction against a stockbroker, financial advisor, or other professional, the government must prove that specific securities laws were violated or that other actions taken were against the fiduciary duty owed to an investor. We must analyze the accusations brought against our client based on the current conditions existing in the marketplace at that time. What initially may look suspicious to an investigator might actually be a lawful exercise of investment discretion.

Resolving a Securities Fraud Case

There are many ways that a case or investigation against you may be concluded favorably. Not all investigations result in formal charges being brought. When they are, the charges can be reduced. Even if there is substantial evidence against you there may still be strategies available, such as a plea to a lower to reduce any sentence that the court might impose and to avoid a trial.

Consult with Columbia White Collar Attorneys