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.
Our lawyers can assist you in defense of allegations including:
- Embezzlement of Account Funds
- Forgery of Account Documents
- Insider Trading
- Outsider Trading
- Pump and Dump
- Trading Unregistered Securities
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
If you are under investigation for securities fraud, consult with the
criminal defense attorneys at the Law Office of James R. Snell, Jr., LLC.
We offer confidential initial consultations, and can help you ensure that your rights are protected and maintained.