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Defending White Collar Charges Contact Our Firm if You've Been Charged with Securities Fraud.

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:

  • Churning
  • 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.

Former Client Experiences

  • “I could tell that Mr. Snell knew what he was doing because everyone there knew him.”

    Former Client

  • “When we went to court, it went just like he said that it would, and now I do not have a CDV on my record.”

    Former Client

  • “Thank you so much for handling my case for me. Since the first moment I talked with you I felt a sense of relief. I knew I had found a true professional, how relieved I was every step of the way. I will never forget your help.”

    Former Client

  • “I want to thank you for how you handled my son's case. We were very concerned with whether or not his charges would effect his future. After meeting with you we knew that we could trust you to advise us in his best interests. I cannot express how grateful ”

    Former Client

  • “Thanks to you and your staff, a heavy burden has been lifted off my shoulders, and I can't thank you enough.”

    Former Client

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