In recent years, U.S. Attorneys are increasingly charging corporate executives, business officers, financial traders and investment houses with securities fraud. SEC investigations are affecting virtually every type of industry in the United States, so all businesses need to be aware of potential securities violations and take proactive steps to avoid these violations.
The most common prosecutorial theories in these types of cases include:
However, following a SEC investigation, a U.S. Attorney may prosecute other types of actions that are considered to be securities fraud, including:
The Cogdell Law Firm can review and audit your corporate compliance documents in order to minimize your company’s exposure to SEC investigations and related federal prosecutions. We have the experience and knowledge of federal securities laws and regulations that you need to reduce the likelihood of prosecution.
In the event that your company does appear to be the target of a SEC investigation, or charges regarding SEC violations have been filed against you, we can immediately begin building a defense on your behalf and helping you avoid the negative publicity and severe penalties that your company can incur in a securities violation case. Our Texas SEC violation defense attorneys know how to protect your rights and challenge the accusations against you.