Securities Fraud

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:

  • Use of insider information in the purchase or sale of securities
  • False statements in annual or quarterly reports
  • False statements to SEC Officials

However, following a SEC investigation, a U.S. Attorney may prosecute other types of actions that are considered to be securities fraud, including:

  • Making misrepresentations or false statements to investors
  • Suspicious grants or timing of grants of stock options to executives
  • Questionable timing of executive stock sales
  • Misconduct by investment advisors
  • Unsuitable investments
  • Stock embezzlement
  • Submitting false or misleading press releases
  • Promise of inflated returns on investments

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.

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