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Securities Fraud Attorneys Defending Clients in Federal Cases Nationwide
Federal securities laws prohibit a broad range of fraudulent activities that, when discovered, can result in steep fines, other financial penalties, and federal imprisonment. At Spodek Law Group, we represent clients across the country in securities fraud investigations and criminal cases. This includes, but is not limited to, investigations and cases focused on:
- Fraudulent investment marketing practices
- Ponzi schemes and other investment scams
- Market manipulation
- Trading on inside information
- Wire fraud related to securities transactions
- Other fraudulent practices targeting investors
When facing allegations of securities fraud, it is critical to engage experienced securities fraud defense counsel as soon as possible. Federal authorities take securities fraud extremely seriously, and they have the resources to aggressively pursue charges against individual and corporate targets.
Securities Fraud: An Overview
Securities fraud can take many different forms; and, as a result, the Federal Bureau of Investigation (FBI) and other federal authorities can pursue charges in a wide range of circumstances.
1. Fraudulent Investment Marketing Practices
The Securities and Exchange Commission (SEC) regulates the marketing of investments to both accredited and non-accredited investors. While the SEC’s rules differ for both types of investors, violations of these rules can lead to securities fraud charges in many cases. The FBI pursues securities fraud charges against individuals and companies accused of misrepresenting the risks associated with an investment, misrepresenting the expected return on an investment, misrepresenting a company’s financial health or prospects, and intentionally providing misleading information in SEC filings.
2. Ponzi Schemes and Other Investment Scams
The FBI and other authorities pursue securities fraud charges against individuals and entities accused of perpetrating Ponzi schemes and other investment scams. For each victim, authorities may be able to pursue multiple charges based on violations of multiple statutes. This means that defendants in securities fraud cases related to Ponzi schemes can often face the risk of hundreds or thousands of years of federal imprisonment.
3. Market Manipulation
Market manipulation involves using fraudulent means to create an inaccurate impression of a security’s true value. Market manipulation cases often involve allegations of artificially inflating (or deflating) a stock price.
4. Trading on Inside Information
Trading on inside information (or “insider trading”) is one of the most common allegations in federal securities fraud cases. This includes both trading on inside information personally and communicating inside information to traders.
5. Wire Fraud Related to Securities Transactions
Wire fraud is a common allegation in federal securities fraud cases as well. Under 18 U.S.C. Section 1343, communicating false or misleading information to investors to induce them to invest is a form of wire fraud.
The Penalties for Securities Fraud
The penalties for securities fraud can include both substantial fines and long-term federal prison sentences in many cases:
- Securities Fraud (18 U.S.C. Section 1348) – Fine and federal prison sentence of up to 25 years
- Wire Fraud (18 U.S.C. Section 1343) – Fine and federal prison sentence of up to 20 years
- Securities and Wire Fraud Involving a Financial Institution – Fine of up to $1 million and federal prison sentence of up to 30 years
Crucially, these penalties apply on a per-offense basis in securities fraud cases. When federal authorities pursue charges involving multiple transactions or multiple investors, defendants can face multiple counts carrying hundreds or thousands of years behind bars.
How Our Securities Fraud Attorneys Can Help
At Spodek Law Group, we have extensive experience defending clients in high-stakes securities fraud cases. Our legal team includes career defense attorneys as well as former federal prosecutors and former federal investigative agents, many of whom handled securities fraud cases while working for the federal government.
Our securities fraud defense practice includes representing clients during FBI and DOJ investigations, during grand jury proceedings, and in federal court during all stages of the pre-trial and trial process.
Schedule an Appointment with a Securities Fraud Attorney at Spodek Law Group
If you need a securities fraud attorney, we strongly encourage you to contact us immediately. To speak with a senior securities fraud defense attorney at Spodek Law Group in confidence as soon as possible, call 212-300-5196 or request an appointment online now.
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Featured on Netflix's "Inventing Anna," Todd Spodek brings decades of high-stakes criminal defense experience to every case.
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Frequently Asked Questions
New Jersey reformed its bail system in 2017. Instead of a cash-based system, judges now use a Public Safety Assessment (PSA) to determine whether a defendant should be released pretrial. Most defendants are released with conditions, while those deemed high-risk may be detained. An experienced attorney can argue for favorable release conditions at your detention hearing.
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