However, following an investigation, a U.S. Attorney may prosecute other actions considered to be securities fraud, including:
Houston Securities Fraud Defense Attorneys
Representing Defendants Facing Fraud Charges Since 1988
In recent years, U.S. Attorneys are increasingly charging corporate executives, business officers, financial traders, and investment houses with securities fraud. Securities and Exchange Commission (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.
Cogdell Law Firm can provide sound guidance and an aggressive defense of your interests in the face of securities or investment fraud charges. We are also skilled in handling pre-file investigations for clients who have not been formally charged but are under investigation by the SEC for potential violations. We recommend involving a Houston securities fraud lawyer as soon as possible, if you are to have the best opportunity at avoiding a conviction.
Attorney Dan Cogdell has earned a national reputation for his ability to challenge securities fraud and other complex, high-profile white collar crimes . Call (713) 426-2244 to put our team on your side.
Understanding Securities Fraud Charges
The most common prosecutorial theories in securities fraud cases include:
- Use of insider information in the purchase or sale of securities;
- False statements in annual or quarterly reports; and
- False statements to SEC Officials.
- 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; and
- Promise of inflated returns on investments.
Our Houston SEC Violation Lawyers Can Protect Your Interests
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. Our attorneys 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 while helping you avoid the negative publicity and severe penalties that your company can incur in a securities violation case. Our Houston SEC violation defense attorneys know how to protect your rights and challenge the accusations against you.
Put our powerful team on your side in the face of SEC violations. Call (713) 426-2244 today.