Fort Worth Securities Fraud Defense Attorney

Our Law Firm Represents Clients Facing Securities Fraud Allegations in Fort Worth, TX

We defend clients facing securities fraud allegations under federal and state securities laws in Fort Worth, TX. From fraudulent misrepresentations to fraudulent accounting practices, and from excessive trading to insider trading, these allegations can take many different forms. In all cases, executing a strong defense is critical, and this starts with engaging defense counsel with substantial experience helping clients avoid unnecessary consequences.

Facing allegations of securities fraud from the US Securities and Exchange Commission (SEC) or US Department of Justice (DOJ) is an extremely serious matter. These federal agencies strictly enforce the nation’s securities laws, and allegations of noncompliance can lead to administrative penalties, civil enforcement, or criminal prosecution depending on the circumstances involved.

The Texas State Securities Board (TSSB) also conducts securities fraud investigations in the Fort Worth area, and it works with the Texas Attorney General’s Office to pursue civil and criminal cases as warranted. In all cases, the risks involved are substantial, and targeted businesses, firms, and individuals need to work with experienced defense counsel to protect themselves by all means available.

Experienced Defense Counsel for State and Federal Investigations Targeting Alleged Securities Fraud

Our attorneys have extensive experience helping clients avoid administrative, civil, and criminal liability in high-stakes securities fraud cases. Within our securities fraud defense practice, we regularly defend clients that are under federal investigation, that are facing scrutiny from the TSSB, and that are facing criminal charges in state and federal courts. We handle all types of state and federal cases, including (but not limited to) those involving allegations of:

• Fraudulent misrepresentations and omissions
• Unregistered securities offerings
• Insider trading
• Ponzi schemes
• Pump-and-dump schemes and other forms of market manipulation
• Excessive trading to generate fees and commissions
• Unauthorized trading (or abuse of discretionary authority)
• Elder financial fraud perpetrated by financial professionals
• Other forms of investment advisor and broker fraud
• Bank fraud, money laundering, and other white collar crimes

Whether you are facing scrutiny from the SEC, DOJ, TSSB, Federal Bureau of Investigation (FBI), or any other federal or state authority, it is important that you seek legal advice promptly. While there are options available for avoiding unnecessary consequences (including federal criminal charges), targeting a favorable resolution requires an informed and strategic approach focused on protecting your legal rights and being prepared to respond to any allegations the government chooses to pursue.

Potential Defenses in Securities Fraud Cases

Whether your professional license or your company’s registration is at risk, your company or firm is facing civil penalties, or you are at risk of being prosecuted for criminal securities fraud, you have options available. Our attorneys have extensive knowledge of the defenses that are available in these cases, and we can use our knowledge to help protect you (or your company or firm) by all means available. Depending on the circumstances, some examples of defenses we may be able to assert include:

Evidence of Compliance

If federal agents or state prosecutors are attempting to build a securities fraud case against you (or your company or firm), being prepared to provide evidence of compliance can set the stage for an efficient and favorable resolution. With that said, targets of securities fraud investigations need to be very careful about providing documentation to the government voluntarily. Agents and prosecutors will scrutinize any documentation provided; and, if they find evidence which suggests noncompliance or intent to defraud investors, they will use it to build a case for enforcement.

Insufficient Evidence of Noncompliance

While demonstrating compliance is one way to avoid enforcement, targets of securities fraud investigations can also avoid unnecessary consequences by demonstrating that the government does not have the evidence it needs to pursue charges. Civil enforcement requires proof by a preponderance of the evidence; and, in criminal cases, federal prosecutors need proof beyond a reasonable doubt. Weak evidence can undermine the prosecution’s case; and, if prosecutors do not have the evidence they need to substantiate allegations of securities fraud, enforcement action is unwarranted.

Lack of Knowledge or Willfulness (Criminal Defense Only)

In criminal cases, arguing lack of knowledge or willfulness can be a key defense strategy. If the documents uncovered during a securities fraud investigation (which may include emails, trading records, and accounting documents, among others) do not indicate that a target acted knowingly or willfully, prosecutors should not be able to build a case for criminal culpability.

Why to Choose The Criminal Defense Firm for Securities Fraud Defense in Fort Worth, TX

Facing allegations of securities fraud poses substantial risks. While securities fraud can be prosecuted as either a misdemeanor or felony in Texas, state prosecutors will pursue felony charges in most cases. At the federal level, securities fraud is always a felony-level offense, and federal prosecutors in Fort Worth will generally pursue charges for the most serious offenses possible. Along with fines and jail (or prison) time, convictions can lead to loss of professional licensure, loss of federal registration, restitution liability, and other penalties—and this makes it vital for targeted entities and individuals to engage experienced defense counsel as soon as possible.

Here are just some of the reasons why clients choose The Criminal Defense Firm for securities fraud defense in Fort Worth:

• We Have Extensive Experience on Both Sides of Securities Fraud Investigations – With a defense team that includes former federal prosecutors, we have extensive experience on both sides of securities fraud investigations. This includes substantial experience representing individuals and entities accused of engaging in a wide range of deceptive practices involving the issuance and sale of securities.

• We Also Have Extensive Jury Trial Experience – Along with significant experience at the investigative stage, we have significant jury trial experience as well. While we focus on favorably resolving our clients’ cases before trial whenever possible, we are fully prepared to litigate our clients’ cases when necessary.

• We Handle Enforcement Actions and FINRA Arbitration – Along with handling SEC, DOJ, and TSSB enforcement actions (including both civil and criminal inquiries), we also represent clients in FINRA arbitration. If you are facing an arbitration claim—whether related or unrelated to a state or federal investigation—we can help protect you by all means available.

• We Also Handle Other Types of High-Stakes Fraud Cases – Along with defending clients in federal securities fraud cases, we also have experience defending clients against scrutiny from the Internal Revenue Service (IRS), US Department of Health and Human Services (HHS), and other federal authorities. As a result, regardless of the charges the US Attorney’s Office chooses to pursue (if any), we will be prepared to counter prosecutors’ arguments and evidence by all means available.

• We Can Get to Work Immediately if Necessary – If you are facing a securities fraud investigation or facing charges at the state or federal level, we can get to work immediately. Time is of the essence in these cases; and, the sooner we can get to work, the sooner we can begin steering the government’s case toward a favorable resolution.

FAQs: Defending Against Investment Fraud Allegations in Tarrant County

Do investment advisors and brokers owe a fiduciary duty to their clients in Texas?

All investment advisors and brokers owe a fiduciary duty to their clients under federal law. We defend investment advisors and brokers accused of breaching their fiduciary duties in Texas. Whether you are under investigation, facing charges, or facing liability in FINRA arbitration, we can use our experience to help protect you by all means available.

When can allegations of securities fraud lead to charges for white collar crimes?

Yes, allegations of securities fraud can—and often do—lead to charges for white collar crimes. These include charges for crimes such as money laundering, bank fraud, and wire fraud, as well as charges for criminal violations of the Securities Exchange Act of 1934, the Sarbanes-Oxley Act (SOX), and other federal securities statutes. All of these charges carry substantial fines, and individuals prosecuted for these crimes can face years (or, in many cases, decades) of prison time.

Why have I been contacted by the Texas State Securities Board’s Dallas office?

If you have been contacted by the Texas State Securities Board’s Dallas office, this could mean that the TSSB is targeting you, your company, or your firm in a securities fraud investigation. To ensure that you are making strategic decisions and doing everything necessary to protect yourself, you should engage experienced defense counsel promptly. Our attorneys can communicate with the TSSB’s Dallas office on your behalf; and, if you are facing scrutiny, we can work to steer the inquiry toward a favorable resolution.

Schedule a Free Consultation with a Senior Securities Fraud Defense Lawyer Today

If you need to speak with an experienced securities fraud defense lawyer about an investigation or enforcement proceeding in Fort Worth, we encourage you to contact us promptly. We have extensive relevant experience, and we can provide representation on an emergency basis if necessary. Call 866-603-4540 or contact us online to arrange a free and confidential consultation today.

Related pages:

• Dallas Securities Fraud Defense Attorney