Securities Fraud

Understanding Securities Fraud

Securities fraud is a serious federal and state crime involving deceptive practices in the buying, selling, or offering of securities, such as stocks, bonds, or investment contracts. Prosecutors and regulatory agencies view securities fraud as a direct threat to the integrity of financial markets, and they aggressively pursue individuals and businesses they believe have engaged in misleading, manipulative, or fraudulent conduct.

Securities fraud can take many forms, including:

Insider Trading: Buying or selling securities based on material, non-public information, such as confidential corporate earnings, mergers, or acquisitions.
Misrepresentation or Omission: Making false statements or failing to disclose material facts to investors, such as misleading financial statements or false earnings projections.
Ponzi Schemes and Investment Scams: Using new investor funds to pay returns to earlier investors, while falsely claiming the investments are profitable.
Market Manipulation: Engaging in schemes to artificially inflate or deflate the price of a security, such as pump-and-dump schemes.
Unauthorized Trading: Conducting trades on behalf of clients without their knowledge or consent.
Churning: Excessive trading in a client’s account to generate commissions, without regard to the client’s investment goals.
Accounting Fraud: Manipulating financial statements to deceive investors, such as overstating revenue or hiding liabilities.
Misuse of Client Funds: Diverting client funds for unauthorized purposes, often in violation of fiduciary duties.

Securities fraud can be prosecuted under federal laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act, and the Sarbanes-Oxley Act. Investigations are typically led by the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), and state securities regulators.

Because securities fraud cases often involve complex financial transactions, extensive documentation, and sophisticated regulatory rules, they require a strategic, evidence-driven defense.

Our Approach to Securities Fraud Defense: Strategic, Evidence-Driven, and Proactive

At A Einhorn Law, we understand that securities fraud cases are complex, high stakes matters involving detailed financial records, regulatory compliance, and investor relationships. Our approach is built on providing a strong, proactive defense that protects your rights and minimizes your exposure.

Comprehensive Case Review: We begin by conducting a detailed review of the allegations, your financial records, client communications, transaction history, and any other relevant documents. Our goal is to identify weaknesses in the government’s case.
Challenging the Government’s Evidence: We critically analyze the evidence, challenging the government’s ability to prove fraudulent conduct, material misrepresentation, or investor reliance.
Access to Financial and Securities Experts: Where necessary, we work with forensic accountants, securities experts, and financial analysts to analyze transactions, trace funds, and challenge the government’s conclusions.
Strategic Defense Development: Our defense strategy is customized to your case, whether that means demonstrating that the investments were legitimate, showing that you acted in good faith, or negotiating for reduced charges.
Discreet Resolution: We recognize that securities fraud allegations can damage your reputation, especially for financial professionals and corporate executives. Whenever possible, we work to resolve these cases discreetly.
Defending Against Related Charges: Securities fraud investigations often lead to additional allegations, including wire fraud, mail fraud, conspiracy, insider trading, and obstruction of justice. We are prepared to defend you against any related charges.

Whether you are an investment advisor, broker, corporate executive, trader, financial professional, or business accused of securities fraud, we are here to protect your rights and secure the best possible outcome.

Why Choose Us for Securities Fraud Defense?

When facing securities fraud allegations, the right defense can make all the difference. At A Einhorn Law, we offer a unique combination of experience, skill, and personalized representation. Here is what set us apart:

Elite BigLaw Background: Our firm’s experience includes nearly a decade of handling complex, high-stakes securities fraud cases at a top-tier BigLaw firm, including SEC investigations, DOJ prosecutions, and FINRA enforcement actions.
Strategic, Evidence-Driven Defense: We do not take a one-size-fits-all approach. Instead, we conduct a detailed investigation of the facts, challenge the evidence, and develop a customized defense strategy.
Access to Financial and Securities Experts: We work with financial analysts, forensic accountants, and securities law experts to analyze transactions, trace funds, and challenge the government’s conclusions.
Regulatory Experience: We are familiar with the rules, regulations, and enforcement practices of the SEC, FINRA, DOJ, and state securities regulators, allowing us to navigate complex investigations effectively.
Discreet, Reputation Protection: We recognize that securities fraud allegations can damage your name, your license, and your career. Our practice is built on maintaining client privacy and resolving cases with minimal exposure.
Defending Against Related Charges: Securities fraud investigations often lead to additional allegations, including wire fraud, insider trading, and obstruction of justice. We are prepared to defend you against any related charges.
Selective, Client-Focused Representation: Our practice is intentionally selective. We take on fewer cases to ensure that each client receives focused, high-caliber representation.

A Einhorn Law is here to defend your rights, protect your reputation, and secure your future — with the experience, strategy, and dedication that complex securities fraud cases demand.