Securities Fraud

Securities fraud generally occurs when there is theft as a result of manipulation of the market, theft from securities accounts, or deception of investors.  Specific examples of securities fraud include high-yield investment fraud, Ponzi schemes, pyramid schemes, advanced fee schemes, foreign currency fraud, broker embezzlement, hedge-fund related fraud, insider trading, and late day trading.

Securities fraud is investigated by a number of federal agencies, including the Department of Justice, the Federal Bureau of Investigation, and the Securities and Exchange Commission.  Securities fraud investigations have become increasingly common, and President Obama created a special division of the Department of Justice for the investigation of securities fraud and other financial crimes called the Financial Fraud Enforcement Task Force in 2009.

Securities fraud is prohibited by a number of federal statutes, including the Securities Act, the Securities Exchange Act, the Investment Advisors Act, the Investment Company Act, the Trust Indenture Act, the Sarbanes-Oxley Act, the Private Securities Litigation Reform Act, and various provisions of the Federal Criminal Code.  Violations of these statutes are subject to serious penalties, including criminal penalties of up to twenty-years’ (20) imprisonment and fines of up to $5 million ($25 million for entities), as well as civil penalties including forfeiture, restitution, and loss of professional licenses.

Given the high stakes involved, it is imperative that individuals facing securities fraud charges choose an attorney with the knowledge and experience necessary to defend such a case.  I have chosen to focus my practice on White Collar Crimes, including securities fraud.  I fight hard to enforce the rights of my clients, and I believe in the integrity of that fight.

Over the last 38 years, I have earned a successful track record in high stakes white collar matters and have argued before the United States Supreme Court as well as other federal courts throughout the country.  If you have questions or concerns about a securities fraud matter, I invite you to contact me directly to discuss it at (212) 639-1600 or Patrick@MullinDefense.com.  You will discuss your concerns with me personally—never an associate or a paralegal.  In addition, you should know that your contact with me, and with my firm, is privileged under the law, regardless of whether or not you decide to retain my firm to represent you.

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