Fraud: Securities Fraud

Miami Securities Fraud Criminal Defense Lawyers

The federal securities laws are governed by a series of statutes. The two main statutes that address securities fraud are the Securities Act of 1933 and the Securities Exchange Act of 1934. The acts gave the Securities and Exchange Commission the authority to promulgate regulations regarding securities fraud. Other statutes that govern securities fraud are the Trust Indenture Act of 1939, the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Congress has amended the aforementioned laws many times. The most commonly used statute to prosecute securities fraud cases is Rule 10b-5 which criminalizes fraudulent securities transactions and prohibits insider trading.

The Miami Criminal Law Defense Firm of DMT has represented clients in various federal courts for charges stemming from securities fraud. Securities fraud laws were enacted by the federal government to protect investors and securities traders. Securities fraud cases will be filed against defendants whom the federal law enforcement agencies believe induced investors to buy or sell certain assets based on falsified or fraudulent information. The penalties for securities fraud can carry long prison sentences and extensive fines. Additionally, the Securities and Exchange Commission ("SEC") will also conduct investigations and impose civil fines against individuals and corporations alike. Those typically charged in securities fraud cases include stockbrokers, brokerage firms, currency traders, analysts, corporations and investment banks.

Stockbrokers are typically charged with securities fraud by misleading clients or giving advice obtained through insider information. Financial analysts are charged with offering misleading advice in an effort to drive up the prices of stocks or commodities to line their own pockets. Corporations have been charged with securities fraud by misleading investors about the strength of company or purposely committing accounting fraud to bolster the apparent financial strength of a company. The securities fraud cases have increased both in number and complexity with the development of more sophisticated investment vehicles. As a result of the internet, trading volumes for all investment markets are more than quadrupled leaving a very fertile ground for alleged perpetrators to roam.

The attorneys at DMT are creative and proactive in defending their clients being investigated or prosecuted for securities fraud. To effectively defend our clients, we will hire forensic accountants and private investigators to determine whether federal prosecutors have enough evidence to successfully prosecute a case. Although securities fraud cases are complex, every case is different. The criminal lawyers at DMT use their skill and experience as former prosecutors to go on the offensive to prove to the federal authorities that they cannot prove the requisite intent to successfully prosecute the case. Every case is reviewed by multiple attorneys to determine the viability of the case. Our tenacity and zealous representation of our clients leads to excellent results that can only been found in law firms that have experience in defending these types of cases.

If you are under investigation for, or have been arrested and charged with securities fraud, contact the Miami criminal defense law firm of DMT. An experienced criminal attorney is available every day of the year, 24 hours a day to speak with you regarding your situation. Allow us the opportunity to help protect your rights and defend your case. You can call our office at (305) 340-2197 or reach us by completing the form on our contact page or by sending an e-mail.