Securities Fraud – Securities Defense Attorneys

Taher Kameli: Securities Fraud Defense Attorney

The Enforcement Division of the Securities and Exchange Commission (SEC) pursues an extensive variety of liabilities towards companies, executives, insiders, and many more institutions and individuals. If the SEC’s Enforcement Division contacted you, it’s critical to find legal counsel immediately.

We all know that the Securities and Exchange Commission (SEC) is a federal organization that regulates the securities market in the United States, and oversees extensive law enforcement activities. Their Enforcement Division investigates and prosecutes a variety of offenses, and has the authority to take disciplinary actions in the form of administrative proceedings or civil litigation.

Regardless of the investigation, if the SEC contacted you, you want to get the right securities and fraud defense. The consequences for violating the Securities Act of 1933, Securities and Exchange Act of 1934, the Investment Advisor Act of 1940, the Investment Company Act of 1940, the Dodd-Frank Act, the Foreign Corrupt Practices Act (FCPA), and other rules and regulations promulgated under the SEC’s congressional authority can damage your reputation, and be prosecuted by the U.S. Department of Justice (DOJ). The SEC enforces civil charges, securities litigation, and other penalties against the companies, executives, insiders, fraudsters, and other bad actors, and influences the DOJ’s decision of whether or not it will bring criminal charges relating to securities and financial market activities.

Recognized Securities Fraud Attorneys

At The Kameli Law, our securities lawyers offer professional securities fraud enforcement advice. Our dedicated professional team of attorneys engages in a nationwide practice handling securities litigation at all stages. If the SEC is investigating you or your business, pursuing administrative or civil enforcement, or teaming with the DOJ to pursue criminal securities fraud charges, we will use our knowledge to defend you.

Securities Fraud Defense Law Firm

Securities Fraud Enforcement: Five Most Important Principles and the “Diverse Mix”

During the 2020 Annual Report, the SEC Enforcement Division reinforced its “ongoing focus on identifying and investigating securities laws violations involving different components of the financial reporting process.

Following these principles, the SEC added a diverse mix of 697 enforcement actions during 2021. As summarized within the SEC`s report:

In the fiscal year 2021, the SEC also obtained judgments and orders for nearly $2.4 billion in disgorgement and more than $1.4 billion in penalties, which represented a respective 33 percent decrease and 33 percent increase over amounts ordered in the prior fiscal year in these categories.

Securities Fraud Defense Attorneys: What to Do if You’ve Been Targeted by the SEC

Securities Fraud Defense: Common Allegations in SEC Fraud Investigations

The SEC devotes the vast majority of its efforts on focusing on individuals and businesses suspected of involvement in fraudulent activities that affect retail investors. However, this itself is a large class of fraud-associated offenses, and the SEC continues to increase its focus on discovering new threats in securities fraud enforcement. For example, currently, the SEC, DOJ, and other federal agencies are increasing their efforts on:

• Holding Individuals Accountable
• Ensuring Gatekeepers Live Up to Their Obligations
• Rooting Out Misconduct in Crypto
• Policing Financial Fraud and Issuer Disclosure
• Charging Improper Conduct by Investment Professionals
• Protecting Market Integrity
• Cracking Down on Insider Trading and Market Manipulation
• Guarding Against Public Finance Abuse
• Pursuing Wrongdoing in Securities Offerings
• Swiftly Acting to Protect Investors
• Achieving Success in Litigation
• Rewarding and Protecting Whistleblowers

Also, these practices can lead to securities fraud investigations:

• Misrepresentation or Omission of Material Information – The requirement for businesses and funding advisors to offer entire and correct facts to buyers is a foundational precept. Misrepresentation and omission of information are the usual allegations in SEC fraud investigations.
• Manipulation of the Market Price of Securities – these could be from allegedly withholding or delaying the discharge of information to perpetrating “pump and dump” schemes that attain great earnings at the same time as creating great losses for investors. In all cases, this needs proper counsel.
• Theft of client funds or securities– It is a common allegation against consulting firms and individual investment advisers. Like other forms of SEC fraud, these allegations can take many forms, from diversion of a customer’s deposit to fraudulent transactions, from closing a customer’s account to charging excessive fees.
• Insider Trading – The SEC regularly pursues administrative, civil, and criminal enforcement measures against insiders,  of companies that improperly misuse important non-public information to their own benefit.
• Selling Unregistered Securities – There are some exemptions to the requirement that no security may be sold without registering with the SEC, but performing a sale before securing the available exemption constitutes a SEC fraud.
• Embezzlement and Financial Fraud – These types of allegations can trigger investigations involving the SEC’s enforcement department, but these allegations are often based on evidence revealed during the investigation process.

Securities Compliance from Kameli & Associates Attorneys

Due to the variety of charges that may be brought following an SEC investigation, while confronted with the possibility of an administrative, civil, or even criminal enforcement action, it is imperative that you have sufficient legal representation.

At The Kameli Law, we have the experience to defend you.

Securities Disputes

Initial Coin Offerings

Investors Who Got Defrauded

Cryptocurrency

Speak with Securities Defense Attorney at The Kameli Law about Your SEC Fraud Investigation