Securities fraud encompasses a wide range of alleged conduct — from misrepresentations made to investors and unauthorized trading to market manipulation and Ponzi schemes. These cases can be brought criminally by the DOJ, civilly by the SEC, or both simultaneously (or even one after the other), and they can expose individuals and entities to substantial criminal penalties, disgorgement, civil liability, and permanent industry bars.
Ford O’Brien Landy LLP defends individuals and entities facing securities fraud charges and investigations. Our clients have included broker-dealers, traders, hedge fund managers, and executives across a broad range of alleged conduct, including:
Securities fraud cases demand a defense strategy that accounts for both the criminal and civil dimensions from the outset. Statements made in one proceeding can affect the other, and regulatory settlements can have collateral consequences that outlast the matter itself. Our attorneys — including former prosecutors — understand how these cases are investigated and prosecuted, and we build defenses that are coordinated across every front.
Contact us to learn how we can help.
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