Nicholas B. Johnson
Former Prosecutor
Lynette Byrd
Former Assistant
U.S. Attorney
John Sellers
Former DOJ
U.S. Attorney
Linda Julin McNamara
Former Assistant U.S. Attorney
Dr. Nick Oberheiden
Attorney & Founder
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Corporate Securities Fraud Defense: Fending Off SEC and DOJ Enforcement Actions
Corporate securities issuers can face a wide range of allegations from the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ). When facing scrutiny from the SEC or DOJ, executing an informed, strategic, and proactive defense is critical for fending off high-stakes enforcement actions. This includes not only...
Read moreSecurities Market Manipulation Defense: Responding to Scrutiny from the SEC or DOJ
Securities market manipulation cases can involve a wide range of allegations under multiple federal statutes. As a result, for companies and individuals targeted in these cases, mounting a successful defense starts with understanding the specific allegations at hand. Once you know what you need to defend against, then you can...
Read moreSection 1348 Defense: Fighting Federal Criminal Charges for Securities Fraud
Section 1348 is the federal securities fraud statute. While the Department of Justice (DOJ) also has other options for pursuing criminal charges in securities fraud cases, the breadth and simplicity of Section 1348 makes it one of the DOJ’s go-to tools for criminal enforcement. With that said, there are several...
Read moreSection 10(b) Defense: Fighting Allegations of Securities Fraud from the SEC and DOJ
Section 10(b) of the Securities Exchange Act of 1934 is one of the primary tools that the Securities and Exchange Commission (SEC) and Department of Justice (DOJ) use to pursue securities fraud allegations. Companies and individuals can face civil and criminal liability under Section 10(b); and, in both types of...
Read moreFY2025 Statistics Report Highlights the SEC’s Securities Fraud Enforcement Priorities
The SEC’s Enforcement Division recently published a press release touting its successful enforcement efforts during the 2025 fiscal year. The press release and accompanying statistics report highlight the SEC’s enforcement priorities heading into 2027—providing critical insight for companies, firms, and individuals that are subject to the SEC’s oversight. Each year,...
Read moreWhen Can a Federal Securities Fraud Investigation Lead to Criminal Charges?
Federal securities fraud investigations can lead to criminal charges in various circumstances. While most criminal cases involve charges under the Securities Exchange Act of 1934 and the federal securities fraud statute (18 USC Section 1348), federal prosecutors can (and do) pursue criminal charges under various other statutes as well. As...
Read moreInsider Trading Defense: What Corporate Insiders Need to Know When Facing CFTC, DOJ, or SEC Scrutiny
Corporate insiders can face criminal prosecution based on allegations of insider trading. Charges filed under the Securities Exchange Act and the federal securities fraud statute (18 USC Section 1348) can carry multi-million-dollar fines and decades of prison time. As a result, when facing a federal insider trading investigation, it is...
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What are the Red Flags for PPP Loan Fraud?
Last Updated: 10-05-2026 Due to a high volume of calls, we are unable to take on more PPP clients at this time. However, we have created a list of PPP resources that should help you with any challenges that you might have. PPP Resources: Find an attorney to defend...
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What are the Charges for PPP Loan Fraud?
Last Updated: 10-05-2026 Due to a high volume of calls, we are able to only take those PPP clients who have received a PPP loan greater than $100,000. If your loan is less, we have created a list of PPP resources that should help you with any challenges that you...
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Does a Subpoena Have to Be Served in Person?
Last Updated: 10-05-2026 Being served with a subpoena immediately leaves you with lots of questions, and the subpoena itself provides very few answers. It also provides you with very little time to get your bearings and make the decisions you need to make in order to protect yourself. If you...
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