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Investment Fraud Defense Lawyers Serving NY & NJ

The DOJ and SEC are Aggressively Targeting Brokers, Advisors, Executives, and Others in Investment Fraud Investigations in New York and New Jersey

Investment fraud has long been a top law enforcement priority for the U.S. Department of Justice (DOJ) and Securities and Exchange Commission (SEC). These agencies take their obligation to protect consumers very seriously, and they aggressively target individuals and companies suspected of defrauding retail investors. With the U.S. securities market centered around Wall Street, much of the DOJ and SEC’s activity in this area is focused in New York and New Jersey.

In addition to civil litigation and FINRA arbitration, allegations of investment fraud can also lead to civil or criminal prosecution at the federal level. While the SEC exclusively engages in civil enforcement litigation, it refers cases to the DOJ for criminal prosecution when warranted. In both civil and criminal cases, individuals and companies can face substantial fines, loss of registration and licensure, and other penalties. In criminal cases, long terms of federal imprisonment can also be on the table.

Put our highly experienced team on your side

Dr. Nick Oberheiden
Dr. Nick Oberheiden

Founder

Attorney-at-Law

John W. Sellers
John W. Sellers

Former Senior Trial Attorney
U.S. Department of Justice

Local Counsel

Joanne Fine DeLena
Joanne Fine DeLena

Former Assistant U.S. Attorney

Local Counsel

Joe Brown
Joe Brown

Former U.S. Attorney & Former District Attorney

Local Trial & Defense Counsel

Amanda Marshall
Amanda Marshall

Former U.S. Attorney

Local Counsel

Aaron L. Wiley
Aaron L. Wiley

Former Federal Prosecutor

Local Counsel

Roger Bach
Roger Bach

Former Special Agent (OIG)

Michael Koslow
Michael Koslow

Former Supervisory Special Agent (FBI)

Chris Quick
Chris Quick

Former Special Agent (FBI & IRS-CI)

Kevin M. Sheridan
Kevin M. Sheridan

Former Special Agent (FBI)

Ray Yuen
Ray Yuen

Former Supervisory Special Agent (FBI)

Dennis A. Wichern
Dennis A. Wichern

Former Special Agent-in-Charge (DEA)

Former DOJ White-Collar Prosecutors for Investment Fraud Defense in NY & NJ

At Oberheiden P.C., our national network of trial lawyers includes former DOJ white-collar prosecutors who have decades of experience on both sides of federal investment fraud cases. All of the trial lawyers at our firm have senior-level experience. Unlike other investment fraud defense firms, we do not assign cases to junior associates or paralegals—because we don’t have any on our staff. When you choose Oberheiden P.C., you will receive concierge service throughout your case, and you will work directly with senior lawyers who are intimately familiar with the DOJ’s and SEC’s investigation and prosecution tactics.

Under Investigation or Facing Charges in NY or NJ? You Don’t Have Time to Waste

If you are facing a DOJ or SEC investigation, you do not have time to waste. These investigations can move quickly—especially when federal agents and prosecutors believe there is an ongoing risk of financial harm to retail investors. You need to start executing a defense strategy immediately, and you need to do everything you can to steer the investigation toward a favorable pre-charge resolution.

If you are already facing charges in New York or New Jersey as the result of an indictment or criminal information, you need highly-experienced defense counsel on your side. At this point, you need to devote your time, effort, and resources to avoiding an unfavorable verdict at trial. Federal judges and juries are not sympathetic to individuals and companies accused of defrauding investors, and charges for securities fraud, wire fraud, conspiracy, and other crimes can carry aggregate penalties of multi-million-dollar fines and decades behind bars.

We Handle Cases Involving All Allegations of Investment Fraud

Our investment fraud defense practice encompasses all types of federal allegations. We defend brokers, advisors, executives, founders, companies, firms, and other individuals and entities facing allegations including (but not limited to):

  • Cryptocurrency fraud
  • ERISA violations
  • Fraudulent investment schemes
  • Insider trading
  • Investment advisor fraud
  • Market manipulation
  • Ponzi schemes
  • Securities and commodities fraud
  • Stock broker fraud
  • Other forms of retail investor fraud

In criminal investment fraud cases, DOJ prosecutors in New York and New Jersey will often file charges for related offenses as well. We have successfully defended numerous individuals and organizations against charges including mail fraud, wire fraud, money laundering, tax evasion, and conspiracy to commit securities fraud—and we rely on this experience to executive comprehensive and effective defense strategies for our clients.

Investment Fraud Defense for Investment Brokers and Advisors

Investment brokers and advisors in New York and New Jersey are subject to the oversight of the SEC, FINRA, and other federal and state authorities. Wall Street brokers and advisors in particular face perhaps the closest scrutiny in the entire country. Brokers and advisors can face prosecution under the Securities Act of 1933, the Securities Exchange Act of 1934, the federal mail fraud and wire fraud statutes, and various other sources of federal authority. Prosecutions of brokers and advisors accused of investment fraud tend to be swift, all-encompassing, and unforgiving.

We defend investment brokers and advisors facing all types of allegations—from providing self-interested investment advice to account churning and misappropriation of client funds. We represent registered and unregistered individuals and firms, and we provide representation on an emergency basis when necessary.

Investment Fraud Defense for Corporate Entities, Owners, and Officers

Corporate entities, owners, and officers can face an extraordinarily broad range of charges in federal investment fraud cases. This includes everything from insider trading and ERISA violations to omitting material information from public disclosures and conducting fraudulent IPOs. As a result, defending against a DOJ or SEC investment fraud investigation requires a clear understanding of the specific allegations involved.

When we defend corporate entities, owners, and officers, our first course of action is always to intervene in the DOJ’s or SEC’s investigation and determine what statutes our clients are suspected of violating and why. Understanding the issues at hand not only ensures that we assert appropriate and necessary defenses, but it also ensures that our clients do not inadvertently waste time and resources “defending” against allegations that are not on the table. While we have resolved the vast majority of our clients’ cases at the investigative stage, our former DOJ prosecutors and career defense lawyers also have extensive experience representing clients in high-stakes federal civil and criminal trials.

Investment Fraud Defense for Promoters, Influencers, and Others

Recently, we have seen an influx of cases involving allegations against promoters, influencers, and other individuals accused of spreading false information about cryptocurrencies, securities, and other investments. These cases predominantly involve allegations of spreading false information online through websites, emails, and social media.

Allegations in these cases range from sharing false or misleading information about cryptocurrency investments to running scams involving non-existent securities and commodities. We represent New York and New Jersey residents as well as out-of-state residents facing prosecution in the United States District Court for the Southern District of New York, which is located in New York City.

FAQs: Facing Investment Fraud Allegations in New York or New Jersey

Why Am I Being Targeted in an Investment Fraud Investigation in NY or NJ?

There are a number of reasons why federal authorities may be investigating you, your company, or your firm for investment fraud. In many cases, these investigations result from information being made publicly available online or from complaints filed by retail investors. Whistleblower complaints and investigations targeting other potential defendants are common triggers as well. Regardless of why you or your business is being investigated, now that you are under federal scrutiny, you need to initiate a strategic defense right away.

What Happens During a DOJ Investment Fraud Investigation?

The DOJ has a broad range of investigative tools at its disposal. Agents use civil investigative demands, subpoenas, warrants, digital forensics, and other means to gather information in support of civil and criminal charges. If you are contacted by agents from the DOJ, you should tell the agents that you are represented by legal counsel, and you should contact an investment fraud defense lawyer before you share any information with the federal government.

What Happens During an SEC Investment Fraud Investigation?

SEC investment fraud investigations can take two different paths. The SEC conducts both “informal” and “formal” investigations, and each type of investigation involves different procedures and means. Crucially, however, an informal investigation can lead to a formal inquiry—so all SEC investigations must be handled with the same level of care. A formal SEC investigation can lead to civil enforcement action or referral to the DOJ for criminal prosecution.

What Does it Mean if the FBI or IRS is Involved in an Investment Fraud Investigation?

If the FBI or IRS is involved in an investigation, this most likely means that the government is targeting charges for offenses both related and unrelated to investment fraud. This could include charges for criminal conspiracy, tax evasion, federal reporting violations, and a multitude of other crimes. Again, you will need to engage defense counsel right away, and you will need to choose a firm with attorneys who have extensive experience handling complex federal white-collar cases.

What are the Potential Penalties in a Federal Investment Fraud Case?

The potential penalties in a federal investment fraud case depend on whether the case is civil or criminal in nature. Generally speaking, the key differentiating factor from a penal standpoint is that criminal cases carry the potential for federal imprisonment. Both types of cases can lead to multi-million-dollar fines, injunctions (i.e. a prohibition on promoting securities), regulatory action (i.e. loss of registration or licensure), and various other consequences depending on the specific circumstances and charges involved.

Talk to a Senior Investment Fraud Defense Lawyer at Oberheiden P.C.

If you are facing an investment fraud investigation or facing charges in New York or New Jersey, we encourage you to contact us right away for a free consultation. To speak with a senior investment fraud defense lawyer in confidence as soon as possible, call 888-680-1745 or inquire online now.

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