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SEC Fraud Defense Menlo Park, California

The U.S. Securities and Exchange Commission (SEC) is a federal government agency that regulates securities offerings, trading markets, and financial professionals. The SEC also enforces federal securities laws and prosecutes violations of those laws.

SEC Fraud Defense Lawyers

Anytime the SEC is interviewing you – if you have received a subpoena to testify or provide documents, or if you are facing charges before the SEC – it is in your best interest to consult with an SEC fraud defense attorney well-versed in securities law. If you received a request for information from the SEC without consulting with an attorney, it is still not too late to seek legal advice.

You Have a Right to Counsel

John W. Sellers
Attorney John W. Sellers
Menlo Park SEC Defense Team Lead
Former DOJ Trial Attorney
envelope iconContact John

You should assert your right to counsel and refuse to speak with the SEC until your attorney has been present during all interviews. It is also important that when you start speaking with an investigator, any representation is licensed in California and admitted into the federal bar.

Your lawyer can also ensure that no one takes advantage of any lack of knowledge on your part regarding securities law or financial topics if they question you about issues related to these subjects. This can include using complex questions designed to confuse non-experts and eliciting false confessions through intimidation tactics.

SEC Fraud Investigations

After the investigation, the SEC can file charges against you and your company. The investigation itself can be complex and invasive; you will have to prepare for potential civil litigation and a criminal trial.

The costs for defending your position in an SEC enforcement action are significant, on top of the fact that the outcome of these actions can have a damaging effect on your business’ reputation.

The most important thing you can do when facing an SEC fraud defense investigation is hire an attorney to represent you during the investigation. A good lawyer will know how to navigate the legal system and give you a better chance of getting a positive result from this situation.

SEC Enforcement Actions against Executives and Financial Advisors

The Securities and Exchange Commission (SEC) has the power to bring civil enforcement actions against executives, financial advisors, corporations, and other entities charged with securities fraud, insider trading, or other violations of securities laws. The SEC also oversees prosecutors responsible for follow-up criminal prosecution of those charged with violations of the U.S. Criminal Code.

The SEC is just one of several agencies responsible for regulating the securities industry, the Financial Industry Regulatory Authority (FINRA) and state regulatory agencies.

These agencies each have their own jurisdiction over cases involving a variety of violations such as trading on non-public information to commit fraud or engage in insider trading, manipulating stock prices through false reporting or by artificially inflating stock value, selling stocks without a license from regulatory authorities, selling unregistered stocks, failure to disclose conflicts of interest, and many more violations.

SEC Fraud Defense Attorneys in Menlo Park, California

Our Menlo Park offices are staffed by attorneys licensed to practice law in California. Of our attorneys, several have served as former federal prosecutors, senior attorneys with the Securities and Exchange Commission (SEC), and federal law clerks. Several of our attorneys have also served as state or local prosecutors, criminal defense lawyers, or judicial clerks at the state level.

SEC Representation for Executives and Financial Advisors

If you are the subject of an SEC investigation, your life is likely taking a nosedive into a legal nightmare. The SEC can file criminal charges against you and seek to have you incarcerated in federal prison.

The Commission can also pursue civil penalties against you, including disgorgement of profits and financial penalties that can total millions of dollars. In addition to fines from the government, investors may sue you for compensation, which adds up quickly.

To make matters worse, your employer may fire or suspend you. If the SEC charges or files suit against you for defrauding investors or violating securities laws, your professional reputation is on the line.

You might get barred from participating in the securities industry again, which would cost you your livelihood and potential future income and retirement funds. That’s why you need to call us for expert legal representation.

Our lawyers have conducted internal investigations, negotiated with law enforcement, and tried SEC cases before juries. We draw on this broad experience to devise creative strategies for our clients in all kinds of white-collar matters, including those related to financial fraud and securities violations.

Put our highly experienced team on your side

Dr. Nick Oberheiden
Dr. Nick Oberheiden



Lynette S. Byrd
Lynette S. Byrd

Former DOJ Trial Attorney


Brian J. Kuester
Brian J. Kuester

Former U.S. Attorney

Amanda Marshall
Amanda Marshall

Former U.S. Attorney

Local Counsel

Joe Brown
Joe Brown

Former U.S. Attorney

Local Counsel

John W. Sellers
John W. Sellers

Former Senior DOJ Trial Attorney

Linda Julin McNamara
Linda Julin McNamara

Federal Appeals Attorney

Aaron L. Wiley
Aaron L. Wiley

Former DOJ attorney

Local Counsel

Roger Bach
Roger Bach

Former Special Agent (DOJ)

Chris Quick
Chris J. Quick

Former Special Agent (FBI & IRS-CI)

Michael S. Koslow
Michael S. Koslow

Former Supervisory Special Agent (DOD-OIG)

Ray Yuen
Ray Yuen

Former Supervisory Special Agent (FBI)

SEC Investigation of Insider Trading

If you are being investigated by the SEC for trading on material non-public information, you must experience counsel on your side. The SEC has significant resources and substantial experience investigating and prosecuting insider trading cases.

The attorneys at Oberheiden P.C have represented clients in federal criminal matters involving insider trading allegations. Our attorneys frequently appear before the SEC and Department of Justice to negotiate a resolution of these allegations. Our attorneys will work closely with you to investigate the allegations and develop a strategy to achieve the best outcome.

SEC Defense for Insider Trading

Insider trading happens when a person uses non-public information to trade securities. The Securities Exchange Act of 1934 prohibits using material non-public information in purchasing or selling securities.

A person can be liable for insider trading even if they have not directly traded on inside information. For example, one can face civil liability if they have tipped someone else using inside information and the tippee has used that information to trade securities.

If you suspect that you may get investigated for insider trading or if you have been charged with this crime, contact an experienced SEC defense lawyer immediately. We will mount several defense strategies, including invoking SEC Rule 10(b)5-1, which decriminalizes pre-arranged deals.

SEC Investigation of Trading during a Merger

The investigation may include purchases made on insider information, securities acquired for resale without registration under the Securities Act, and securities sold short after receiving material non-public information about the tender offer or exchange offer.

You may also face accusations that include failing to report tender offer-related transactions as required by Section 14(d)(5) and Regulation 14D; misleading proxy statements used in connection with a tender offer, including material omissions and misleading statements concerning material facts regarding the conditions, plans, or proposals related to any merger or acquisition transaction involving such issuer. If you act quickly and hire an SEC defense lawyer early in the process, it is often possible to prevent formal charges from being filed against you.

SEC Defense for Trading during a Merger

Securities fraud charges are serious criminal accusations, and they carry penalties that include jail time and fines. If you have get charged with insider trading, you must get an experienced defense team working on your side.

A knowledgeable crime attorney will understand handling any criminal charges brought against you. First, while it might be true that the CEO had “material non-public” information, the fact is that he may not have known whether it would be good or bad for the company. SEC regulations only come into play when a person knows the likely result of a merger and trades on that information.

Second, while it may be possible that the CEO knew who was likely to buy his company, SEC regs don’t kick in until a person knows the terms of a deal (including price) will lead to gains or losses on their investments.

SEC Representation for Trading during Blackout Periods

You are in the middle of a blackout period, and you need to sell the stock for an emergency. You know that you cannot trade, but you do anyways. You are now facing severe legal consequences. You could be charged with insider trading, or the SEC may investigate your trading.

When you face these charges and want to protect yourself, consider hiring an attorney to represent you and defend you against these charges. An attorney can help you navigate the legal system and work to get your charges reduced or dropped. They can also help protect your rights when being questioned by investigators. If you have been accused of insider trading during a blackout period, contact us as soon as possible to get started on building your defense.

Representation for Clients Subpoenaed by SEC

If you receive a subpoena from the SEC, it is important that you carefully read the contents of your subpoena. If you are uncertain about the implications of your subpoena, or any other aspect of your dealings with the SEC, get in touch with us.

We analyze all relevant documents and information in-depth to identify what issues need addressing and what defenses to pursue. Then we develop a strategy that is designed to achieve your ultimate goals in the most efficient way possible.

Representation and Defense for Clients Currently Being Investigated by SEC

In an SEC investigation, you must have proper legal representation. Your lawyer should be able to explain the charges against you and advise you about your legal options.

The right federal defense attorney will ensure that you understand what the SEC is alleging, how they believe you committed securities fraud, and your case’s possible outcomes. You should also know what to expect throughout your legal process and how best to prepare for it.

Trust Oberheiden P.C. to Handle Your Case

Our firm’s experience is unparalleled, and its reputation for excellence is well-established by the hundreds of investigations it has successfully handled across the nation. If you wish to learn more about the firm’s background or if you would like to schedule your free initial consultation with Dr. Nick Oberheiden directly, please call 888-680-1745 today, or fill out our online contact form.

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