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SEC Fraud Defense in Palo Alto, California

Individuals, companies, company executives, and other insiders in Palo Alto, California that are subject to SEC investigation, charges, or prosecution shouldn’t attempt to face such actions without hiring seasoned SEC fraud defense attorneys in Palo Alto.

Palo Alto address – by appointment only:
456 University Ave
Palo Alto, CA 94301

The SEC’s Role

John W. Sellers
Attorney John W. Sellers
Palo Alto SEC Defense Team Lead
Former DOJ Trial Attorney
envelope iconContact John

The Securities & Exchange Commission is a federal agency responsible for protecting investors. The SEC regulates the securities industry and beyond through a special division (enforcement division) that investigates and prosecutes misconduct failing under many federal laws on financial crimes. The SEC’s actions are directed from regional offices.

To avoid stiff penalties and possible jail time, individuals or entities facing SEC investigations or charges need legal representation from a seasoned SEC fraud defense lawyer.

Palo Alto is an innovation hub hosting many tech companies today. This has made the SEC focus on Palo Alto startups, established companies, and other players/third parties operating in this space. If a tech company in Palo Alto is subject to the SEC’s investigations, the SEC looks into the company’s practices, its executives, employees, and other insiders.

The agency focuses on both private and publicly traded entities in its mandate to investigate and prosecute civil, administrative, and criminal cases against individuals and entities suspected of securities law violations.

We have unmatched experience representing Palo Alto tech companies and entities in other industries alongside their executives and employees subjected to SEC investigation, charges, or other actions. Most importantly, some of our senior lawyers have prior firsthand experience prosecuting SEC securities fraud cases on behalf of the government.

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)

Challenging SEC Investigations & Charges

We have a comprehensive approach to SEC fraud defense in Palo Alto that almost guarantees a favorable result. The companies, employees, corporate executives, and other insiders we represent can expect us to protect their interests fully and quickly.

Step 1: Internal Investigation

We begin by conducting comprehensive investigations aimed at uncovering the level of exposure. This step involves a thorough internal investigation that commences immediately under close supervision of outside counsel to secure attorney-client privilege. We have handled internal investigations on many security-related matters like insider trading violations and more.

Step 2: Guidance on SEC Testimony & Documentation Requests

The SEC utilizes subpoenas to get testimonies and documents to support its investigations. When representing clients subject to SEC subpoenas, we have dedicated SEC fraud defense lawyers that work closely with you to ensure you testify in your own best interests. This process involves guiding our clients to produce the necessary documentation and meet other obligations without incriminating themselves or disclosing unnecessary information.

Step 3: Crafting Potential Defenses

Steps 1 and 2 give rise to important information that can be used to challenge SEC investigations, charges, and other enforcement actions. We have many potential defenses in our arsenal for challenging typical SEC charges like insider trading, theft, misrepresentation, market manipulation, and more. We craft comprehensive defense strategies taking into consideration the reality and practicality at hand. We can challenge testimonies, evidence, claim coercion, and more!

Step 4: Execution

Our goal is protecting our clientele fully from civil, administrative, and criminal SEC sanctions. We constantly reevaluate strategies and adjust them based on new circumstances.

Our SEC fraud defense team has attorneys with firsthand experience working directly with the SEC’s attorneys and investigators. We have the capacity to deliver desired outcomes to the most complex SEC charges.

FAQs about SEC Fraud Defense in Palo Alto and Related Matters

What laws does the SEC enforce?


The SEC enforces many federal financial laws, the most notable being the Foreign Corrupt Practices, Dodd-Frank, Sarbanes-Oxley, and Securities Exchange Acts.

Why is the SEC investigating me/my company?


The SEC launches investigations or charges individuals or companies for many reasons. A common reason for investigations is financial misconduct linked to investors. If a company/entity misrepresents or omits information for purposes of deceiving investors, such entities are liable to SEC investigations. This applies to entities that have an obligation to offer potential investors accurate information that aids informed decision-making. Misrepresentation is considered investor fraud by the SEC.

Insider trading allegations also result in SEC investigation and charges if there is concrete evidence. All players in the securities trading space must have equal access to information. If a company executive uses information to profit unfairly on information that isn’t available to the public, he/she is likely to be investigated. The same applies to family members of persons who have access to insider information.

Market manipulation also attracts SEC investigations. Persons that spread false information to “crash” a stock can be charged by the SEC. The same applies to those who take part in “pump and dump” practices – i.e., buying a stock and then using fraudulent methods like misrepresentation to drive the price up before selling.

Other practices that attract SEC action include embezzlement. If a company takes money from investors with the promise of investing that money but channels it to other use, such activities constitute securities violations treated as crimes.

Cryptocurrency ICOs that are meant to defraud can also trigger SEC investigations and charges. Other agencies like the IRS are also interested in cryptocurrency tax violations, such as underreporting cryptocurrency gains and transactions.

Who is an insider trader as per the SEC?


Insider traders are persons with material access to non-public information that can impact a company’s share value. These persons could be corporate executives, employees, in-house attorneys, or other insiders with certain positions directly or indirectly within a company. In some cases, family members of corporate executives, employees, or other parties with material access to non-public information can qualify as insider traders if they trade and profit with the said information.

How can I defend myself from insider trading allegations? What are the best defenses for insider trading?


If the SEC launches insider trading investigations against you/your company, defenses should be based on the circumstances surrounding the specific case. Notable defenses that can have SEC charges dismissed including claims that you had no access to the said information or you didn’t relay or profit from the said information. Your SEC defense team can also claim the information was already public, you pieced unusable information together, or were trading according to a plan based on expert advice.

What are the consequences of SEC investigations or charges?


If the SEC launches investigations and charges you/your company successfully, you can face many consequences that range from paying hefty fines to going to jail. You could also face professional consequences such as losing a license or damaging your reputation.

Do I need an SEC fraud defense attorney when facing SEC investigations or charges?


Absolutely! While you have every right to tackle any SEC charges leveled against you as you wish, it is prudent to seek expert help from the best SEC fraud defense lawyer you can find in Palo Alto.

The consequences of being found guilty of SEC charges are dire. You/your company could face millions in fines. You could also damage your reputation, go to jail, lose your license, etc. SEC investigations and other actions can be challenged successfully, provided you have an expert SEC fraud defense team.

Why Choose Oberheiden P.C. for SEC defense in Palo Alto?

There may be many SEC defense attorneys in Palo Alto. However, you should work with us because:

  • We are highly experienced in SEC defense experience and in other fields
  • Our SEC defense attorneys have worked on both ends of SEC fraud cases. We know the strategies SEC attorneys use.
  • We have experience in all SEC investigations and charges imaginable, from insider trading to misrepresentation, trading during “blackout” periods, embezzlement, selling unregistered securities, and more!
  • All our attorneys are senior level with years of experience and firsthand knowledge.
  • We’ve successfully defended company executives, employees, companies, and third parties in SEC investigations involving high stakes matters.

Claim a free, confidential appointment now with any of our SEC fraud defense attorneys in Palo Alto.

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