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Stock Fraud Defense

Defense for Stock Fraud Accusations

  • The stock fraud defense attorneys at Oberheiden, P.C. regularly advise its corporate clients against unwarranted and unfair accusations of stock fraud.
  • We represent small and large companies and are highly resourceful and competent to fight against the increasingly aggressive federal agency efforts to prosecute companies for stock fraud.
  • Call Oberheiden, P.C. to gain a capable attorney on your side to actively prepare your defense and fight for your liberty and reputation at every stage of the investigation and litigation process.

Experienced Defense Team

John W. Sellers
Attorney John W. Sellers
Stock Fraud Team Lead
Former DOJ Trial Attorney
envelope iconContact John

If you have been charged or are being investigated for stock fraud, do not wait to seek out legal advice. Now is the time to take prompt legal action in your defense.

The SEC relies on legislation that helps it prosecute companies with greater ease. Under the provisions of the Dodd-Frank Act of 2010, the SEC relies heavily on tips from whistle-blowers to alert it to possible illicit behavior by companies. These whistle-blowers are awarded financially if their tips against you lead to successful prosecutions in the SEC’s favor.

Federal agencies often coordinate their investigations, resulting in the sharing of information about you and your company. They aggressively prosecute individuals and companies with the hopes of making that individual or company serve as an example for future fraudsters, leading to jail time and significant criminal penalties.

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Don’t let your company be that example or statistic for a federal law enforcement agency. Understand that you have rights and do not have to wait for an investigation to be initiated. We are here to help you.

The defense attorneys at Oberheiden, P.C., are highly qualified to combat charges of stock fraud and defend you vigorously. We develop the most strategic plans to prepare our clients’ defenses with the utmost diligence.

Oberheiden, P.C. is a prominent nationally recognized law firm employing the most competent and meticulous stock fraud defense lawyers in the nation.

Our attorneys include former FBI agents, former U.S. attorneys, and former prosecutors ready to give you a personalized, multi-disciplinary defense strategy. We are highly qualified to combat charges of stock fraud and defend you vigorously.

Contact Oberheiden, P.C. today to defend your life, liberty, and reputation.

What is Stock Fraud?

Stock fraud, or securities fraud, is a broad term and refers to a deceptive and manipulative practice that induces prospective investors to buy or sell based on false information. This false information that is relied upon by the prospective investors can cause significant losses.

Stock fraud involves manipulation on the securities markets and the commodity markets to the fraudster’s advantage.

When an individual or company engages in stock fraud, they violate the federal securities laws. An individual, company, or investment bank can perpetrate a stock fraud. Stock fraud is considered a type of white collar crime. Typical methods utilized to perpetrate stock fraud include misrepresentation of a material fact to an innocent investor or the omission of a material fact necessary in order to make the statement not misleading.

Stock fraud is becoming more elaborate and complex as the Internet advances. Also, as the industry develops new ways of investing money, or new forms of investment vehicles, stock fraud can sometimes present a challenge for law enforcement agencies.

In the following sections, we will briefly explain some common examples of stock fraud, how a stock fraud investigation proceeds, and how you can protect yourself.

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)

Examples of Stock Fraud

There are many examples of stock fraud. They include but are not limited to the following:

  • Ponzi or pyramid schemes
  • Account churning
  • Pump-and-dump schemes
  • Stock price manipulation
  • Schemes involving advanced fee structures
  • Filing falsified information with the SEC
  • Omitting material information when soliciting investors

This above list is non-exhaustive, but nevertheless daunting. Take prompt, smart action by calling an experience attorney today to prepare your defense.

How Stock Fraud Investigations Work

The SEC plays a critical role in investigating stock fraud and then prosecuting these claims. Federal agencies such as the FBI warn that stock fraud is often accomplished by unsolicited offers or pressure tactics by the fraudster to the innocent investor. These offers or tactics are then accompanied by requests to invest in a transaction or to give personal information to the fraudster. This is what federal agencies look for when investigating companies for stock fraud.

The SEC often coordinates its efforts with the FBI or DOJ for criminal securities fraud. This coordination involves the sharing of information of your company with both agencies, which can result in both civil and criminal penalties.

Federal legislation overall prohibits a scheme or article to defraud a person or fraudulently obtain money from a person. An individual or company charged with stock fraud can result in substantial criminal penalties, permanent injunctions, disgorgement (the return of the defendant’s ill-gotten gains plus interest), jail time, and loss of reputation.

An individual or company charged with stock fraud can face multiple violations under the following statutes and regulations:

  • SEC Rule 10b-5
  • FINRA regulations
  • Securities Act of 1933
  • Securities and Exchange Act of 1934
  • The Trust Indenture Act of 1939
  • The Investment Advisers Act of 1940
  • The Investment Company Act of 1940
  • Sarbanes-Oxley Act of 2002
  • Dodd-Frank Act of 2010

The above list is non-exhaustive. In addition to the potential violations available at the federal level, state laws also police stock fraud. For instance, each state has its own securities commission to prosecute stock fraud. Nevertheless, stock fraud investigations are often prosecuted as federal crimes.

Learn how to protect yourself against an impending charge today.

How To Select an SEC Defense Lawyer if You Have Been Accused of Stock Fraud

How to Respond If You’ve Been Charged/Arrested in Connection with Stock Fraud

Stock fraud is a serious charge and can damage your company permanently. Do not divulge any information to a federal agent without first discussing with your attorney. Do not get trapped into an unfair and extended investigation into your business. Act fast and contact an attorney.

The stock fraud defense attorneys at Oberheiden, P.C. can help to defend against allegations of stock frauds of all types. We have an impeccable success record in defending our clients.

We encourage you to contact us right away to evaluate your case. There are sometimes steps that can be taken to mitigate or eliminate some of the procedures before and during a formal investigation.

Not only are the defense attorneys at Oberheiden, P.C. expertly trained to deliver an impeccable defense, our attorneys also possess the passion and commitment needed to successfully fight for you.

If you have been charged or have an investigation pending against you for stock fraud, call us today or contact our office for a free consultation.

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