Dallas Securities Fraud Defense Lawyer
Experienced Defense Counsel for Companies, Firms, and Individuals Facing Securities Fraud Allegations in Dallas, TX
Our firm defends individual and corporate clients facing scrutiny under federal and state securities laws. If you need defense counsel for a securities fraud investigation or enforcement action in Dallas, our experienced attorneys can protect you or your business by all means available.
Securities Fraud and
SEC Defense Team Lead
Former DOJ Trial Attorney
Contact JohnIf you are dealing with scrutiny from the US Securities and Exchange Commission (SEC), US Department of Justice (DOJ), or Texas State Securities Board (TSSB), you need experienced legal representation. Allegations of securities fraud under federal law or the Texas Securities Act can create exposure to substantial penalties, and avoiding unnecessary penalties requires an informed, strategic, and proactive defense.
Our Dallas securities fraud lawyers represent financial advisors, investment advisers, investment firms, broker-dealers, securities issuers, corporate insiders, and other clients that are facing high-risk scrutiny. From investigations to enforcement actions in state and federal court, we provide experienced legal representation at all stages of the legal process, and we do so with a focus on protecting our clients’ interests as efficiently as possible.
We Provide Experienced Legal Representation in High-Stakes Securities Fraud Cases
Our attorneys have significant experience representing clients in a broad range of high-stakes securities fraud cases. Whether your professional reputation is on the line or your firm or company is facing substantial financial penalties, we can use our experience to help you avoid unnecessary consequences. Representative examples of the types of cases we handle in Dallas and the surrounding areas include:
- Insider trading (trading on material non-public information)
- Misrepresenting an issuer’s or firm’s financial condition
- Publishing false information and engaging in other deceptive practices to sell stock
- Ponzi schemes
- Pump-and-dump schemes
- Unauthorized and excessive trading
- Unregistered securities offerings and other forms of stock fraud
While most of the cases we handle involve the SEC and DOJ, we also provide representation in matters involving the Texas State Securities Board (or Texas Board of Securities). In these cases, targets can potentially face third-degree felony, second-degree felony, or even first-degree felony charges depending on the circumstances involved. The penalties in these cases can be comparable to those for federal securities fraud, and individuals charged with securities fraud in Texas state court can face years or decades in state prison.
We Handle Securities Fraud Investigations and Administrative, Civil, and Criminal Enforcement Proceedings
Our firm is available to provide representation for all state and federal securities fraud enforcement matters. Within our securities fraud defense practice, we handle matters including:
Securities Fraud Investigations
We defend individual and corporate clients facing all types of accusations in state and federal securities fraud investigations. We have a proven record of success defending clients at the investigative stage, with the vast majority of our clients never being indicted or facing enforcement litigation.
Administrative Enforcement Proceedings
We handle administrative proceedings involving the SEC and TSSB on behalf of brokers, issuers, and other parties involved in the securities industry. As administrative penalties can involve revocation of licensure or registration, these can be high-risk matters with significant financial ramifications.
Civil Enforcement Proceedings
Civil enforcement proceedings can have significant financial ramifications as well. Civil penalties for securities fraud can be substantial, and individuals and businesses accused of civil securities fraud can face profit disgorgement in addition to substantial fines.
Criminal Prosecutions
In criminal law enforcement proceedings, prosecutors can pursue charges for a wide range of state and federal crimes. While administrative and civil enforcement proceedings often focus on recovering money for defrauded investors, criminal prosecutions focus on punishing knowing and willful violations of the law.
Why to Choose Our Law Office for Your Securities Fraud Case in Dallas
If you need defense counsel for a securities fraud case in Dallas, your choice of legal representation matters. Here are just some of the reasons why local clients choose Oberheiden PC:
- We take a comprehensive and custom-tailored approach to every case we handle. Even though most cases involve the same overarching legal concerns, securing the best possible outcome requires a custom-tailored approach focused on the specific allegations at hand. Our attorneys will assess your potential risks and legal exposure in order to build a comprehensive, cohesive, and effective defense.
- We prioritize protecting our clients’ rights. When you are facing a securities fraud investigation or state or federal charges, protecting your rights can be a key defense strategy. Preventing prosecutors from accessing the information they need or keeping prosecutors’ evidence out of court can be enough on its own to avoid unnecessary consequences. We prioritize protecting our clients’ rights at every stage of the process.
- We have experience on both sides of securities fraud cases. Several of our defense lawyers have backgrounds as former prosecutors focusing on securities fraud and other white-collar cases. As a result, we are familiar with how the government handles these cases, and we have both the legal insights and financial literacy required to provide strategic representation.
- We understand the securities markets and the risks market participants face. All of our securities fraud defense lawyers have a deep understanding of market participants’ regulatory compliance obligations and the complex financial instruments that often trigger intensive scrutiny. While securities fraud cases frequently involve allegations of misrepresenting financial information, they can involve a wide range of other complex allegations as well—and targets need defense counsel who has an intimate understanding of the allegations at hand.
FAQs: Defending Against Securities Fraud Charges in Dallas
What are the risks involved in facing a securities fraud investigation?
The risks involved in facing a securities fraud investigation depend on the circumstances involved. This includes whether you are being targeted (or your firm or business is being targeted) by state or federal authorities and whether the investigation is administrative, civil, or criminal in nature.
Broadly, however, the risks involved are substantial. Individuals and entities can face loss of licensure and registration, as well as substantial monetary penalties. In criminal securities fraud investigations, state or federal prison time is also a very real possibility.
Is securities fraud a federal crime? Is it a state crime in Texas?
Securities fraud can be prosecuted as a crime under both federal and state law when it involves knowing, willful, or intentional misconduct. In criminal cases, securities fraud convictions can lead to prison time, fines, significant restitution payments, and loss of professional licenses or business registrations.
Do I need a Dallas securities fraud lawyer if I have been contacted by the SEC or TSSB?
Yes, if you have been contacted by the US Securities and Exchange Commission (SEC) or Texas State Securities Board (TSSB), you should engage experienced defense counsel promptly. Securities fraud investigations can move quickly, and they can involve efforts to gather extensive evidence.
Complex securities fraud and financial fraud cases typically require both experienced legal counsel and forensic accounting resources—so it is important to choose a law firm that has relevant experience and capabilities. From allegations of insider trading and perpetrating pump-and-dump schemes to allegations of investment adviser fraud and corporate accounting fraud, our firm has the experience and capabilities required to handle all types of complex securities fraud cases in Dallas, TX.
What does it take to build a strong defense against allegations of securities fraud?
Building a strong defense against allegations of securities fraud starts with ensuring that you have a clear and comprehensive understanding of the allegations at issue. Once you know what you need to defend against, then you can shift your focus to developing a comprehensive and cohesive defense strategy. Crucially, while criminal cases generally require evidence of intent, this is not a requirement in most administrative and civil enforcement proceedings. As a result, targets of securities fraud investigations need to be very careful about acknowledging any potential oversights or mistakes.
What should I do if I have been contacted by the Texas State Securities Board’s (TSSB) Dallas office?
If you have been contacted by the Texas State Securities Board’s (TSSB) Dallas office, you should engage experienced local securities fraud defense counsel right away. Facing scrutiny from the TSSB can pose serious risks—including the risk of a criminal referral in some cases.
Similar to the US Securities and Exchange Commission (SEC), the TSSB aggressively enforces compliance, so responding to an inquiry from the TSSB requires a cautious and informed approach. Our attorneys can help you make informed and strategic decisions, and we can communicate with the TSSB on your behalf as we work to facilitate an amicable resolution.
Speak with a Dallas Securities Fraud Attorney at Oberheiden PC in Strict Confidence
If you need to speak with a Dallas securities fraud attorney about a pending investigation or enforcement matter, we encourage you to contact us promptly. We have extensive experience in these cases, and we can provide immediate advice and representation when necessary. To schedule a free and confidential consultation with one of our senior attorneys as soon as possible, call us at 888-680-1745 or contact us online now.
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