Fort Worth Securities Fraud Defense Lawyer

Our Lawyers Represent Clients Facing Securities and Investment Fraud Investigations and Enforcement Proceedings in Fort Worth, TX

We defend investment advisers, brokerage firms, securities issuers, and other clients accused of violating federal securities laws and the Texas Securities Act. If you are facing scrutiny from the US Securities and Exchange Commission (SEC), US Department of Justice (DOJ), Federal Bureau of Investigation (FBI), or Texas State Securities Board (TSSB), you need experienced legal representation. Contact us for a free and confidential consultation.

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Our lawyers have extensive experience representing clients in high-stakes securities fraud cases. If you are facing scrutiny from state or federal authorities in the Fort Worth area, we can use our experience to help you build and execute a strong defense focused on the specific risks at hand.

We represent a broad range of clients in securities fraud investigations and enforcement proceedings. This includes private and public companies and their insiders as well as investment advisory firms, brokerage firms, and individual advisors and broker-dealers. Whether you are facing (or your firm or company is facing) scrutiny from federal authorities or state prosecutors, we can help you seek a favorable resolution that avoids unnecessary consequences.

Our Securities Fraud Practice Areas

At Oberheiden PC, we handle all types of state and federal securities fraud cases in Fort Worth and the surrounding communities. Our lawyers rely on substantial experience to protect our clients’ interests in cases involving all types of securities-related allegations. Some common examples of allegations in these cases include:

• Abusing brokers’ discretionary authority
• Engaging in unauthorized trading to generate fees and commissions
• Other breaches of advisors’ and brokers’ fiduciary duties
• Corporate accounting fraud and stock fraud
• Insider trading
• Market manipulation (including pump-and-dump schemes)
• Conspiracy to commit fraud involving issuers, accounting firms, and other parties

We handle cases involving allegations of conducting fraudulent private placements, elder financial fraud, money laundering, tax evasion, and other allegations that can involve exposure to criminal liability as well. Our attorneys are available to provide immediate representation for matters including (but not limited to):

Securities Fraud Investigations

We handle state and federal securities fraud investigations targeting individuals, firms, and companies in the Fort Worth area. Whether you are facing a state investigation or a federal investigation, the risks involved in facing securities-related scrutiny can be substantial. As a result, if you have been contacted by the TSSB or federal agents with the SEC, FBI, or DOJ, you should seek legal advice immediately.

Texas Securities Fraud Enforcement Matters

We handle civil and administrative proceedings involving the TSSB and other state agencies as well as criminal enforcement matters involving the Texas Attorney General. In criminal cases, targeted individuals and entities can face charges for a wide range of white-collar crimes—and they can face substantial fines and prison time at trial. For brokers and advisors, losing their professional license can be a very real concern as well.

Federal Securities Fraud Enforcement Matters

We also defend clients that are facing civil and administrative enforcement proceedings involving the SEC and DOJ, as well as those who are facing federal criminal charges in federal court. If the US Attorney’s Office in Fort Worth is accusing you (or your firm or company) of defrauding investors, you need highly experienced defense counsel who can rely on extensive knowledge of federal securities law to protect you by all means available.

FINRA Arbitration and Securities Litigation

Along with handling government investigations and enforcement proceedings, we also defend clients in Financial Industry Regulatory Authority (FINRA) arbitration and securities litigation in Texas’s state and federal courts. These are also high-risk legal proceedings that can put individuals’ and entities’ assets in jeopardy. With our extensive arbitration and jury trial experience, we are capable of providing effective representation regardless of the circumstances at hand.

Defense Strategies in State and Federal Securities Fraud Cases

When facing allegations of securities fraud, avoiding unnecessary consequences requires a defense strategy that is rooted in the law and that takes into account the realities of the circumstances at hand. With this in mind, some examples of potential defenses in state and federal securities fraud cases include:

Evidence of Compliance

If targeted individuals and entities can affirmatively demonstrate compliance with documentation they have on hand, this should facilitate an efficient and favorable resolution. With that said, before providing any documentation to the government, targeted individuals and entities must ensure that they do not inadvertently disclose anything that could be used to substantiate allegations or widen the scope of the government’s inquiry.

Insufficient Evidence to Pursue Enforcement

Prosecutors need evidence of noncompliance to pursue enforcement. In criminal securities fraud cases, this includes evidence of willful deception or fraudulent intent. If prosecutors do not have the evidence they need to pursue enforcement (i.e., financial records, communication logs, and witness testimony), then no further action is warranted.

Technical, Procedural, and Constitutional Defenses

Technical and procedural issues can serve as defenses to securities fraud enforcement in many cases as well. For example, inadequate credentials or improper interviewing techniques may warrant challenges to the introduction of witness or expert testimony at trial. Violations of targets’ legal rights can provide constitutional defenses in some cases as well.

Settlement (When Warranted)

If state or federal authorities have the evidence they need to prove noncompliance, then settlement may be warranted. When it is in our clients’ best interests to settle, we leverage the available evidence of compliance (or the limitations of the government’s evidence of noncompliance) to pursue settlements that minimize the consequences of our clients’ investigations.

Why Clients in Fort Worth Choose Oberheiden PC

Our attorneys have over 100 years of combined federal litigation experience, and we rely on this experience to defend our clients by all means available. Many federal investigators and prosecutors are highly skilled, and they have extensive resources at their disposal. Facing securities-related scrutiny at the state level presents similar concerns, and this means that all securities fraud cases in Texas require highly experienced legal representation.

With this in mind, here are just a few of the reasons why clients in Fort Worth choose Oberheiden PC:

• We Have Broad Federal Defense Experience – Our practice focuses on federal defense. Along with experience defending clients in matters involving the SEC, FBI, and DOJ, we have significant experience defending clients in matters involving the Internal Revenue Service (IRS), US Department of Health and Human Services (HHS), and other federal authorities as well.

• We Also Have Extensive Experience at the State Level in Texas – While our practice focuses on federal defense, we also defend clients facing allegations at the state level in Texas. This includes defending clients in Texas’s energy industry, among many others.

• Our Experience Spans from Investigations Through Criminal Trials – Securities fraud investigations often begin with SEC subpoenas, grand jury inquiries, or target letters that indicate a person or organization is suspected of a federal crime. These are all very different circumstances that require very different approaches. With our experience in all phases of securities fraud defense, we can provide targeted representation based on the specific circumstances at hand.

FAQs: Defending Against Allegations of Securities Fraud in Fort Worth, TX

Schedule a Free Consultation with a Fort Worth Securities Fraud Lawyer at Oberheiden PC

To speak with a senior Fort Worth securities fraud lawyer at Oberheiden PC in confidence, contact us today. Call 888-680-1745 or contact us confidentially online to arrange a free consultation.

Related pages:

• Dallas Securities Fraud Defense Lawyer