Investors, brokers, and advisors have an important role in helping individuals and organizations manage and grow their wealth. However, because of the potential economic damage that can be done on a small or large scale, these roles are governed by antifraud provisions on securities transactions. Anyone who would buy, sell, or advise another to trade any kind of security has a legal obligation to do so honestly and fairly.
If you’ve been accused of committing securities fraud in Miami, FL, it is essential that you enlist the help of an experienced and qualified attorney as soon as possible. A criminal defense lawyer with a strong knowledge of securities law and regulations can guide you through the legal process and develop a strong defense plan.
For criminal defense, the top lawyers aim to win cases before the trial ever begins. With nearly five decades of experience, Michael J. Rosen, P.A., emphasizes investigation, negotiation, preparation, and a strong defense plan to secure the most favorable outcome for clients before an indictment or, in some cases, before a trial occurs.
With a strong background knowledge of fraud and financial crimes, Michael J. Rosen, P.A., and his team have handled extremely complex and difficult white-collar cases. We know what it takes to work hard on the front end to secure the greatest possible outcomes in the long run. Our team can help you as you approach your case and offer skilled representation in defending your securities fraud charges.
Securities fraud refers to any deceptive practice in the financial market that aims to manipulate prices or induce investor trading through dishonest means. This includes:
Engaging in these activities is considered fraud if there is a willful decision to mislead others or if an individual does so for the explicit purpose of personal financial gain. All investment advisors, brokers, and other related roles have an express duty to act in the interest of their clients, using only means that are honest and fair. Acting outside these parameters runs the risk of committing fraud.
There are several ways in which an individual or organization can commit securities fraud. Some of the most common involve:
As the financial sector continues to grow and adapt to new technologies, new opportunities to engage in fraudulent activities will arise. It is essential to partner with a skilled attorney, especially one who understands these ever-evolving markets and regulations, to support you if you’re facing allegations of securities fraud for any reason.
Criminal defense is often a complicated and stressful procedure, as it involves highly complex regulations and potentially severe consequences. A knowledgeable attorney is key to protecting your rights if you’ve been accused of securities fraud. Let Michael J. Rosen, P.A., help you build a strong defense strategy and advocate on your behalf.
An experienced attorney knows how to properly negotiate plea agreements, as they are often the most successful means of securing the most beneficial outcome in most cases. If a case does go to trial, we can steadfastly represent you in court.
A: Anyone who intentionally leads investors to sell or purchase any security using false or otherwise misleading information can be charged with federal securities fraud. Anyone who is found purchasing or selling a security for their own profit using insider information can also be charged. However, to sustain the charge, there must be no doubt in proving that the misrepresentation was willful or that you did so for personal financial gain. These are difficult conditions for the state to prove.
A: Securities fraud is a serious crime and can take several different forms. Any activity in which an individual misrepresents or provides false information about a security or company qualifies as securities fraud. This includes:
A: If you have information related to suspected or possible securities fraud, you must report it to the SEC on a Form TCR, which can be submitted through the SEC’s website or mailed to the SEC Office of the Whistleblower in Washington, DC. The SEC Whistleblower Program allows anonymous reporting by doing so through an attorney. You will remain eligible for awards for reporting, and your attorney can guide you through the critical process to accurately report the fraud.
A: The antifraud provisions prohibit manipulation and deception in buying and selling securities, fraudulent securities transactions across state lines, and fraudulent securities practices for companies. Additionally, brokers, dealers, and investment advisors are required to act in their client’s interests, dealing fairly at all times. These provisions extend to any party who releases information to the public with a reasonable expectation that it will reach investors or the trading market. Established in 1934, these provisions have continued to be updated.
If you’ve been accused of committing securities fraud, begin your defense by contacting Michael J. Rosen, P.A. His decades of experience have taught him the most successful means of defense that can reduce your charges or have them dropped altogether. Don’t hesitate to discuss the details of your case with our firm during an initial consultation.
“Ultimately, trial preparation and defense is what we do.” – Michael J. Rosen.
We invite you to call the firm to set up an appointment. (305) 446-6116.
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