Securities fraud occurs when a material misstatement of fact, intentionally or recklessly made in connection with the purchase or sale of securities, induces a reasonable investor to act to his or her detriment. Securities fraud also includes insider trading, or the buying or selling a security, in breach of a relationship of trust and confidence, while in possession of material, nonpublic information about the security.
A common insider trading scenario may include a corporate officer, director, or employee who trades the corporation's securities after learning of a significant, confidential corporate development. Insider trading may also include providing insider tips, trading on such tips and trading by those who misappropriate such information.
Broker/dealers accused of securities fraud and corporate officers or employees accused of insider trading face potentially devastating and career-ending consequences. Similarly, victims of deceptive broker/dealers or other securities industry professionals often face significant losses. We represent individuals and businesses in matters involving securities fraud, including:
- Insider trading
- Churning and excessive trading
- Ponzi schemes
- Pump and dump schemes
- Securities fraud investigations
Our lawyers have handled a variety of securities fraud cases, including representation of defendants in connection with the Bernard L. Madoff Ponzi scheme. We handle civil actions, including actions before the Financial Industry Regulatory Authority (FINRA), as well as regulatory proceedings before the Securities and Exchange Commission (SEC).
As a Certified Fraud Examiner (CFE), the Firm's founder, David M. Pohl, is uniquely qualified to investigate claims of securities fraud and insider trading.
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