STRONG REPRESENTATION FOR SEC ENFORCEMENT ACTIONS
The purpose of the U.S. Securities and Exchange Commission (SEC) is to investigate instances of securities law violations. Their enforcement division is responsible for investigating and pursuing criminal and civil cases based on their findings. They often work with other government agencies to gather information that they can then use against you should they choose to prosecute violations of SEC law. If you have been arrested or if you believe your company is under SEC investigation, you should not hesitate to retain an experienced securities fraud attorney in Boston.
WHAT CONSTITUTES A VIOLATION OF SECURITIES LAW?
Securities transactions are governed by numerous federal laws. Each law specifies what type of action is a violation. For example, one act prohibits the use of deceit, fraud, or misrepresentation to sell securities. Another regulates the way information is reported and shared and prohibits insider trading.
A few examples of charges that may be considered SEC violations include:
- Selling unregistered securities
- Breach of contract
- Breach of fiduciary duty
- Professional negligence
- Making unsuitable trademarks
- Excessive trading
- Embezzling customers’ funds
- Manipulating the market price of securities
- Misrepresenting securities information
- Omitting securities information
- Insider trading
CALL 617-880-6155 FOR A FREE CONSULTATION
At Dhar Law, LLP, we know that SEC investigations are a serious matter. A conviction for any type of securities law violation can lead to severe and lasting consequences, both for your finances and your professional reputation. It is, therefore, important that you do not wait before taking a step to protect your rights and hire a Boston securities defense attorney. We’re here to guide you through the legal process, seeking the best resolution possible. Our goal is to fight the charges against you while minimizing the potential damage to your reputation and future.