Securities fraud encompasses a broad range of activities that involve deceiving investors or manipulating financial markets. These actions often violate federal and state laws and can lead to severe consequences. Understanding what constitutes securities fraud is the first step in defending yourself against these charges.
Common types of securities fraud include:
If you stand accused of securities fraud, you need an attorney who can provide the strongest possible defense.
A Fort Lauderdale securities fraud lawyer with Rossen Law Firm will protect your interests and defend you against the charges in several ways. Here are just a few.
Your lawyer will begin by thoroughly investigating the allegations against you. They’ll gather evidence, review financial records, and interview witnesses.
By understanding the case’s specifics, your securities fraud defense attorney can identify weaknesses in the prosecution’s argument and build a defense strategy tailored to your situation.
This investigation may reveal that authorities based their charges on a misunderstanding or misinterpreted key evidence. In some cases, the actions that led to the charges may be legitimate, but authorities took them out of context. Your lawyer will work to uncover and use these facts to your advantage.
In some cases, negotiating with prosecutors may be in your best interest rather than going to trial. Your Fort Lauderdale securities fraud lawyer can engage in plea negotiations to reduce the charges against you or to secure a more favorable outcome.
Negotiating a plea deal can involve agreeing to lesser charges, which may result in reduced penalties or avoiding a criminal record altogether. Your lawyer will advise you on whether a plea deal is a good option in your case and will negotiate on your behalf to get the best possible terms.
If your case goes to trial, your Fort Lauderdale securities fraud lawyer will represent you. They’ll present evidence, cross-examine witnesses, and argue on your behalf.
Your lawyer will work to show that the prosecution’s case is weak, that the evidence doesn’t support the charges, or that there are mitigating factors that warrant a lesser penalty.
A successful defense in court can result in the court dismissing charges, rendering a not-guilty verdict, or handing down a reduced sentence. Even if the evidence against you is strong, your Fort Lauderdale white-collar defense lawyer can argue for leniency based on your circumstances or lack of prior criminal history.
Unfortunately, some attorneys believe in communicating with their clients as little as possible. They handle a defendant’s case but keep the defendant out of the loop. When you choose a Fort Lauderdale securities fraud lawyer with Rossen Law Firm, you’ll never have to deal with that approach.
We’ve heard from many clients who said their previous lawyers never bothered to explain what was going on. Most of the time, they didn’t even know the attorney’s strategy.
Rossen Law Firm defense attorneys don’t believe in shutting clients out of the process. We’ll inform you throughout your case and tell you what to expect at every turn. We want you to understand what’s happening and feel as comfortable as possible.
Our securities fraud attorneys know how stressful this time can be for someone facing such a serious charge. That’s why we’ll do everything we can to help you achieve a positive outcome so you can move forward with your life.
Rossen Law Firm’s Fort Lauderdale office is conveniently located near the Fort Lauderdale Marriott North. Our address is 6400 North Andrews Avenue #510, and our phone number is (754) 206-6200. We urge you to contact us for a free consultation so we can spell out all of your legal options.
Defending against securities fraud charges requires a nuanced understanding of the law and your case’s specific facts. Rossen Law Firm’s Fort Lauderdale securities fraud lawyers may employ several potential defenses to protect you.
One of the key elements in many securities fraud cases is the intent to defraud. If the prosecution can’t prove that you intended to deceive investors or manipulate the market, their case may fall apart.
Your lawyer may argue that your actions were part of a legitimate business strategy, that you believed the information you provided was accurate, or that any misstatements resulted from negligence rather than intent to defraud.
A good faith defense asserts that you believed your actions were lawful and didn’t intend to violate securities laws. This defense can work if you can prove that you relied on the advice of professionals, followed standard industry practices, or had no reason to believe that your actions were illegal.
For example, if you’re a broker accused of churning, your attorney might argue that you believed the trades were in your client’s best interest based on their investment goals. If accused of insider trading, your Fort Lauderdale securities fraud lawyer might argue that you didn’t realize the information you acted on was non-public or didn’t intend to profit from it.
If someone in law enforcement induces you to commit a crime you wouldn’t have committed otherwise, that’s entrapment. If undercover agents or informants coerced or persuaded you into committing securities fraud, your attorney might use entrapment as a defense.
To succeed with this defense, your lawyer must show that you were not predisposed to commit the crime and that the idea to commit the crime originated with law enforcement. This defense can work in cases involving the government’s significant role in the alleged crime.
In any criminal case, the prosecution must prove your guilt beyond a reasonable doubt. If the evidence against you is weak or circumstantial, your lawyer may argue that there’s insufficient evidence to convict you. This can involve challenging the reliability of witness testimony, questioning the authenticity of documents, or arguing that the evidence doesn’t support the charges.
For instance, in a case of misrepresentation, your lawyer might argue that the prosecution hasn’t provided sufficient evidence to show that you knowingly made false statements. In a market manipulation case, your lawyer might challenge the evidence linking your actions to the alleged market impact.
A mistake of fact defense argues that you made an honest and reasonable mistake that led to the alleged criminal behavior. This defense hinges on showing that your mistake was genuine and that you didn’t intend to break the law.
In some cases, a mistake of fact defense can lead to the court reducing or dismissing the charges if your Fort Lauderdale securities fraud lawyer can show that your actions weren’t criminal or that you didn’t have the necessary intent to commit securities fraud.
Double jeopardy is a legal principle that prevents you from being tried for the same crime twice. Suppose a previous court acquitted or convicted you of securities fraud based on the same facts. In that case, your lawyer may argue that prosecuting you again violates the double jeopardy clause of the Fifth Amendment.
This defense can be particularly relevant in cases where you’re facing both state and federal charges for the same conduct. Your attorney will review the charges and prior proceedings to determine whether double jeopardy applies in your case.
The faster you hire an attorney, the better your chances of building a strong defense. A Rossen Law Firm Fort Lauderdale securities fraud lawyer can start investigating your case, gathering evidence, and developing a defense strategy immediately.
In many cases, early intervention by a lawyer can prevent charges from being filed or lead to a more favorable outcome. Your lawyer can negotiate with prosecutors, advise you on how to respond to inquiries, and protect your rights throughout the legal process.
A securities fraud conviction can have far-reaching consequences beyond fines and imprisonment. If you’re convicted, you can lose your professional license, cannot work in the financial industry, and suffer irreparable damage to your reputation.
Additionally, a conviction can lead to civil penalties, such as restitution to victims, disgorgement of profits, and sanctions imposed by the Securities and Exchange Commission (SEC). These financially devastating penalties can damage your ability to rebuild your career.
A Fort Lauderdale securities fraud lawyer can help you understand the potential consequences of a conviction and work to minimize those consequences. They might, for example, negotiate a plea deal, seek alternative sentencing options, or pursue an appeal if you’re convicted.
In addition to criminal charges, you may face regulatory investigations by agencies like the SEC or the Financial Industry Regulatory Authority (FINRA). These investigations can lead to administrative penalties, such as fines, suspensions, or bans from the industry.
A Fort Lauderdale securities fraud lawyer can represent you during these investigations, protecting your rights and ensuring you respond appropriately to regulatory inquiries. Your lawyer can negotiate with regulators to resolve the investigation without formal charges or to reach a settlement that minimizes the impact on your career.
Even if you’re ultimately acquitted, the mere allegation of fraud can damage your standing in the community, career prospects, and relationships.
A Fort Lauderdale securities fraud lawyer can help you manage the impact of the allegations on your reputation. This might involve working with public relations professionals, advising you on how to communicate with the media, and taking steps to protect your privacy during the legal process.
In some cases, your lawyer might seek a gag order or work to have certain records sealed to prevent the allegations from becoming public. By proactively managing your reputation, your lawyer can minimize the damage and preserve your future prospects.
Choosing the right lawyer is one of the most important decisions you’ll make when facing securities fraud charges. You need an attorney who understands the legal landscape and can develop a defense strategy tailored to your specific situation.
Look for a Fort Lauderdale securities fraud lawyer with a track record of successfully defending clients against similar charges. Ask about their approach to defense, how they handle negotiations with prosecutors, and their experience in trial settings.
Your lawyer should also be someone you feel comfortable with and trust to represent your interests. The right attorney will tirelessly protect your rights, advocate for your innocence, and achieve the best possible outcome in your case.
Don’t wait to seek legal representation if you’re facing securities fraud charges in Fort Lauderdale.
A skilled Fort Lauderdale securities fraud lawyer with Rossen Law Firm can provide the defense you need to protect your rights, challenge the evidence against you, and work toward a favorable outcome. Whether through negotiation, litigation, or regulatory advocacy, we’ll be your strongest ally in the fight to clear your name.
Please contact us online or call (754) 206-6200 for a free case evaluation.
6400 N Andrews Ave #510
Fort Lauderdale, FL 33309
Phone: (754) 206-6200
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