Securities Fraud


Accomplished Manhattan law firm fights charges of financial crimes

A charge of securities fraud spells serious trouble, including the possibility of years in prison and a permanently damaged reputation. The legal team at Tacopina Seigel & DeOreo in New York City vigorously represents and defends corporate executives, investment brokers and other professionals accused of committing financial crimes. Our lawyers will review the charges against you, explain your options and chart a course forward in pursuit of the best possible outcome.

New York law defines security fraud as inducing or promoting the movement of any securities or commodities within or from the state by means of:

  • Fraud
  • Deception
  • Concealment
  • False pretense
  • Fictitious or pretended purchase or sale
  • A promise or representation beyond reasonable expectation or unwarranted by existing circumstances
  • A false representation or statement where the make knew the truth, could have known the truth with reasonable effort, made no reasonable effort to learn the truth or acted based on a lack of knowledge

A securities fraud charge can also be brought for allegedly engaging in a scheme or artifice to obtain money, profit or property or for representing that the actor is an “exchange” when in fact they are not properly registered with the Securities and Exchange Commission (SEC).

Although New York attorneys general have extensive powers to prosecute securities fraud, our attorneys are powerful adversaries. We are prepared to handle any case, no matter how complex.

Knowledgeable attorneys defend against all types of securities fraud charges

Securities fraud includes many types of criminal behavior, including:

  • Insider trading: This crime involves the use of confidential information to strategically buy or sell stocks at an advantage.
  • Creation of dummy corporations: These sham businesses are meant to appear legitimate but are truly set up to conceal information about another company and possibly to avoid taxes unlawfully.
  • Boiler room operations: These shops use high-pressures sales tactics to offer speculative or fraudulent securities with unrealistic performance.
  • Internet fraud: The Internet has been used to commit various forms of fraud, sometimes facilitated by hackers who illegally access confidential data.
  • Accounting fraud: Intentionally reporting false losses or profits on official financial statements or taxes are common forms of accounting fraud.
  • Ponzi schemes: A well-known type of investment fraud paying early investors returns using the funds provided by later investors.

Individuals charged with securities fraud may face several counts, with the possibility of consecutive prison sentences. If you or your company is the subject of an investigation by the SEC or another agency, retain competent counsel as soon as possible.

Strategic legal team guides clients through trials and plea negotiations

Our firm is prepared to provide trusted legal counsel through every aspect of your case, including:

  • Charging documents:

    A prosecutor must allege that a defendant acted purposefully with the intent to deceive and that the actions resulted or had the potential to result in damages. We challenge criminal complaints and indictments for lack of evidence and failure to make out a case of deliberate fraud.

  • Discovery:

    Securities fraud charges often result from lengthy investigations and sometimes from whistleblower activity. Our attorneys are experienced in dealing with discoverable materials that are usually voluminous and complex.

  • Trial witnesses:

    A securities fraud prosecution may rely heavily on the testimony of the government employees who conducted the investigation. Our experienced counselors dissect government testimony at trial and find weaknesses in witness testimony.

Our attorneys skillfully respond to charges brought by overzealous prosecutors. We also represent clients in civil securities litigation.

Contact skilled New York City criminal defense attorneys for securities fraud representation

Our white collar defense attorneys at Tacopina Seigel & DeOreo in New York City deliver aggressive defenses to securities fraud charges in New York. To schedule a free consultation with one of our attorneys, call 212-227-8877 or contact us online.