Securities Fraud

New York Federal Securities Fraud Defense Lawyers

Sacco Tyner represents stockbrokers and businesspeople throughout New York facing charges of securities fraud. Although securities fraud charges typically involve allegations of offering instruments, stocks or bonds in an unauthorized manner, such charges may arise in a number of different circumstances.

If you have been arrested for securities fraud or believe you may be under investigation for suspicion of securities fraud, it is in your best interests to contact an attorney as soon as possible. Early intervention by an attorney may limit the damage done as well as mitigate potential adverse consequences, including the possibility of criminal sanctions.

To contact an attorney at our firm about securities fraud charges or another white-collar crime charge, call us at 866-642-3807 or contact our New York, Albany or Schenectady office online. We are pleased to offer a free consultation at which we can discuss your rights and options.

What Types of Conduct Typically Draw Scrutiny from the Federal Government and Lead to Securities Fraud Investigations in NYC?

Anyone involved with financial investments or any kind of business in Manhattan, Brooklyn, or any of the Five Boroughs of New York City, can be charged with securities fraud. This includes investment banks, hedge fund managers, brokerage firms, analysts, individual stock brokers, corporate accountants who “doctor the books” and business executives who mismanage company resources.

Of course, any sort of investment opportunity that seems “too good to be true” should raise red flags about potential fraud. When it comes to the stock market, the government is always on the lookout for insider trading violations, especially in Manhattan. As a result, investigators tend to look closely at the trading of stocks, bonds and commodities on Wall Street. However, certain types of conduct in this context are more likely to draw scrutiny from the federal government:

  • When a stockbroker commits all of an investor’s assets to a single stock or company, it can raise red flags.
  • A stockbroker who sells a high number of stocks with small gains may be investigated for “churning,” which is a practice of selling stocks simply to generate broker’s fees.
  • The US Securities and Exchange Commission (SEC) may take notice if it suspects that a purchaser has backdated stock options in order to obtain a stock at a lower purchase price.
  • “Front-running” can draw intense scrutiny from fraud investigators. This is a process in which a stockbroker purchases a stock and then recommends that same stock to customers. The stockbroker is then able to sell his or her personal stock at an inflated price.
  • An abundance of penny stock transactions involving low-priced securities can raise red flags about possible market manipulation.
  • SEC regulations prohibit “short-selling” of stock when it is done to manipulate the price of a stock. Short-selling involves borrowing shares, selling them and then buying new shares to cover the original loan after the stock price has fallen. If an individual engages in this conduct on a massive scale, it is likely to prompt an inquiry.
  • Last-minute trading of shares can raise concerns about late-day trading violations and prompt an investigation into whether the trade actually occurred before the market officially closed.
  • Excessive wire activity by buyers or sellers of stock can raise concerns about market manipulation, particularly when funds are transferred to third parties.
  • If an investment firm’s transaction-monitoring system is insufficient, the SEC may pay more attention to the firm’s transactions.
  • The recent financial crisis shined a bright light on shareholder fraud. These days, corporate actions that diminish shareholder equity in a company are not likely to go unnoticed.

Discreet, Confidential and Aggressive Representation

Our attorneys understand that allegations of any white-collar crime, including securities fraud, are a highly-sensitive matter. We take great pains to protect the confidentiality of all communications in our office and protect our client’s rights.

When representing clients against criminal charges, we are passionate advocates for the protection of our clients. We actively and aggressively pursue the best possible results on behalf of each client we represent. We understand that clients place a great deal of trust in our firm. We do everything within our power to make certain that trust is deserved.

Contact Sacco Tyner

To contact a lawyer at our firm about an allegation of securities fraud, churning, investment fraud or another white-collar crime, call us at 866-642-3807 or contact us online.

Albany Office

Sacco Tyner, PLLC 11 North Pearl Street, Suite 1508
Albany, New York 12110

(518) 783-3801

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Sacco Tyner, PLLC 12 Cornell Road
Latham, New York 12110

(518) 783-3800

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New York

Sacco Tyner, PLLC 11 Broadway, Suite 615
New York, New York 10004

(212) 203-0936

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