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Have You Been Accused Of Securities Related Crime?

If you have been accused of misrepresenting information to investors or any other type of securities related crime, these accusations can damage your reputation, your career and your future. If you are found guilty, you may face penalties like extensive fines, incarceration, probation or the requirement to pay restitution. These punishments can be crippling, and you should have an attorney by your side that is prepared to defend you with tenacity.

When you are facing these severe criminal charges, Sapone & Petrillo, LLP, will help you defend your rights, your reputation and your livelihood. Our New York securities criminal defense attorneys have represented those charged with white collar crimes across the United States.  We have successfully defended stockbrokers, financial advisors, accountants and financial institutions facing sever criminal charges, in both New York State and Federal Courts around the country. We will use this wealth of knowledge and experience to aggressively defend you and work to create the best possible results for your case.

Defending You Against A Variety Of Fraud Charges

As a firm of experienced criminal trial lawyers, we have defended against a variety of securities related charges, including:

  • Unsuitable broker advice –If a stockbroker makes a recommendation that isn’t suitable for their investor’s wants and needs, this could put them at risk for securities fraud charges. However, while broker advice that does not achieve an investor’s goals is costly and frustrating, that does not make that advice unsuitable.  This can include:
    • Churning
    • Unauthorized Trades
    • Misrepresentation
    • Unsuitable Trades
  • Insider trading – After a number of high-profile cases, insider trading is one of the most publicly recognized forms of securities fraud. These charges depend on the prosecution illustrating that insider information was used to make trade decisions.

In these and other forms of securities fraud charges, it is imperative that you work with an attorney that has the skill to defend your rights in court. Not only do our attorneys have that skill, they also have the experience necessary to defend you against these often complex and detailed charges

  • Embezzlement
  • Money Laundering & Theft of Assets
  • Overconcentrating Assets & Failure to Diversify
  • Mutual Fund Fraud – If a broker intentionally misrepresents the factors of investing in a mutual fund, this fraudulent action is punishable by law.
  • SEC & FINRA investigations – While an investigation does not necessarily mean that you will be charged, these investigations should still be taken seriously and responded to with the benefit of experienced legal guidance.
  • Pyramid Schemes or Ponzi Schemes – When money is requested from new investors only to pay the funds that were promised to prior investors, the government punishes such offenses severely.

Put An Experienced Securities Criminal Defense Firm In Your Corner

The sooner you build your defense, the more opportunities you have to protect your reputation and your freedom. Contact us online or call 212-349-9000 today to discuss your case with an experienced trial attorney.