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Los Angeles Securities Fraud Lawyers

June 23, 2016 Uncategorized

Securities Fraud Lawyer Los Angeles

In Los Angeles, securities fraud is considered a white collar crime, and may result in harsh penalties such as lengthy prison sentences and large fines if one is convicted.

Securities fraud may take form in the following ways:

1. Stock manipulations
2. Insider trading
3. Internet fraud
4. Corporate fraud
5. Boiler room operations
6. Financial advisor fraud
7. Mutual fund fraud
8. Ponzi schemes
9. Accountant fraud
10. Microcap fraud
11. Concealing material information in investment schemes

Usually, security fraud cases are accompanied by lengthy investigations, especially by the government. It is, therefore, important to receive competent legal counsel, in case you are being investigated for this criminal offense, or if the case goes to trial.

If you have a proper representation, you could prevent criminal filing for securities fraud. In addition, you could avert new charges such as perjury or obstruction of justice, which may come up during an investigation.

Los Angeles securities fraud laws cover various types of securities. One may commit securities fraud offenses through a number of ways. For example, it is unlawful for one to sell unqualified securities. Before a person is allowed to sell stock or other securities, he or she must that the California Department of Corporations has given them a clean bill of health.

A person who fails to secure a security properly can be prosecuted in a court of law for securities fraud. Since securities fraud cases involve a lot of paperwork, it is good to hire a good Los Angeles securities fraud attorney to handle your case.

The law may not penalize small businesses for selling unqualified securities. There are various factors that could prevent a person from being prosecuted for selling unqualified securities. Here are a few examples:

1. The individual in question sold unqualified securities to 35 people or less. Note that a couple is considered as one person.
2. All individuals or groups who purchased the securities had no intent to sell
3. All parties who purchased the securities either had significant business experience, or had a business or personal relationship with the seller.


The Securities and Exchange Commission is responsible for investigating securities fraud cases. The United States Attorney’s Office presents such cases in the federal Court.

Penalties imposed by the federal Court are often more severe, compared to those issued by Los Angeles prosecutions. If the case is prosecuted in the federal Court, a person convicted of securities fraud could be imprisoned for up to 20 years in federal prison. Additionally, the offender could also face civil lawsuits.

Remember, a person can only be charged with committing a securities fraud offense, if they willingly engaged in an act that assured them of unfair advantage. A defender whose actions were unintentional might not be found guilty of committing a securities fraud crime.

Contact our law firm

Call our law firm immediately if you are accused or charged with securities fraud. A case involving securities fraud is very complex, and a single criminal defense attorney may not be enough. You need a skilled and experienced defense team to handle your case. A good defense team should be responsive, fast, and thorough.

The Criminal defense lawyers at our law firm are very familiar with the federal criminal system.

You should contact an attorney immediately you learn you are being investigated for securities fraud. If the feds are already questioning you, you need to seek expert legal counsel as soon as possible. If the charges against you have not been filed, our goal will be to prevent them from being filed. The attorneys at our firms are highly knowledgeable when it comes to dealing with such cases.



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