Securities fraud, also known as investment fraud, often involves the promise of a high return on an investment with little risk. Claims relating to securities and investment fraud usually arise out of allegations that investment losses were caused by a misrepresentation, accounting irregularity, financial scheme, or fraudulent transaction.
The Securities and Exchange Commission (SEC) regulates and determines what constitutes securities and investment fraud. The federal government also prosecutes illegal investment activities through the federal Securities Act. In these actions, the SEC and federal courts routinely impose both civil and criminal sanctions on groups and individuals that may include organized crime rings, stockbrokers, promoters, traders, accountants, and lawyers.
Attorneys at Tantillo Law have substantial experience defending allegations involving most major forms of securities and investment fraud. We have significant knowledge about matters involving churning securities, ponzi schemes, pyramid schemes, late day trading, hedge fund-related trading, broker embezzlement, foreign currency fraud, high yield investment fraud, and pump and dump fraud.
Our vast expertise in this area enables us to anticipate the future moves of a federal prosecutor and design a strategy to optimize our clients’ opportunities for dismissals, acquittals, and reduced charges in federal court.
When facing potential investment fraud charges, we understand that the rapid preparation of a careful and strategic defense is crucial for obtaining the most favorable results.