Securities Fraud

If you are the subject of either a civil, self-regulatory or criminal investigation by federal, state, or industry authorities into securities fraud, you face a number of enormous risks and consequences. On the civil and self-regulatory side (SEC, FINRA, etc.), you can face significant fines and penalties, loss of licensure, and reputational damage that can irreparably ruin your career. On the criminal side (NYAG, DOJ), you face all of those consequences as well as the potential of a criminal record and time in state or federal prison. Thus, it is critical that you work with an experienced, aggressive criminal defense attorney at the first sign of a civil, self-regulatory, or criminal investigation into securities fraud.

At Breeding Carter, in Knoxville, we have the experience and sophisticated understanding of the securities industry to step in at a moment’s notice to aggressively defend your interests and protect your reputation and future in all types of securities fraud investigations.

How We Help Defend Our Clients

When you work with the aggressive white collar defense team at Breeding Carter, we will be at your side through all aspects of a securities fraud investigation, including:

• Responding to regulatory document requests
• Representing you in depositions
• Representing you in interviews with company attorneys, regulatory agencies and government authorities
• Developing defenses to protect your reputation and freedom
• Negotiating employment issues with employer
• Negotiating civil and criminal penalties with agencies and prosecutors
• Defending you in all civil and criminal trials and proceedings
• Taking all necessary steps to avoid reputational and career damages

As your personal attorney, we will enter into a confidential relationship with you (meaning nothing you tell us will be revealed, subject to narrow limitations), and our only concern will be in defending your interests.

Why Protecting Yourself Is Your First Priority In A Securities Fraud Matter

Securities fraud investigations generally focus in on a number of individuals across several business entities, and it is often the case that one person’s alleged wrongdoing can taint the actions of numerous other parties, whether or not those parties were aware of or participated in any wrongdoing. Nevertheless, based on the broad scope of our state and federal securities laws and the concepts of accomplice (aiding and abetting) and conspiracy liability, all kinds of individuals far removed from the alleged securities fraud violations can find themselves at the center of investigations, and may be at risk for becoming the scapegoat for violations by a superior, co-worker, or business partner.

Thus, it is critical that you seek out an experienced securities fraud defense attorney whose only interest is in protecting and defending your interests at the first sign of an investigation. It is important to understand that your company’s attorneys primarily represent your company’s interests, not yours, and thus information you provide to company attorneys may be used against you in any civil or criminal proceeding.