Securities fraud and financial crimes are high-profile offenses that garner big headlines in the media. At Hilder & Associates, P.C., our Houston securities fraud lawyers stay on the cutting edge of this complex area of white-collar criminal defense.
Seasoned Securities Fraud Defense Lawyers: Representing Clients Nationwide
At Hilder & Associates, P.C., our attorneys possess an impressive track record in handling a wide spectrum of securities fraud cases. Our securities fraud attorneys have an in-depth understanding of the complex laws and regulations governing securities transactions, investment activities, and corporate disclosures. This comprehensive knowledge allows us to build powerful defense strategies that are tailored to the specific nuances of each client’s case.
Philip Hilder is a founder and co-chair of the American Bar Association National Institute on Securities Fraud. He is also a co-chair of the ABA subcommittee on Securities Fraud.
While our office is based in Houston, Texas, our Securities Fraud defense practice extends nationwide. Our dedicated lawyers have successfully represented clients from various states, providing them with high-quality legal representation.
When facing securities fraud allegations, having the right legal representation is crucial to protecting your rights and securing your future. Allow Hilder & Associates, P.C. to be your trusted advocates, advocating relentlessly on your behalf throughout the legal process. Contact us today, and take the first step toward a comprehensive defense strategy
Facing Off Against Powerful Entities On Your Behalf
Our clients are at the core of everything we do. We understand the significant impact that securities fraud allegations can have on individuals and businesses. As a result, we prioritize open communication, personalized attention, and confidentiality to build strong and trusting attorney-client relationships.
Hilder & Associates, P.C. plays a crucial role in assisting clients facing cases related to securities fraud, financial fraud, insider trading, and violations of the Sarbanes-Oxley Act. Additionally, our team of white collar attorneys provides valuable guidance and support to companies seeking compliance with the Act and other relevant regulations.
Comprehensive SEC Enforcement Defense Services
Navigating the complexities of SEC enforcement can be daunting, but having a seasoned SEC defense attorney in Houston by your side can make a significant difference. SEC enforcement actions often arise from allegations of securities fraud, insider trading, and other financial crimes. Our dedicated team is here to provide robust defense strategies to protect your rights and reputation.
Our securities litigation lawyers in Texas bring extensive experience to every case, ensuring meticulous attention to detail and a deep understanding of SEC regulations. We work closely with clients to develop personalized defense plans that address the unique aspects of their cases. Whether you are facing an investigation or formal charges, we are committed to defending your interests and achieving the best possible outcome.
National security concerns can also intersect with SEC enforcement, adding another layer of complexity to these cases. As a national security lawyer, we are well-versed in handling cases that involve sensitive information and high stakes. Our firm’s comprehensive approach ensures that all facets of your defense are covered, from regulatory compliance to criminal defense.
Choosing the right legal representation is crucial when facing SEC enforcement actions. Our team is dedicated to providing the support and advocacy you need during these challenging times. We prioritize clear communication, keeping you informed every step of the way, and work tirelessly to safeguard your future.
Our SEC Enforcement Defense Services Include:
- Thorough investigation and case analysis
- Strategic defense planning and execution
- Representation during SEC investigations and hearings
- Coordination with experts in finance and securities law
- Comprehensive support throughout all stages of litigation
Contact us today to discuss your case with an experienced SEC defense attorney in Houston and learn how we can help you navigate the complexities of SEC enforcement.
Aspects of Securities Fraud
For companies seeking to ensure compliance with the Sarbanes-Oxley Act and related regulations, Hilder & Associates provides valuable legal counsel and assistance. Compliance with SOX is essential for public companies to maintain transparency and accountability in their financial reporting, and non-compliance can lead to severe consequences, including regulatory sanctions and reputational damage.
SOX compliance is governed by two agencies: the SEC and the Public Company Accounting Oversight Board (PCAOB). The SEC has subpoena power to broadly investigate companies, pursue prosecution, seek civil fines and work in conjunction with the Department of Justice.
The PCAOB focuses on the public auditors of applicable companies. Thus, the PCAOB has rule-making authority to set standards for the preparation of audit reports, inspect public accounting firms and impose fines. Moreover, the agency can request accounting representatives to produce documents and testify.
We offer a comprehensive range of legal services related to securities fraud, including, but not limited to:
- Defense Against Allegations: Whether you are an individual investor or a corporate entity accused of securities fraud, our attorneys are prepared to vigorously defend your rights and interests in court.
- Securities Fraud Investigations: We have extensive experience representing clients during investigations initiated by regulatory agencies, such as the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA).
- Misrepresentation and Omissions: We represent clients facing allegations of making false statements or omissions in connection with securities transactions.
- Embezzlement Charges for Misdemeanor or Felony Offenses: Our attorneys are well-versed in defending clients accused of embezzlement, which involves the misappropriation of funds entrusted to an individual for personal gain.
- Money Laundering Statutes: We provide robust defense representation for clients facing charges related to unlawful financial transactions designed to conceal the source, destination, or amount of illegally obtained funds.
- Sarbanes-Oxley Act Violations: Our team is adept at handling cases involving violations of the Sarbanes-Oxley Act, which may include fraudulent accounting practices or retaliation against whistleblowers.
- Dodd-Frank Offenses: We offer comprehensive legal counsel for individuals or entities charged with Dodd-Frank offenses, such as failures to register as a large swap participant or report large swap transactions.
Our dedication to providing a vigorous defense remains unwavering across all aspects of securities fraud and white-collar criminal cases.
Securities Fraud Penalties: What You Need to Know
Navigating the complexities of securities fraud penalties can be daunting, but understanding the potential consequences is crucial. If you’re facing allegations, it’s important to be aware of what might lie ahead. Penalties for securities fraud can be severe, including hefty fines, imprisonment, and long-term damage to your professional reputation. Working with a Houston securities fraud lawyer can help you navigate these challenges and build a strong defense.
Securities fraud penalties vary based on the nature and extent of the fraud. Criminal penalties may include substantial prison sentences, often up to 20 years, and significant financial penalties. Civil penalties, enforced by the Securities and Exchange Commission (SEC), can result in fines, disgorgement of profits, and industry bans. A skilled SEC defense attorney can provide guidance on mitigating these consequences and protect your rights throughout the legal process.
Beyond fines and imprisonment, securities fraud penalties can have lasting impacts on your career and personal life. Individuals found guilty may face a damaged reputation, loss of professional licenses, and difficulty finding future employment. It’s essential to take these allegations seriously and seek the assistance of a knowledgeable Houston securities fraud lawyer to ensure you receive fair treatment and a robust defense.
Key Penalties for Securities Fraud:
- Criminal Penalties: Long prison sentences, heavy fines
- Civil Penalties: SEC fines, disgorgement of profits, industry bans
- Professional Impact: Loss of licenses, damaged reputation, employment challenges
Defending Against Securities Fraud Allegations in Texas
Facing securities fraud allegations in Texas can be overwhelming, but understanding the potential defenses available is crucial for anyone accused. Below are some common defenses used in securities fraud cases.
Firstly, lack of intent is a common defense in securities fraud cases. To prove fraud, prosecutors must demonstrate that the accused had the intent to deceive or defraud investors. If your securities litigation lawyer can show that you acted in good faith and without fraudulent intent, this defense could significantly weaken the prosecution’s case. This involves presenting evidence that your actions were based on honest mistakes, misinterpretations, or a lack of awareness regarding the fraudulent activities.
Another potential defense is the argument of insufficient evidence. In any criminal case, the burden of proof lies with the prosecution, which must establish guilt beyond a reasonable doubt. A seasoned Houston securities fraud lawyer will scrutinize the evidence presented against you, looking for inconsistencies, gaps, or lack of credible witnesses. This defense aims to highlight the prosecution’s inability to meet the high standard of proof required for a conviction.
Lastly, the defense of due diligence can be particularly compelling. This involves showing that you conducted thorough and reasonable steps to ensure that all information and representations were accurate and lawful. By presenting documentation and testimony that illustrate your diligence in verifying the legitimacy of transactions, your securities litigation lawyer can argue that any misleading statements or omissions were unintentional.
Common Defenses in Securities Fraud Cases
- Lack of Intent: Demonstrating that the accused did not have the intent to deceive or defraud.
- Insufficient Evidence: Challenging the adequacy and credibility of the prosecution’s evidence.
- Due Diligence: Showing that the accused took all reasonable steps to ensure the accuracy and legality of the transactions in question.
- Reliance on Professional Advice: Arguing that the accused relied on the advice of financial or legal professionals, thereby lacking the intent to commit fraud.
Understanding these defenses can empower you to take informed steps in protecting your rights. Engaging a knowledgeable Houston securities fraud lawyer early in the process is essential to developing a strategy tailored to your specific circumstances. This proactive approach can make a significant difference in the outcome of your case.
Contact Hilder & Associates for Experienced Securities Fraud Defense
Convictions can result in excessive fines, the end of a career, and the closing of a company. This is no time to go at it alone and refuse a legal representation. If you are in need of experienced securities fraud lawyers, team represents clients nationwide and is prepared to vigorously defend you.
Let our skilled white collar crime lawyers guide you through the complexities of securities fraud defense, working tirelessly to protect your interests and achieve a favorable resolution for your case.
For more information or to schedule an appointment with an experienced Houston-based securities fraud lawyer, please email our Houston law office or call us toll-free at 888-659-8742 or locally at 713-234-1416.
Securities Fraud Defense FAQs
What is Securities Fraud?
Securities fraud involves deceptive practices in the stock or commodities markets, often leading to financial losses for investors. This illegal activity can include false information in financial statements, insider trading, or fraudulent investment schemes. If you are facing such allegations, a securities fraud lawyer can provide crucial legal guidance and representation to protect your rights.
Why am I Being Investigated by the SEC?
The SEC investigates individuals or entities suspected of violating securities laws. Common reasons for an SEC investigation include allegations of insider trading, market manipulation, or misleading financial disclosures. If you’re under investigation, it’s important to consult with an SEC defense attorney in Houston to understand the charges and develop a strategic defense plan.
Should I Hire a Securities Fraud Defense Attorney?
Yes, hiring a securities fraud defense attorney is essential if you’re facing allegations of securities fraud. A lawyer with experience in securities law can help navigate the complex legal landscape, protect your rights, and build a strong defense. They can also negotiate with regulators and represent you in court if necessary.
What Agencies Investigate Securities Fraud?
Several agencies investigate securities fraud, including:
- The Securities and Exchange Commission (SEC)
- The Financial Industry Regulatory Authority (FINRA)
- The Department of Justice (DOJ)
- State securities regulators
Each agency has its own procedures and areas of focus, making it critical to have a knowledgeable national security lawyer to guide you through the process.
What Should I Do if I’m Being Investigated for Securities Fraud?
If you’re being investigated for securities fraud, take the following steps:
- Do not discuss the investigation with anyone without legal counsel.
- Gather and preserve all relevant documents and records.
- Contact a securities fraud lawyer immediately.
- Follow your attorney’s advice and cooperate with legal procedures while protecting your rights.
An experienced attorney can help you manage the investigation and work towards a favorable resolution.
How Long Does a Securities Fraud Case Take to Resolve?
The duration of a securities fraud case can vary widely depending on the complexity of the case and the investigating agency. Some cases may be resolved in a few months, while others can take several years. Throughout this period, a national security lawyer can provide ongoing support and representation, helping you navigate each stage of the legal process effectively.
