Securities Fraud

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Securities Fraud

Securities fraud is defined as when a stockbroker, corporation, investment bank, or brokerage firm falsely represents information that investors use to make decisions. It is usually charged in federal court. Types of misrepresentation include withholding significant information, providing false information, offering or acting upon inside information, or offering bad advice. A person can also commit securities fraud if s/he has been involved in insider trading, and in federal court insider trading is always charged as such. The United States government takes this type of crime very seriously, and if convicted, a person could be facing a lengthy prison sentence, along with mandatory restitution (which in insider trading cases can include the overall volume/value of trades), and likely forfeiture. If you hold valid broker-dealer and/or financial advisor license hey will likely be suspended or revoked.

Whether under investigation for, or actually accused of securities fraud violations, you should immediately move to protect yourself and your assets; while understanding in which circumstances asset transfer/liquidation is not only illegal but may result in additional charges of obstructing justice. It is critical you find a securities fraud lawyer who knows what you can, and must not do under these circumstances, and will fight hard for your freedom, reputation, hard-earned assets, and career. Brad Bailey, a, who has been repeatedly named a “Massachusetts Super Lawyer” for in the category of white collar criminal defense is that lawyer. He has defended numerous clients charged with securities fraud (and helped numerous other clients under civil scrutiny by the SEC avoid criminal prosecution and/or civil penalties altogether) including these notable cases:

  • United States v. McCredie, a securities fraud and tax evasion case
  • United States v. Hochberg, a securities fraud and wire case
  • United States v. Ficken, major marketing timing and securities fraud case
  • United States v Karunilataka, insider trading in Southern District of NY

Brad Bailey is determined to secure a successful outcome for you as well. He will treat you and your case with the utmost respect and sensitivity and use his 33 years of unparalleled experience and creative out-of-the-box thinking to obtain the best possible outcome for your case; and to give you your best possible chance to win.

Please contact Brad Bailey NOW for a private phone consultation with a skilled securities fraud defense lawyer.

Securities Fraud

In order to be convicted of securities fraud the government must prove each of the following elements beyond a reasonable doubt:

  1. That a defendant used a device or scheme to defraud someone, made an untrue statement of a material fact, or failed to disclose a material fact which resulted in making the defendant’s statements misleading.
  2. That a defendant’s acts or failure to disclose information was in connection with the purchase or sale of securities (e.g., bond, notes, stock).
  3. That a defendant used the mail or the telephone in connection with these acts.
  4. That a defendant acted for the purpose of defrauding buyers or sellers of securities.

To defraud someone means to make a statement or representation which is untrue and known to the defendant to be untrue. It could also mean that a defendant knowingly failed to state something which is necessary to make other statements true and which relates to something important to the purchase or sale.

It is not necessary that the untrue statement itself passed through the mail or over the telephone so long as the mail or telephone was used as a part of the purchase or sale transaction.

It is also not necessary that the defendant made a profit or that anyone actually suffered a loss.

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Featured Case Results
Only Hire an Attorney Who Gets Results
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  • Rape Appeal, Supreme Judicial Court Verdict Reversed, Indictment Dismissed
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  • Fraud/False Pretenses, Conflict of Interest, Conspiracy, Jury Trial Hung Jury/Indictments Dismissed
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  • Murder 1 [Insanity Defense] Charges Reduced
  • Aggravated Rape of Child (age-gap) And Child Rape, Jury Trial Hung Jury/Mistrial Declared
  • Conspiracy to: Commit International Money Laundering; Defraud USA; and Commit Health Care Fraud NOT GUILTY VERDICTS
  • Racketeering (RICO); Wire Fraud REVERSED ON APPEAL
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  • Murder 1 [Adjutant Defense] Manslaughter Result
  • Aggravated Rape of Child (age-gap); Forcible Rape of Child; Indecent Assault and Battery Hung Jury, All (10) Counts; Mistrial Declared
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