SEC Violations

SEC Violations



If you have been charged with securities fraud, or believe you are under investigation, contact an experienced criminal defense attorney today. Call (781) 797-0555 for a free consultation today.  Our securities fraud defense attorneys defend people facing securities and wire fraud in Boston and throughout Massachusetts.

The Securities and Exchange Commission (SEC) investigates alleged securities law infractions.  The SEC enforcement division is responsible for investigating and pursuing criminal and civil cases of alleged violations.  Other government agencies are often involved, and criminal prosecutions are referred to the United States Attorney’s Office.

The SEC investigates a range of market manipulation, fraud, insider trading, investor dispute, and other alleged securities-related infractions.  The SEC can bring both civil and criminal charges, where the potential consequences are devastating.

Our defense attorneys understand the need to respond quickly, efficiently, and most importantly, strategically.  Call us at (781) 797-0555 for a free confidential telephone consultation today.

When the SEC begins an investigation, you need a comprehensive legal strategy to protect your interests and to minimize any potential harm.  Our SEC defense attorneys will educate you about the laws affecting your case, discuss potential defense strategies, and work closely with you to develop a plan of action to get your life back to normal.

There are a broad range of laws and securities regulations that control broker-dealers, investors, businesses, and other people involved in the sale of securities.  An SEC investigation is stressful.  You and your company may face severe penalties, fines, and prison.  Our attorneys take time to learn about your particular circumstances, and tailor a custom defense plan to mitigate the likelihood of such harm.

Examples of SEC Violations:

  • Fraud in Connection with the Purchase or Sale of Securities
  • Fraud in the Offer or Sale of Securities
  • Market Manipulation
  • Unjust Enrichment
  • Insider Trading
  • Breach of Fiduciary Duty
  • Selling Unregistered Securities
  • Professional Negligence


We understand that SEC investigations are a serious matter.  Convictions can lead to severe and lasting consequences, including your finances, professional reputation, and your freedom.  The SEC can act swiftly, so if you are under investigation or charged in court, you need to act quickly to secure competent legal defense.

We fight hard for you to protect your reputation, mitigate negative consequences, and get you back to normal life.  Our defense attorneys are ready to help.  Call us at (781) 797-0555 now.

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