Our law firm boasts of experienced securities and investment defense lawyers capable of handling the toughest investigations conducted by the Securities and Exchange Commission.
Investigated by the SEC?
The SEC investigators target both private individuals and companies suspected of violating the federal securities laws. After an informal inquiry, the matter becomes an official investigation, during which the agency’s enforcement staff will gather details about an individual or a company from a variety of sources and analyze the collected data. At this point, the investigation has every chance to deteriorate, and the investigators would obtain the necessary authority to issue SEC subpoenas and compel witness testimony.
In order to prevent the case from being referred to the court, we suggest you follow these guidelines.
1. Be sure to start cooperating with the SEC as early as possible, as it may help end the inquiry before it turns into a formal investigation.
2. Avoid disclosing any financial and accounting information to the public, as the investigators will keep an eye on updates in the media.
3. Get expert legal counsel from Joseph Potashnik and his fellow SEC defense attorneys. We will provide consultation and represent you and your employees during testimony.
Why turn to us for legal representation?
Joseph Potashnik & Associates PC was founded in 2006 by a team of experienced lawyers specializing in a variety of legal fields. Since then, we have proved time and time again our profound expertise when it comes to representing our clients in criminal and administrative investigations and defending them in federal and state courts. What is more, securities attorneys from our NYC-based law firm have handled numerous investigations conducted by the Securities and Exchange Commission.
Insider Trading Scheme
Our client was a former associate at a law group investigated for allegedly disclosing impending corporate announcements of the firm’s clients which helped him and the recipient of the tip make over $500,000 in illicit funds.
Possible penalties included full restitution, permanent loss of legal license, injunction, up to 10 years in prison.
Our SEC defense attorneys represented a person who was charged with manipulating a company’s stock price by filing a fake tender offer. Consequently, the price of the stocks spiked, bringing the person a profit of over $10,000 after he sold call options.
The client was facing Imprisonment of 5 years and a $5,000 fine.
A company’s senior management members were investigated for forging accounting information in order to manipulate finanсial statements provided to the company’s investors.
The company was facing a multi-million dollar penalty, while the executives involved could potentially be barred from ever engaging in financial reporting or audits of public companies, putting their career in jeopardy.
Restitution, license retained, no criminal penalties served.
1-year probation, no jail time.
Our investment fraud lawyers managed to dismiss the case.
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