Why You Need a Securities Fraud Defense Lawyer
If you’re facing securities fraud charges, you need to defend yourself.
Fraud charges carry consequences that include severe financial penalties and even imprisonment.
We understand how overwhelming it can feel to face an SEC investigation, particularly when your reputation, career, and freedom are all on the line at once. If you are facing securities fraud allegations, you need to understand what is at stake before making any decisions about how to respond.
The Securities and Exchange Commission (SEC) has broad civil enforcement powers. When it opens an investigation, it can seek disgorgement of profits, substantial civil monetary penalties, officer and director bars, and industry suspensions against individuals and firms alike.
Criminal securities fraud charges referred to the U.S. Department of Justice can result in significant federal prison sentences. Certain violations of the Securities Exchange Act of 1934 and the Securities Act of 1933 carry criminal penalties of up to 20 years’ imprisonment per count, depending on the statute charged. The DOJ can pursue criminal prosecutions in parallel with civil enforcement actions brought by the U.S. Securities and Exchange Commission.
Retaining experienced federal defense counsel from the earliest stages of government investigations gives you the ability to prepare the best defense possible, respond appropriately to SEC subpoenas, and assist you in obtaining a favorable outcome, including negotiating resolutions in administrative proceedings or federal court long before formal charges are filed.
Types of Securities Fraud Defense Cases We Handle
Attorney Pearce defends individuals, corporate insiders, broker-dealers, investment advisors, hedge funds, advisory firms, financial institutions, and financial services firms against the full range of SEC enforcement actions, civil enforcement investigations, and criminal referrals to the DOJ. The cases we handle include:Why Choose Robert Wayne Pearce as Your SEC Defense Attorney
Attorney Pearce has deep experience across the full range of federal securities law violations that the SEC pursues against individuals, firms, and executives.
His securities litigation practice covers the allegations that appear most often in SEC enforcement actions: Rule 10b-5 fraud, insider trading, Section 16(b) short-swing profit violations, Section 14 proxy rule violations, and Section 9 market manipulation cases including wash sales, marking the close, and matched trades.
Defending high-profile cases against former federal prosecutors and before the SEC and FINRA has given Attorney Pearce an inside understanding of how the government constructs its investigations. At the Law Offices of Robert Wayne Pearce, P.A., we bring that experience to every client we represent, whether the matter involves a single individual or a publicly traded company facing parallel civil and criminal proceedings.
If you are facing SEC charges or have reason to believe you are under investigation, call our firm at (800) 732-2889 to schedule a meeting with Attorney Pearce.
Here are the reasons that our clients choose us to defend them against SEC investigations:
- 45+ Years of Experience: Robert Wayne Pearce has handled securities enforcement defense matters for over four decades, giving our firm a detailed understanding of how regulators and prosecutors build their cases.
- $185 Million Recovered: Our firm has recovered $185 million for clients across the country in securities litigation and enforcement defense matters.
- 99%+ Success Rate: Mr. Pearce has resolved cases favorably for over 99% of his clients through litigation, arbitration, and negotiated settlement.
- 200+ Cases Tried: Attorney Pearce has tried over 200 cases to verdict or arbitration award, with only 4 losses in his career.
The Importance of an Early SEC Defense
Contacting experienced federal defense counsel at the earliest stage of an SEC investigation gives you the best possible chance of controlling the outcome.
Once an investigation gains momentum, the government's case becomes harder to interrupt, and the range of available resolutions narrows. Early intervention limits your exposure across all phases of government investigations and criminal investigations, often before formal enforcement proceedings ever begin.
You may be feeling uncertain about what your next step should be, and that uncertainty is understandable. The steps you take in the first days and weeks after learning of an SEC inquiry are among the most consequential of the entire matter.
The early defense actions that carry the most weight include:
- Retaining counsel before responding to any SEC subpoena or document request, so that every communication with the agency is controlled and accurate.
- Preserving all relevant documents and records immediately to avoid any exposure under federal obstruction statutes.
- Managing all communications with SEC staff through your attorney, including Wells Notice responses and investigative testimony.
- Assessing the government's evidence before positions harden to identify weaknesses in the SEC's theory of the case.
- Negotiating with federal prosecutors or SEC staff before enforcement proceedings begin across regulatory investigations, when the widest range of resolutions is still available.
How Robert Wayne Pearce Can Help With Your SEC Fraud Defense
Attorney Pearce has spent decades handling every type of securities fraud allegation the SEC pursues. Our expertise spans from individual insider trading cases to firm-wide enforcement actions involving public companies, brokerage firms, investment companies, accounting firms, and entities regulated under the Investment Company Act, including matters involving audit committees and financial reporting violations.
When you retain our securities violations defense attorneys, we provide you with:
- Personalized Defense Strategies: Every SEC investigation is different, and the defense strategy we build for you reflects the specific charges, the government's evidence, and the circumstances unique to your case.
- Skilled Negotiation: When negotiating with SEC staff or federal prosecutors is the right path, we pursue it directly and work to resolve securities fraud investigations on the most favorable terms available.
- Litigation Support: If your case proceeds to court or administrative proceedings, Attorney Pearce brings over 45 years of securities litigation experience to bear on your behalf, fighting to protect your rights and reputation at every stage.
We are an experienced SEC defense attorney firm who defends clients in SEC investigations in all 50 states.
Contact us today for a free consultation. We will assess your defense options and put our 45 years of enforcement defense experience to work for you. Call (800) 732-2889 or reach out online to get started.
Preguntas frecuentes
What does an SEC defense lawyer do?
An SEC defense lawyer represents individuals and companies under investigation by the Securities and Exchange Commission, managing all communications with the agency, challenging the government’s evidence, and negotiating or litigating to resolve enforcement proceedings on the best possible terms.
What are the penalties for securities fraud?
Civil penalties can include disgorgement of all profits, substantial monetary fines, and permanent bars from the securities industry, while criminal securities fraud charges referred to the DOJ can carry up to 20 years in federal prison per count under the Securities Exchange Act.
When should I hire an SEC defense attorney?
You should retain experienced federal defense counsel immediately upon receiving an SEC subpoena, a Wells Notice, or any indication that you or your firm are the subject of government investigations, because early intervention consistently produces better outcomes than waiting for formal charges.
Can the SEC put you in jail?
The SEC itself pursues civil and administrative enforcement actions and cannot impose criminal sentences directly, but it regularly refers cases to the DOJ, which can bring criminal charges that result in substantial federal imprisonment.