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Securities Fraud

Dallas Attorneys for Securities Fraud Defense

Investment Fraud Defense

At the law office of Fitzpatrick Hagood Smith & Uhl LLP, our attorneys work closely with forensic accountants and our own investigators in defending clients charged with securities fraud.

Regardless of whether you have been charged with securities fraud or are currently under investigation, we have the resources and knowledge needed to help you. To schedule a confidential consultation in our Dallas law office, contact the securities fraud attorneys at Fitzpatrick Hagood Smith & Uhl today.

Securities Fraud Defense Lawyers

Attorney Leonard Senerote served as the Chief of Securities Fraud Task Force for Dallas. His experience in investigating securities fraud means we understand how prosecutors and investigators work, the limitations they face, and the tactics they use to intimidate witnesses, leverage conspiracy charges, and gain an indictment. Attorney Michael F. Uhl served as Chief of the White Collar Fraud section at the Dallas U.S. Attorney's Office.

Securities Fraud Investigations

An investigation into securities fraud typically begins with unusual patterns of behavior on the part of brokers, financial advisers, and financial institutions. The Securities Exchange Commission (SEC) and the Texas SEC will begin reviewing financial records, financial transactions, and the activities of individual brokers after unusual activity is discovered or fraud is reported to them.

Allegations of Securities Fraud

We represent brokers, financial advisers, investment firms, and financial institutions in cases involving the following:

  • Churning
  • Investment adviser misconduct
  • Over-concentration of benefits or investments
  • Violation of fiduciary responsibility
  • Unsuitable investments
  • Misleading or fraudulent sales practices
  • Ponzi schemes
  • Pump and dump
  • Penny stocks
  • Using offshore accounts to inflate reported assets
  • Stock embezzlement
  • Insider trading

Challenging Charges of Securities Fraud

We evaluate market conditions in order to situate decisions and actions on the part of brokers and advisers in order to establish their compliance with the law and their fiduciary responsibility. Cases involving allegations of misguided advice or unsuitable investments must prove that the accused acted knowingly in a dishonest, fraudulent manner. Our attorneys take the time to carefully reconstruct what happened, the market conditions at the time, and why our client's decision made sense. We expose assumptions on the part of prosecutors and investigators that are not supported by fact or rest on assumptions about the private motives of the accused.

Working With Prosecutors: When Guilt Is Not in Question

If you were involved in a conspiracy to commit securities fraud, the deal you reach with prosecutors could impact the charges against you and the sentence you receive. Remember, prosecutors are talking to other suspects and may be interested in reaching a deal with them. You could find yourself being charged with crimes you had knowledge of but did not commit.

Contact Fitzpatrick Hagood Smith & Uhl Today

Our attorneys are effective negotiators when it comes to reaching a plea bargain in the best interests of our clients. We can often convince prosecutors to reduce the charges or sentence against you in exchange for testimony that aids in the prosecution's case and investigation.

For more information about our practice and how we can help you, contact securities fraud attorneys at Fitzpatrick Hagood Smith & Uhl today. Call 214.504.1133.

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Fitzpatrick Hagood Smith & Uhl LLP | Chateau Plaza, Suite 1400 | 2515 McKinney Avenue | Dallas TX 75201 |
Telephone: (214) 504-1133 | Telephone: (877) 516-0277 | Fax: (214) 237-0901
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