Securities Fraud Attorneys in Dallas

Trust Your Complex Case to an Experienced Legal Professional

At Fitzpatrick Jacks Smith & Uhl, 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.

How Securities Fraud Investigations Work

An investigation into securities fraud typically begins with unusual patterns of behavior on the part of promoters, brokers, financial advisers, and financial institutions. The Securities Exchange Commission (SEC) and the Texas State Securities Board 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
• Failure to register
• 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 Dallas securities fraud 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.

Each attorney at Fitzpatrick Jacks Smith & Uhl 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.