Securities & Investment Fraud Defense
Stumphauzer & Sloman represents clients facing serious allegations of securities and investment fraud. Our attorneys are former federal prosecutors. We have extensive experience defending corporate executives, licensed professionals and corporate entities under investigation by regulatory bodies, including the U.S. Securities and Exchange Commission (SEC), U.S. Department of Justice (DOJ), the Federal Deposit Insurance Corporation, the Florida Department of Financial Regulation and other state ad federal security regulatory commissions.
Our firm has built a solid reputation for skillfully defending clients in high-profile, high-stakes securities and investment fraud cases. We are known for our keen ability to work with regulators to resolve our clients’ cases swiftly and effectively.
We represent clients in a diverse range of civil and criminal securities and investment fraud cases, including allegations of:
- SEC/Grand Jury Subpoena Response
- Penny Stock Fraud
- Market Manipulation
- Securities Fraud
- Unregistered Investment Contracts
- Offering Fraud
- Insider Trading
- Unauthorized Trading
- Ponzi Schemes
- Account Churning
- Unsuitability of Investment Advice
Proactive Defense Strategies
We take a proactive approach in defending clients facing allegations of securities and investment fraud. Our firm understands that early and effective action is paramount when you are involved in a government inquiry or investigation. We use our extensive skills and resources to thoroughly assess your situation and present a clear and reasoned explanation of your case to the government. Our swift and aggressive action is designed to save you time, money and aggravation by ending the government’s investigation as quickly as possible.
Parallel Proceedings Require a Complete Defense Strategy
When a client is facing a civil inquiry involving allegations of securities and investment fraud, the client may also be exposed to an independent criminal investigation. We are a skilled team of securities lawyers who know how to counsel clients through simultaneous civil and criminal investigations and enforcement actions. When such parallel proceedings occur, we will formulate a complete and coordinated defense strategy aimed at achieving the best combined results for our clients.
- Represented the Chief Financial Officer of a large bank in connection with a joint investigation by the Securities & Exchange Commission, the Federal Deposit Insurance Corporation and the Florida Department of Financial Regulation.
- Represent a management level employee of a Fortune 10 global retailer in connection with a sprawling joint investigation conducted by the Securities & Exchange Commission, the Department of Justice and foreign law enforcement entities regarding alleged violations of the Foreign Corrupt Practices Act.
- Represented a trader at a large broker-dealer in connection with an investigation by the Securities & Exchange Commission of alleged violations Section 17(a) of the Exchange Act and Rule 17a-8 thereunder, which require broker-dealers to comply with the reporting, record-keeping and record retention requirements in regulations implemented under the Bank Secrecy Act.