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Securities and Investment Crimes Defense Attorney

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When you face a drug charge, you may be confused over what makes it a federal crime and not a state crime. You may also wonder what the classifications of drugs mean and how that can affect the outcome of your case. There are many aspects you should understand when facing such charges so that you can go to court prepared.

Phone: (202) 430-1900

Fax: (202) 430-1900

Office Location: 1101 17th Street NW Suite 1100
Washington, DC 20036

Hours: Monday - Friday | 8am - 5pm

Accused of a white-collar crime?
Federal Criminal Defense Lawyer
Securities & Investment Fraud Crimes Lawyer in DC
The term “security” is a broad term that encompasses several types of investments, such as corporate stocks, investment contracts, municipal bonds, banknotes and more. Securities and investment fraud occurs when a person cheats, lies, steals or uses some other method of deceit in an attempt to gain a financial advantage.

Though many people consider securities fraud a “victimless crime,” the government takes a harsh stance against it. If you are convicted of this white collar crime, you face years or even decades of prison time, hefty fines and possibly other criminal charges. An experienced criminal defense attorney in Baltimore and the surrounding areas can help you build a strong defense and aggressively fight for your freedom.

Securities Fraud Is a White-Collar Crime
Securities and investment fraud are white collar crimes, meaning they are non-violent and are typically committed by businesspersons who work within the financial sector. White collar crimes do not involve theft in the traditional sense, such as burglarizing a home or holding someone up at gunpoint. Rather, offenders often conduct their misdeeds via email, over the phone and through extravagant paper trails.

White collar criminals are often smart and savvy, and many times, they work secretively with others within and without their organizations to accomplish their objectives. Because white collar crimes are a specialized sort of crime, defending yourself against a charge requires a lawyer who is familiar with securities and investment schemes and the laws that govern them.

Federal and State Legislation That Governs Fraud
Both federal and state laws govern securities fraud crimes. It is essential that you work with an attorney who understands both. Below is a brief overview of acts designed to prevent investment fraud crimes from occurring:
The Securities Exchange Act of 1933: This act is the first federal legislation designed to regulate the stock market. It serves two major purposes: to ensure companies are more transparent in the financial statements they provide to investors and to establish laws against fraudulent activities and misrepresentation regarding securities.
The Dodd-Frank Wall Street Reform and Consumer Protection Act: Passed into law in 2010, this act tightened the regulation of financial products and enhanced consumer protections by increasing corporate governance.
Investment Company Act of 1940: This act aims to minimize and regulate any conflicts of interest between companies and businesses who are involved in the trading of stocks and bonds.
The Trust Indenture Act of 1939: This act prohibits the sale of securities to the public without an official agreement between the bondholder and issuer.
Sarbanes-Oxley Act of 2002: This act aims to encourage corporate responsibility by outlining several reforms.
The District of Columbia also has its own laws pertaining to securities and investment fraud. A skilled criminal defense lawyer in Baltimore, Philadelphia or the surrounding areas can explain those laws more in-depth and understand how each applies to your case.
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  • “Dennis is an exceptional white collar defense attorney with global experience. I would not hesitate to call upon Dennis to advise, counsel, and try the most challenging cases for any client or contact of mine.”
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Common Types of Securities and Investment Fraud Crimes
According to the FBI, securities fraud occurs when a person or entity deceives or attempts to deceive investors, or when he, she or it manipulates or attempts to manipulate the markets. Investment fraud falls under the umbrella term of securities fraud and typically involves promises of a low-risk and high-return, overly consistent returns, guaranteed returns, unregistered securities or complex strategies. Common examples of both types of crimes are as follows:
Ponzi Schemes: Ponzi schemes are the most well-known type of investment scheme. This type of fraud usually involves the promise of high returns to investors. To create an illusion of high returns, the operators of the scheme recruit more investors to contribute more funds. They then cycle the invested funds to the various investors, with older investors receiving more money. These schemes are not really successful, and they are illegal, as the only people who really profit from them are the creators of the scheme.
Pyramid Schemes: There has been a resurgence of pyramid schemes in recent years, as they look legitimate, and many Americans are enticed by the prospect of getting rich quick by working from home. In this type of scheme, participants pay to enter. They then receive bonuses for recruiting new participants. The money from new participants goes to investors higher up on the “pyramid.” To create the façade of a legitimate company, the operators present a product that participants must sell to earn an income. The truth is, however, that the product usually makes little to no money, and the creators of the scheme rely on the enrollment of new investors to profit.
Pump and Dump: The pump and dump scheme is one you may be familiar with due to the Hollywood hit, “Wolf of Wall Street.” In this type of scheme, smooth-talking telemarketers use high-pressure sales tactics to convince everyday consumers to buy questionable stock. Once enough people purchase the stock and, therefore, increase the demand, the operator sells the stock for a large profit, thereby depleting both demand and price, leaving investors with a major loss.
Insider Trading: Insider trading involves the trading of securities or stocks by a person who has access to not-yet-public information.
Churning: Churning occurs when a stockbroker buys and sells stocks at a rapid rate for the purposes of generating commissions. This is illegal because the broker typically churns stocks at the expense of clients’ profits.
The five aforementioned crimes just touch on the types of securities and investment fraud crimes a person can commit. Other types of fraud include bribery, misrepresentation, forgery, extortion, identify theft, money laundering, falsifying business records, embezzlement and real estate investment trust fraud, to name a few.
When To Contact an Experienced Securities and Investment Fraud Lawyer
A conviction for investment or securities fraud can have devastating consequences for anyone involved, regardless of the extent of involvement. Penalties include but may not be limited to millions of dollars in fines, a lengthy federal prison sentence, probation and restitution. Collateral consequences may consist of a tarnished reputation, ruined career and destroyed relationships.
Time Is of The Essence

Contact Dennis Boyle, Attorney At Law Today

If you are under investigation for investment or securities fraud, the best thing you can do is to contact a criminal defense lawyer right away. Attorney Dennis E. Boyle is familiar with these types of white collar crimes, the complicated regulations that govern securities transactions and viable defenses, and he is prepared to go up against the government to fight the charges against you. Time is of the essence in these types of cases, so do not hesitate and contact our law firm at (202) 430-1900 today.

Practice Areas

White Collar Criminal Defense

Those that find themselves charged with a white collar crime must make sure they have a dedicated defense attorney on their side.
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Investment Arbitration

These high-pressure cases can may prove especially difficult when dealing with countries known for high levels of corruption.
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Securities & Investment Crimes

With these white collar crimes you can face years or even decades of prison time, hefty fines and possibly other criminal charges.
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International Criminal Law

There are many criminal defense attorneys providing legal counsel throughout the Washington, DC area. However, very few of them have the professional experience and legal acumen to handle criminal defense on an international scale.
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Mail / Wire Fraud

Mail and wire fraud are two of the most frequently prosecuted crimes in the US. Both of these crimes are federal felony offenses.
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Fraud Cases

Fraud crimes are often prosecuted much more severely and often involve substantial amounts of money due to the violation of trust.
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Money Laundering

Money Laundering can lead to severe penalties including many years in prison, thousands of dollars in fines and asset seizure.
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Racketeering and Organized Crime

These offenses relate to interference with interstate commerce by threat or violence, interference with organized labor, money laundering, murder-for-hire and illegal gambling.
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FINRA Cases

Mail and wire fraud are two of the most frequently prosecuted crimes in the US. Both of these crimes are federal felony offenses
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Cyber Crime

Cyber crime is a relatively new and rapidly growing area of law. Too many people, and too many lawyers, think that cyber crimes are just like any other crimes.
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