Tampa Securities Fraud Lawyer
Securities fraud is a serious federal offense that can lead to years in prison, substantial fines, and permanent damage to your professional reputation. These cases often involve complex financial transactions, detailed regulatory oversight, and aggressive prosecution by federal agencies such as the Securities and Exchange Commission (SEC) or the Department of Justice (DOJ). If you are under investigation or have been charged, an experienced Tampa securities fraud lawyer at Scriven Law, P.A. can protect your rights, help you understand your options, and build a strong defense strategy tailored to your situation.
Understanding Securities Fraud Charges
Securities fraud refers to deceptive practices in connection with the sale or purchase of stocks, bonds, or other investments. Prosecutors often allege that a person intentionally misled investors or manipulated market information to obtain financial gain. These cases can arise in both state and federal courts, though most are handled federally because they typically cross state lines or involve national markets.
Federal authorities take securities fraud allegations extremely seriously. Convictions can result in prison terms of up to 25 years, restitution payments, forfeiture of assets, and bans from participating in the securities industry. Because the legal and financial issues are so complex, these cases require not only skilled criminal defense but also a deep understanding of financial regulations and investigative tactics used by prosecutors.
Common Types of Securities Fraud
Securities fraud can take many forms, ranging from false statements in company filings to insider trading. Below are some of the most common charges associated with these cases:
- Insider trading — using non-public information to make profitable investment decisions
- Misrepresentation or omission of material facts in financial statements or investor communications
- Ponzi schemes and investment scams that pay returns from new investors rather than legitimate profits
- Stock manipulation, such as “pump and dump” schemes that artificially inflate stock prices
- Unauthorized trading or churning client accounts to generate commissions
- Accounting fraud involving falsified earnings reports or hidden liabilities
- Embezzlement or misuse of investor funds
- Failure to register securities or comply with SEC regulations
Even minor participation in these activities can lead to severe criminal exposure, especially if the government alleges intent to deceive or mislead. Having a lawyer who understands the intricate laws governing financial markets is critical to protecting your future.
Investigations and Potential Penalties
Securities fraud investigations often begin long before an arrest. Agencies such as the SEC, FBI, and DOJ may conduct months or even years of surveillance, document reviews, and witness interviews before filing charges. In some cases, individuals are unaware they are being investigated until they receive a subpoena or a target letter.
The penalties for a conviction can be severe and life-altering. Possible consequences include:
- Lengthy federal prison sentences
- Fines reaching into the hundreds of thousands or even millions of dollars
- Restitution to victims and forfeiture of assets
- Permanent damage to professional licenses and reputation
In addition to criminal penalties, individuals may face civil enforcement actions from the SEC, which can lead to financial penalties, industry bans, and ongoing regulatory scrutiny.
Defending Against Securities Fraud Charges
Building a successful defense against securities fraud requires a detailed understanding of both criminal law and the securities industry. At Scriven Law, P.A., our team investigates every aspect of the case to identify weaknesses in the prosecution’s evidence. Possible defenses may include:
• Lack of intent to defraud investors
• Good-faith reliance on professional accountants or analysts
• Insufficient evidence linking the defendant to fraudulent activity
• Mistakes in financial reporting that were unintentional rather than criminal
• Violations of constitutional rights during the investigation or arrest
Our firm is dedicated to achieving the best possible outcome for every client — whether that means negotiating a favorable plea, obtaining dismissal of charges, or fighting for a “not guilty” verdict at trial. We take a strategic and proactive approach to ensure your side of the story is fully represented.
Frequently Asked Questions About Securities Fraud
Is securities fraud always prosecuted in federal court?
Not always. While most securities fraud cases are handled at the federal level due to interstate activity, some may be prosecuted under Florida state laws. However, federal cases typically carry harsher penalties and require a more sophisticated defense strategy.
What should I do if I receive a subpoena or target letter?
Do not ignore it or attempt to contact investigators directly. Contact an experienced Tampa securities fraud attorney immediately. Early legal intervention can sometimes prevent formal charges or minimize the impact of the investigation.
Can I be charged with securities fraud if I didn’t personally profit?
Yes. Prosecutors don’t need to prove that you made money — only that you knowingly participated in a scheme that involved deception or misrepresentation. Even unintentional involvement can raise suspicion, which is why legal representation is essential as soon as possible.
Contact a Tampa Securities Fraud Lawyer Today
Securities fraud allegations can be overwhelming, but you do not have to face them alone. The experienced team at Scriven Law, P.A. understands how to challenge federal investigations and defend against complex white-collar charges. A dedicated Tampa securities fraud lawyer can help you navigate the legal process, protect your rights, and pursue the best possible outcome for your case.
Call 813-226-8522 or visit our contact page to schedule a confidential consultation today. Let Scriven Law, P.A. fight for your future.
