Securities laws violations encompass allegations of fraud in connection with securities, whether publicly-held common stock, commodities or any other investment vehicle. Criminal securities fraud is typically preceded by a civil investigation by the Securities and Exchange Commission (S.E.C.).  The S.E.C. can issue subpoenas to compel testimony. Frequently, the S.E.C. will appoint a Receiver to conduct its investigation.

The scope of these investigations can be far-reaching, including lawyers, accountants, registered securities brokers and financial institutions. The subpoena power possessed by the S.E.C. is practically unlimited, and persons and businesses can be forced to produce voluminous business records, both in paper and digital form, that can put all aspects of the business under the scrutiny of law enforcement. If criminal activity is uncovered, the case may be referred to other Federal law enforcement agencies such as the FBI or the U.S. Postal Inspectors for investigation and criminal prosecution. These criminal investigations may result in a Grand Jury being convened, and another round of subpoenas issued to produce people and documents.

Persons under investigation for securities laws violations by the S.E.C. should always be aware of the potential of criminal charges. Having an experienced Federal criminal defense lawyer to guide them through the process is prudent, and good business. Not many companies, no matter how great or well-regarded, can survive the return of a criminal indictment. Arthur Anderson, one of the Big Eight accounting firms in the 1990’s could not survive its indictment in the Enron Scandal despite being ultimately vindicated of criminal charges. Irreparable damage to the business started when the indictment was returned.

Charles G. White has participated in securities law cases from fraudulent statements in a publicly traded company’s S.E.C. filings to “boiler room” securities sales. He understands the fine line between legitimate business practices and fraud. Sometimes it can seem that the Federal Government does not appreciate the difference, and may end up prosecuting people who never intended to do anyone harm. Mr. White is proud to defend people’s rights, liberty, financial security when all of that is threatened by over-zealous Federal prosecution.

Obtain Legal Assistance

If you or someone you know is accused of a Federal crime, it is imperative that you work with an attorney who has experience in these cases. Charles G. White has represented hundreds of clients in Federal Courts throughout the United States. He has the experience and knowledge essential to obtain the best possible result. Charles G. White. He has over 34 years of experience with these types of cases and will defend you and your rights.
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