New Jersey Securities Fraud Lawyers

Experienced Securities Fraud Defense Attorneys Serving Clients Throughout New Jersey

Securities fraud gained notoriety following the revelation of the illegalities occurring throughout the securities industry prior to and during the 2008 financial crisis, which has since opened doors for greater transparency and accountability for the investing community. Thankfully, the regulations governing the securities industry are stricter, more encompassing, and more enforced than ever. The door is open for a whole host of complex situations that can give rise to an action for securities fraud against brokers, dealers, investment managers and even accounting professionals. Securities fraud is no joke, and carries substantial prison time, monetary penalties, restitution requirements, and may negatively impact your professional and personal life.  At Team Law, our diligent and resourceful New Jersey Securities Fraud Lawyers are prepared to vigorously defend you in every phase of the securities fraud claim, from the investigative process through a thoroughly prepared defense of your case.

Due to the fact that securities fraud cases can involve both civil and criminal prosecution, our New Jersey Securities Fraud Lawyers provide strong and tactful legal representation every step of the way. Whether your case involves allegations of a far-reaching scheme or isolated event, we will fight for your rights and help to provide clarity in moving forward with your life and ultimately protect your interests. Our legal team is here to protect you. 

To learn more about our practice and how we can help, contact us to schedule a free and confidential consultation.

Federal Securities Legislation Governs Many Securities Fraud Cases In New Jersey

Securities fraud is governed by a vast and complex array of laws in the United States, leading some securities fraud cases to be prosecuted in federal court. We have experience in handling all matters involving securities fraud cases, including the following:

• The Securities Exchange Act of 1934: This Act gives the SEC broad authority in regulating large public companies, which must file periodic reports disclosing certain financial information. The 1934 Act also prohibits certain activities, including insider trading, and imposes strict regulatory requirements over large corporate transactions.
• The Securities Act of 1933: The 1933 Act also imposes reporting requirements on certain companies and generally prohibits misrepresentations and fraud in securities sales.
• The Investment Company Act of 1940: The 1940 Act imposes regulatory requirements, including disclosure obligations, on certain companies that deal in securities trading, including mutual funds and other companies, when the potential for conflicts of interest exists.
• The Trust Indenture Act of 1939: The Trust Indenture Act imposes certain requirements when securities are publicly offered for sale, including a bond requirement.
• The Sarbanes-Oxley Act of 2002: Sarbanes-Oxley created the Public Company Accounting Oversight Board and also created new enhanced disclosure requirements with an emphasis on corporate responsibility.
• The Dodd-Frank Wall Street Reform and Consumer Protection Act: Dodd-Frank was enacted in response to the financial crisis of 2008, and emphasizes the need for transparency in financial transactions, imposes trading restrictions and also regulates certain financial products, with an emphasis on consumer protection measures.

Securities Fraud Actions

Often, securities fraud claims are based on the accusation that the defendant(s) made some sort of material misrepresentation, fraudulent statement, or omission upon which investors relied, and were therefore harmed financially. Securities fraud cases may include the following:

• Insider trading
• Pump and dump schemes
• Churning
• Making unauthorized trades
• Engaging in trades or making investments that are unsuitable for the client
• Short selling
• Ponzi schemes
• Fraudulently inducing investors into a declining fund without full disclosure
• Selling stock at inflated prices
• Backdating stock options
• Market manipulation
• False or misleading financial statements
• Failure to file required disclosure documents
• Accounting fraud
• Investment fraud

Experienced Securities Fraud Defense Firm Represents Clients Across New Jersey

If you are facing charges of securities fraud, you need strong legal counsel to build a defense and craft a tactful legal defense strategy during this pivotal time. At Team Law, our experienced New Jersey Securities Fraud Lawyers are here to help. We have a thorough understanding of the charges that you face and of the criminal and civil justice systems. We work hard to get the best result possible for you. If you are facing securities fraud, it is important to seek the help of a skilled and resourceful lawyer immediately. We will fight for your rights and interests. Contact Team Law for a free and confidential consultation.