Securities Fraud & Litigation

The securities fraud attorneys at  Bochetto & Lentz can provide representation in all matters arising from investigations by the Securities and Exchange Commission and other regulatory agencies for violations of federal securities laws.  This includes support in all of the following areas:

  • Actions, including investigations and enforcement proceedings, initiated by the SEC, the Financial Industry Regulatory Authority, the United States Attorneys’ Offices and state securities commissions. These actions may include revenue recognition, insider trading, valuation of assets including derivatives and swaps, violations of generally accepted accounting principles (GAAP) and more.  We have experience in broker-dealer regulation, gifts and gratuities, suitability and supervision, and more.
  • All compliance issues, including advice on company policies, codes of ethics and regulatory compliance.
  • Private securities litigation, including private equity and hedge fund litigation, class and derivative actions, structured financial products, corporate governance and mergers and acquisitions. We are also able to assist with class action suits arising out of claims of breach of duty and more.
  • Independent and internal investigations.

Additionally, the attorneys at Bochetto & Lentz have a proven track record in providing representation in arbitration and in the courtroom in the following areas:

  • Shareholder Derivative Actions

A shareholder derivate action is filed against the insiders of a corporation by an individual or institutional shareholder on behalf of the corporation.  It is filed when there is suspicion of misconduct or actions that will harm the organization, and is designed to redress harm or compel change.

  • Securities Fraud Class Actions

Federal securities laws require full and fair disclosure of all material facts having to do with the securities market. Manipulation of market prices by providing misleading information can cause market volatility and losses to investors who relied upon the false data, and can result in a securities fraud or class action lawsuit.

  • Insider Training Violations

Insider trading occurs when a security is bought or sold by a corporate insider in possession of nonpublic information about its value or future value in violation of established disclosure rules. It applies to employees ranging from officers and directors to attorneys and accountants. The definition of insider trading has been revised to include “tipping,” which is sharing the inside information inappropriately, and “misappropriation,” in which a person who has been entrusted with the information uses it to their own advantage. All represent a breach of the duty owed to the corporation’s shareholders.

Securities enforcement actions initiated by regulatory agencies such as the SEC, FINRA or state agencies can carry severe penalties, including court-ordered receiverships, preliminary or permanent injunctions, asset freezes, monetary penalties, officer and director bars, orders barring individuals from the securities industry, and more. Publicity surrounding an inquiry or investigation can cause long term damage to both individual and corporate reputations. In matters of such dire consequence, it is essential to be represented by experienced counsel. The law firm of Bochetto & Lentz has extensive experience in representing securities litigation matters as well as securities arbitration matters in state and federal court as well as in Commission enforcement proceedings. If you have questions and need to discuss your situation with a securities fraud attorney, contact us today.