At Rothman & Associates in Miami, we defend individuals who have been charged with investment fraud, stockbroker fraud and other crimes relating to fraudulent trading practices.
To learn about your defense options, contact a Florida criminal defense lawyer today.
Intentional vs. Unintentional Acts
In investment fraud cases, what separates bad advice from intentional misconduct? The distinction lies in the difference between a civil and criminal case. If a stockbroker unintentionally gave poor investment advice that lead to financial loss for the client, the case may be sued civilly or not prosecuted at all. However, if a stockbroker knowingly gave false information to persuade an investor to purchase a product, the case may be prosecuted criminally. Here are some examples of stockbroker misconduct:
- Insider trading
- Churning
- Guaranteeing results
- Misrepresentation of facts or information
- Providing false information
Defense of Investment Fraud
When a stockbroker knowingly provides false information to persuade an investor, that action is deemed illegal. At Rothman & Associates, we defend those charged with criminal investment fraud or stockbroker fraud, our practice does not including representing of those claiming to be victims of fraud.
The penalties for investment fraud can be significant. If convicted, an individual may face several years in prison.
Our firm will investigate your charges to determine the extent of your involvement in the alleged crime. From there, we will proceed by building a defense based on the facts involved in your case and individually tailored to your situation.
If you are the subject of a government investigation for securities fraud or stockbroker fraud, contact an attorney to explore your legal options.
