Investment banks, brokerage firms, individual stockbrokers and dealers are required to comply with a vast array of federal and state regulations. The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) look closely to determine compliance with these laws. In certain instances, these organizations will forward the contents of their investigation to the Department of Justice to determine if there are criminal violations.
Any criminal investigation can have severe consequences. An indictment only heightens the risk of these consequences. Anyone subpoenaed by the SEC or under indictment should enlist the services of knowledgeable legal counsel. Based in Fort Lauderdale, securities fraud attorneyBruce Udolf has the experience and skill required to take on complex securities allegations across Florida and beyond. Bruce has devoted his career to criminal law since becoming a lawyer in 1979. With experience as a state prosecutor, a federal prosecutor and as a defense attorney, he has the perspective and insight necessary to create a powerful defense to all types of white collar criminal charges.
Fort Lauderdale Stockbroker And Investment Fraud Attorney
Securities fraud charges can involve any number of allegations, including:
- Insider trading
- Providing false information or making material omissions
- Stock manipulation
- Sale of securities by an unlicensed broker or dealer
Whatever the government alleges, we will fully investigate the charges to determine the potential defenses. Ideally, our law firm can enter the picture before charges are filed. In these situations, we can attempt to persuade the government that charges are not warranted. However the matter is resolved, it is essential that the government knows that the defense attorney it is up against has the trial skills of a formidable adversary. Bruce Udolf has tried literally hundreds of jury trials.
If an indictment has already been filed, we will devote our energies and skills to present a compelling defense.
Contact Bruce L. Udolf, P.A.
Call (954) 858-8831 or complete our online contact form to schedule a confidential consultation.