Financial Services Litigation
At Melton, Espy & Williams, P.C., in Montgomery, Alabama, our experienced financial services and stock fraud attorneys provide full service securities fraud defense representation to individuals in Montgomery, and throughout the Alabama area, including Montgomery, Elmore, Macon, Bullock, Pike, Crenshaw, Lowndes, and Autauga counties. If you are being investigated for financial services fraud, do not do anything before you consult with an attorney. Our financial services and stock fraud attorneys have extensive experience representing people accused of various white collar crimes. We will evaluate your rights and options, and stand beside you every step of the way to ensure you are protected.
Securities fraud refers to several distinct criminal violations of 15 U.S.C. § 77 & 78. Violations of federal law under today's applicable statutes include such acts as:
- Insider trading
- Buying or selling securities not registered with the Securities and Exchange Commission
- Willfully making false statements or omissions of fact in documents filed with the Securities and Exchange Commission
- Engaging in interstate communications with prospective purchasers of securities, where such communications employ any device, scheme, or artifice to defraud, or contain false statements or omissions of fact calculated to mislead.
Securities fraud and stockbroker fraud are serious crimes that can carry both civil and criminal punishments. Criminal investigations can lead to imprisonment. The Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) may investigate and impose civil fines against corporations, stockbrokers, or financial service representatives suspected of securities fraud.
If you have been charged with securities fraud, or if you are undergoing an SEC investigation, you need a lawyer who is well versed in securities law as well as criminal defense. At Melton, Espy & Williams, P.C., our financial services and stock fraud attorneys have the legal expertise and securities knowledge you need in order to successfully defend you in a financial services litigation action. Contact us in order to get the financial services defense representation you need.