Securities fraud allegations can bring life-changing consequences. Whether the charges involve misleading investors, insider trading, or misrepresenting a company’s financial health, these cases are aggressively pursued by both federal and state authorities.
A conviction can lead to millions in fines, years in prison, and permanent damage to your career and reputation.
At DeGraff Hicks Law Group, we know the stakes are high. Our experienced Cocoa Beach securities fraud lawyers are here to fight for your rights, protect your future, and guide you through the complexities of securities fraud cases.
If you’ve been accused of securities fraud in Cocoa Beach or Brevard County, call our white-collar crime defense attorneys today at (321) 44-SHARK.
What is Securities Fraud?
Securities fraud involves deceptive practices in the stock or investment markets that mislead investors and manipulate financial decisions (15 U.S.C. § 78j(b); SEC Rule 10b-5).
This broad category can include false statements, omissions of material information, or schemes that artificially inflate or deflate the value of securities.
Key aspects of securities fraud often include:
- Misrepresentation of a company’s financial condition.
- Withholding material information from investors.
- Engaging in schemes to manipulate the market.
- Trading on material nonpublic information (overlap with insider trading).
Common Types of Securities Fraud
Securities fraud can take many forms. Common examples include:
- Insider Trading — Trading on material nonpublic information in violation of confidentiality duties.
- Accounting Fraud — Manipulating financial statements to make a company look healthier than it is.
- Ponzi and Pyramid Schemes — Using new investor funds to pay returns to earlier investors.
- Market Manipulation — Artificially inflating or deflating stock prices, such as pump-and-dump schemes.
- Broker Misconduct — Making unauthorized trades, churning accounts, or giving misleading advice.
Each of these scenarios may result in both civil enforcement actions and criminal prosecution.
Regulatory Agencies and Prosecution
Securities fraud cases often involve overlapping investigations by multiple agencies, including:
- The Securities and Exchange Commission (SEC) — Pursues civil enforcement actions and penalties.
- The Department of Justice (DOJ) — Handles criminal prosecutions for securities fraud.
- The Financial Industry Regulatory Authority (FINRA) — Regulates brokerage firms and enforces compliance.
- Florida state prosecutors — May bring charges under state securities laws (Florida Statutes § 517.301).
This combination of state, federal, and regulatory involvement makes securities fraud cases highly complex. This is why it is imperative to enlist the help of a trusted Cocoa Beach securities fraud lawyer right away.
Consequences of a Securities Fraud Conviction
The penalties for securities fraud are severe, often designed to deter misconduct and protect market integrity.
They may include:
- Massive fines — Sometimes reaching millions of dollars.
- Restitution — Repayment of investor losses.
- Civil penalties — Disgorgement of profits, plus up to three times the gain under SEC penalties.
- Imprisonment — Federal convictions can result in sentences of up to 25 years in prison.
- Collateral consequences — Loss of professional licenses, barred employment in financial industries, and irreparable reputational harm.
A knowledgeable Cocoa Beach securities fraud lawyer can help you understand what you are possibly facing. Call today for a confidential consultation.
Common Defenses in Securities Fraud Cases
Defenses will depend on the specific allegations but may include:
- Lack of intent — Demonstrating that actions were not knowingly fraudulent.
- Information was not material — Arguing that the alleged misrepresentation was not significant enough to influence investor decisions.
- Information was already public — In cases involving insider trading or disclosure disputes.
- Insufficient evidence — Highlighting gaps in the prosecution’s case.
- Good faith reliance — Showing reliance on expert advice or accounting professionals.
- Constitutional violations — Suppressing evidence obtained through unlawful searches or seizures.
Because securities fraud is often highly technical, our Cocoa Beach securities fraud lawyers’ defense strategies frequently involve expert witnesses and forensic financial analysis.
How a Cocoa Beach Securities Fraud Lawyer Can Help
At DeGraff Hicks Law Group, we know securities fraud cases demand meticulous attention to detail.
Our role includes:
- Analyzing trading records, financial statements, and communications.
- Challenging the SEC or DOJ’s evidence and theories.
- Protecting your rights during investigations and questioning.
- Negotiating with regulators to minimize penalties or avoid criminal charges.
- Developing strong trial defenses if the case proceeds to court.
We work closely with financial experts and investigators to ensure every angle of your defense is fully explored.
State and Federal Considerations
While most securities fraud cases are prosecuted under federal law, Florida has its own securities statutes designed to protect investors (Florida Statutes § 517.301). These laws often mirror federal rules but allow state prosecutors to pursue cases independently. That means defendants may face overlapping state and federal proceedings.
Possible Outcomes in Securities Fraud Cases
Depending on the evidence and circumstances, outcomes may include:
- Acquittal at trial if prosecutors fail to prove intent or material misrepresentation.
- Dismissal of charges based on insufficient evidence or procedural violations.
- Negotiated settlements with reduced penalties.
- Civil resolutions instead of criminal penalties in some cases.
- Alternative outcomes such as restitution agreements or probation.
To ensure the best possible outcome based on your circumstances, enlist the help of a Cocoa Beach securities fraud lawyer as soon as possible.
Is it Possible to Have Securities Fraud Charges Resolved Favorably?
Yes. While securities fraud cases are serious, favorable outcomes are possible through:
- Aggressive defense strategies that challenge the core of the prosecution’s case.
- Negotiation with regulators to avoid criminal liability.
- Strategic cooperation in cases involving multiple defendants.
The earlier you involve an experienced defense team, the more options you will have. Call our Cocoa Beach securities fraud lawyers today to schedule a confidential consultation.
Our Approach to Securities Fraud Defense
At DeGraff Hicks Law Group, our Cocoa Beach securities fraud lawyers approach securities fraud defense with precision, focusing on challenging the evidence and protecting your rights at every stage.
Thorough Case Analysis
We dig deep into the details of your case, reviewing financial statements, trading records, and internal communications to find weaknesses in the prosecution’s case.
Tailored Defense Strategies
Every securities fraud case is unique. We develop personalized defense strategies built around the specifics of your case, your goals, and your best chance for success.
What Should You Do If You’re Facing Securities Fraud Charges?
If you are under investigation or have been charged:
- Seek legal representation immediately — Do not respond to regulators without an attorney.
- Avoid self-incrimination — Do not discuss your case with colleagues, employers, or investigators.
- Preserve all records — Keep financial documents, emails, and other relevant evidence.
- Understand the stakes — Securities fraud charges can permanently alter your career and life.
Call the Cocoa Beach securities fraud lawyers at DeGraff Hicks Law Group at (321) 44-SHARK right away to protect your rights and begin building your defense.
Why Choose DeGraff Hicks Law Group for Your Securities Fraud Defense?
Securities fraud cases are among the most complex financial crime allegations, and our Cocoa Beach securities fraud lawyers have the experience, resources, and determination to protect your future.
Thorough Understanding of Securities Fraud Defense
We have in-depth knowledge of both Florida securities laws and federal regulations, allowing us to build strong defenses in complex cases.
Experienced Cocoa Beach Securities Fraud Defense Attorneys
Our attorneys have represented clients in high-stakes securities fraud investigations and prosecutions, achieving favorable results in both civil and criminal contexts.
Client-Centered Approach
Our Cocoa Beach securities fraud lawyers prioritize discretion, clear communication, and personalized strategies, understanding the stress and sensitivity of securities fraud allegations.
Protect Your Reputation and Freedom—Call Our Cocoa Beach Securities Fraud Lawyers Today
Securities fraud charges can carry devastating consequences—but being accused is not the same as being guilty. With an experienced defense team by your side, you can fight back and protect your future.
At DeGraff Hicks Law Group, we are committed to defending your rights and reputation at every stage of the process.
Call our Cocoa Beach securities fraud lawyers today at (321) 44-SHARK to schedule a confidential consultation.
