Nationwide Securities Fraud Defense Practice
Being a corporation, professional or executive involved with securities has become a risky business. Such individuals are not only subject to the whims of the market and a complicated regulatory framework, but they are also subject to frequent lawsuits by clients, investors, the government, or others. Such charges can ruin a company or career, and only an experienced securities fraud lawyer should be trusted with the defense.
If you are being investigated, have been charged with securities fraud criminally, or face suit by the SEC, shareholders or clients, call Anderson Terpening PLLC. Our North Carolina-based legal team is ready to represent individual, business and corporate clients anywhere in the nation. One of our partners, William R. Terpening, has devoted his entire career to defending criminal and civil securities cases of all varieties and all sizes. He is a certified FINRA arbitrator, and has defended securities fraud class actions; numerous SEC, CFTC, and North Carolina Securities Division investigations and prosecutions; and DOJ, FBI, United States Attorney securities criminal investigations and prosecution. The firm has taken some of the largest securities fraud cases of the recent era to trial. When necessary, we have done so on relatively small budgets compared with the rates of our colleagues at larger firms, and we have mastered and tried difficult cases quickly when we have been called upon to replace less experienced counsel at the eleventh hour. Our intensity and work ethic allow us to quickly climb into difficult, multifaceted cases and present the best defense possible. When you trust your securities fraud matter to an attorney, be sure to ask about his experience with the SEC, with the DOJ and local U.S. Attorney's Office. Ask how often they are in federal court and in trial. Ask if the specific attorney has sufficient experience to defend the securities fraud matter on both the criminal side and, if necessary, the civil side. Some attorneys have experience with some of these securities litigation players and events, few have regular experience with all of them.
Securities fraud actions can hit you from many directions at the same time. Your initial dealings with the SEC or efforts to settle a private civil shareholder suit may be followed, months later, by a criminal securities fraud indictment. You need lawyers who can forecast and address each of these threats for a comprehensive solution. Obtain counsel before you talk with the authorities, and bear in mind that even if you regard yourself as a "good actor," minor misunderstandings during early discussions with authorities can lead to problems later. You need a guide from the onset.
We handle securities fraud criminal defense in cases involving, among other issues:
- Breach of fiduciary duty.
- Broker-dealer misconduct and financial planner misconduct.
- Ponzi schemes, pyramid schemes.
- Suitability, churning, and other common broker- dealer issues.
- Allegations of misrepresentation to investors.
- Insider trading and tipping.
- SEC investigations, FINRA investigations, FBI investigations, Justice Department investigations, State Securities Division investigations.
- Shareholder/ investor actions.
- Subpoena and search warrant response.
When the Stakes Are High You Need Proven Experience You Can Trust.
Contact us online or call 704-372-7370 for experienced North Carolina Ponzi scheme and securities fraud defense lawyers.
After Hours 704-787-3091
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Martindale-Hubbell is the facilitator of a peer review rating process. Ratings reflect the confidential opinions of members of the Bar and the judiciary. Martindale-Hubbell ratings fall into two categories - legal ability and general ethical standards.
