Charlotte Securities Fraud Attorney
North Carolina Lawyers Defending Accusations Of Securities Fraud
Being a stockbroker or investment coordinator carries potential rewards along with potential risks. You are not only subject to changes in the market but also may be named in lawsuits brought about by former clients, potential investors, or the government. Charges related to securities or investment fraud can destroy a promising career as well as your personal reputation.
At The Law Office of Kevin L. Barnett, in Charlotte, North Carolina, we represent stockbrokers, entrepreneurs, and others facing accusations of securities fraud. Our criminal defense attorneys have the knowledge and resources necessary to protect your reputation, career, and freedom.
If you have discovered you are under investigation for securities fraud or have been formally charged, contact a lawyer at The Law Office of Kevin L. Barnett as quickly as possible. The sooner we become involved the sooner we can begin protecting your rights and liberties.
Securities Fraud And Investment Scams Defense
Our firm has successfully represented a variety of individuals facing accusations of securities fraud involving:
- Insider trading: This is the trading of stock or other securities by individuals with possible access to nonpublic information about the company or investment.
- Ponzi schemes: This involves a fraudulent investment operation that pays investors from their own money or that of other investors rather than from profits earned from the supposed investment.
- Churning: This occurs when a stockbroker sells or purchases securities to gain excess commission for their personal use.
- Unsuitability: A broker places a client's funds into investments which are riskier than the client wants to take part in. Unsuitability may also involve withholding information from the client regarding the high risks involved with a particular investment.
- Overconcentration: This occurs when a broker places a majority of a client's funds in one investment, rather than placing the funds in multiple sectors.
- Unauthorized trades: These occur when a broker does not obtain permission from a client before trading the client's funds.