SEC Defense Attorney, Fraud and Criminal Defense Attorneys
Washington DC. SEC Criminal Defense Attorneys for False Claims Act Cases: Protecting Your Rights and Your Future
Dealing with the Securities and Exchange Commission (SEC) can be a stressful, life-altering experience. Whether you’re facing an SEC subpoena, a fraud investigation, or False Claims Act allegations, having the right legal team in your corner is crucial.
At Watson & Associates LLC, our experienced SEC defense attorneys are committed to helping you navigate the complex world of SEC enforcement actions and protecting your rights every step of the way.
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Help With SEC Subpoenas and Investigations
The SEC is tasked with protecting investors and maintaining fair, orderly, and efficient markets. If the agency believes there has been a violation of federal securities laws, it may issue a subpoena to compel you to provide documents, testimony, or other evidence.
What Does an SEC Subpoena Mean?
Receiving an SEC subpoena typically means the agency is investigating potential securities law violations. This does not necessarily mean you’ve done anything wrong or committed a crime, but it does require immediate and careful action.
Once you produce subpoena documents to the SEC, it can also request your testimony. You will be asked a series of questions under oath about the underlying reason for the investigation and the provided documents. You must be prepared to provide SEC testimony. Watson’s SEC defense lawyers can help in this regard. In SEC testimony, your position on material facts will be scrutinized, and your credibility will be judged. Our SEC defense lawyers will ensure that you understand, and are prepared to defend in a criminal case.
Types of SEC Investigations
- Informal Investigations: Conducted privately and often involve voluntary document requests.
- Formal Investigations: These grant the SEC authority to issue subpoenas and compel sworn testimony.
After completion of the SEC investigation, and after the government has reviewed all relevant documents produced in the subpoean, the SEC will either drop its investigation or, if it believes that you violated the Federal Securities Laws, it will issue you a Wells Notification – a formal, written notice that it intends to charge you.
What to Do if You Receive an SEC Subpoena?
- Do Not Ignore It: Failing to respond can result in legal consequences.
- Hire an Experienced SEC Fraud Lawyer: Legal representation is critical to ensure compliance while protecting your rights.
- Preserve Evidence: Avoid any actions that could be viewed as obstruction, such as deleting emails or destroying documents.
Our team at Watson & Associates LLC aggressively helps clients across the United States with SEC subpoenas and the law firm guides clients through the investigation process.
Types of Cases the SEC Handles
The SEC investigates a wide variety of securities law violations, often involving complex financial transactions and serious allegations. This includes:
1. Insider Trading: Using non-public information to buy or sell securities is a significant focus for the SEC. Insider trading cases can involve criminal penalties, including prison time.
2. Market Manipulation: Schemes to artificially inflate or deflate stock prices can result in severe consequences. Examples include “pump and dump” schemes or creating false market activity.
3. Financial Fraud and Misstatements: The SEC investigates companies and executives accused of falsifying financial statements to mislead investors.
4. Investment Advisor Fraud: Allegations of mismanaging client funds, charging improper fees, or failing to disclose conflicts of interest are closely scrutinized.
5. Whistleblower Retaliation: The SEC enforces protections for whistleblowers who report violations of securities laws.
6. False Claims Act Violations: While the False Claims Act primarily targets government contractors, it can overlap with SEC investigations when securities fraud involves government programs.
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How Waston & Associates LLC SEC Defense Attorneys Can Help
1. Immediate Assessment and Strategy Development: When you’re under SEC scrutiny, time is of the essence. Our attorneys will quickly assess the situation, identify potential risks, and develop a customized legal strategy to protect you.
2. Help Responding to SEC Subpoenas: Our team ensures that all document production and testimony comply with legal requirements while protecting your rights.
3. Defending Against SEC Fraud Allegations: The Watson law firm vigorously defends individuals and companies accused of securities fraud, leveraging our deep understanding of securities laws to challenge the SEC’s case.
4. Negotiating Settlements: If a settlement is in your best interest, we’ll work to minimize financial penalties and avoid criminal charges.
5. Trial Representation: Should your case go to court, you can count on our team’s extensive litigation experience to fight for the best possible outcome.
6. Mitigating False Claims Act Liability: We represent clients accused of making false statements or fraudulent claims related to securities transactions involving government programs.
Lead SEC counsel : Wise D Allen
Common Questions About SEC Investigations
Can I Avoid Criminal Charges in an SEC Investigation?
Not all SEC investigations result in criminal charges. The SEC primarily enforces civil penalties, but serious cases may be referred to the Department of Justice (DOJ) for criminal prosecution. Hiring an experienced SEC defense attorney can significantly reduce your risk.
What Penalties Could I Face in an SEC Fraud Case?
Penalties can include monetary fines, disgorgement of profits, suspension or revocation of professional licenses, and even prison time in criminal cases.
Why Should I Hire an SEC Fraud Lawyer?
An experienced attorney can help you understand the allegations, navigate the legal process, and build a strong defense. Attempting to handle an SEC investigation without legal representation can lead to severe consequences.
Why Choose Watson & Associates LLC?
1. Aggressive Representation: We aggressively defend clients in high-stakes SEC cases across the United States.
2. Tailored Legal Strategies: Every case is different, and we provide solutions tailored to your unique situation.
3. Comprehensive Support: From responding to subpoenas to defending against False Claims Act allegations, we handle every aspect of your defense.
4. Client-Focused Approach: Our law firm prioritizes open communication and provides clear guidance throughout your case.
Take Control of Your Legal Defense Today
If you’re facing an SEC subpoena, investigation, or False Claims Act allegations, don’t wait. Time is critical, and your next steps could significantly impact the outcome of your case.
Call Watson & Associates LLC today at 1.866.601.5518 or contact us online to schedule a confidential consultation. Our experienced SEC fraud lawyers are ready to protect your rights and your future.