Securities Law

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Breach of Fiduciary Duty: When Does it Become a Crime? Legal Consequences Explained

Fiduciary Duty, White Collar Crime Defense /

A breach of fiduciary duty becomes a crime when the act is beyond mere negligence and involves deceit, collusion, or concealment. This is where a trusted party deliberately violates her responsibilities, misuses entrusted assets, or unfairly favors his interests over the entrusted party. Every decision a fiduciary makes impacts the represented party. A deceitful move […]

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Defense of Individuals Accused of “Pump and Dump” Schemes

Securities Law, White Collar Crime Defense /

Pump and dump schemes are deceptive practices in which individuals or groups artificially inflate the price of a security or cryptocurrency, only to sell their shares at the peak, leaving unsuspecting investors with substantial losses. These fraudulent activities can have devastating effects on investors.  The rise of pump and dump schemes is attributable to several

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Omission of Facts in Securities Regulation

Omission of Facts, Securities Law, White Collar Crime Defense /

Investors often rely on the information provided by financial advisors or brokers before purchasing a stock, security or committing to an investment strategy. After all, these individuals are legally required to disclose all relevant facts about a financial product or opportunity so that clients can make sound investment decisions.  Unfortunately, some brokers intentionally misrepresent or

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