Hollywood Securities Fraud Lawyer / Attorney

Securities fraud is the transaction in securities based on the knowing falsification or lack of disclosure of pertinent facts about the securities transacted. This type of white collar crime includes insider trading, price manipulation, accounting irregularities, and fraudulent sales practices. The federal government can charge this type of crime under various statutes such as securities fraud, wire fraud, and/or mail fraud.

The Securities and Exchange Commission investigates and brings civil enforcement actions involving allegations of securities fraud. In some instances, the SEC works closely with the Department of Justice. In other cases the SEC investigates independently. Both offices can bring actions. The Department of Justice charges criminal conduct while the SEC brings civil enforcement actions.
States also have criminal and civil securities enforcement provisions. The aggressiveness with which the states enforce their securities provisions varies greatly.

Securities fraud is the transaction in securities based on the knowing falsification or lack of disclosure of pertinent facts about the securities transacted. This type of fraud includes insider trading, price manipulation, accounting irregularities, and fraudulent sales practices. The federal government can charge this type of crime under various statutes such as securities fraud, wire fraud, and/or mail fraud.

The Securities and Exchange Commission investigates and brings civil enforcement actions involving allegations of securities fraud. In some instances, the SEC works closely with the Department of Justice. In other cases the SEC investigates independently. Both offices can bring actions. The Department of Justice charges criminal conduct while the SEC brings civil enforcement actions.
States also have criminal and civil securities enforcement provisions. The aggressiveness with which the states enforce their securities provisions varies greatly.

Mr. Serafini specialized in this area of fraud while serving with the United States Securities and Exchange Commission.

Richard Serafini Can Assist with Securities Fraud Defense in Hollywood, FL

Securities defense and SEC investigations are one of Mr. Serafini’s areas of focus. He is an experienced criminal defense attorney with over 40 years of practice. He has earned several accolades in the field, including the title “Sherlock Holmes of White-Collar Criminal Law” by Law.com

Mr. Serafini is a former federal prosecutor and spent ten years as a senior prosecutor at the United States Department of Justice. He was a fraud and organized crime prosecutor, serving in both the Fraud Section and as a Strike Force attorney in the Organized Crime and Racketeering Section of Main Justice in Washington, DC. In these positions, Mr. Serafini represented the U.S. in the largest and most complex cases in federal courts nationwide. Before joining the DOJ, he worked as a supervisor in the Enforcement Division of the U.S. Securities and Exchange Commission in its New York office.

His experience as a white-collar crime prosecutor and a criminal defense lawyer gives him a unique insight into how government investigations work. Mr. Serafini is well-versed in civil and criminal investigations and prosecutions, including how cases are built and how arguments are prepared. He utilizes this knowledge to craft the most appropriate criminal defense for each and every case to achieve the best possible outcome. 

Our law firm currently offers a range of legal services to the following cities and states: Miami, Fort Lauderdale, Boca Raton, West Palm Beach, Florida, Pennsylvania, and New York. 

Contact us at (754) 223-4718 for a free consultation.