Minneapolis Securities Fraud Defense Lawyers

In securities fraud cases, there are two issues for the defense: the intent of the accused and the amount of actual loss. In our practice we are skilled at demonstrating that the defendant was merely following instructions or advice offered to him, and that intent to defraud occurred.

Loss is usually a factor in sentencing. Our firm works to show that the loss claimed by the prosecution is at odds with the actual loss. This approach has led to lighter sentencing where clients have been convicted.

Securities Fraud Defense For Minneapolis, Minnesota

Securities fraud takes many shapes. These are just some of the actions white collar criminal defense attorney Bruce Rivers defends against:

  • Breach of fiduciary duty
  • Deceiving or making misrepresentations to investors
  • Failure to supervise
  • Filing false quarterly or annual reports
  • Improper account of stock options
  • Insider trading
  • Stockbroker fraud
  • Investment advisor misconduct
  • Issuing false press releases
  • Overconcentration
  • Promising implausible ROIs
  • Questionable grants of stock options to executives
  • Questionable timing of executive stock sales
  • Questionable timing of stock option grants
  • Recommending unsuitable investments
  • Stock embezzlement
  • Unauthorized trading
  • Undisclosed conflicts of interest
  • Using offshore accounts to boost reported assets

Rivers Law Firm, P.A., also defends clients against violations of the Sarbanes-Oxley Act, which has increased penalties for those convicted of investment and securities fraud. If you are convicted of securities fraud, you can expect to face up to 25 years in prison and substantial fines, along with severe civil sanctions.

Lawyer Bruce Rivers is experienced in the full range of securities fraud charges and defends clients in federal court. When you need experienced and aggressive representation, call Bruce Rivers at 612-915-0355 to schedule a no-charge, no-obligation case evaluation.