Intent And Actual Losses

In securities fraud cases, there are two issues: what was the intent of the accused and the amount of the actual loss. These cases are complicated and require an experienced criminal defense attorney with a knowledge of finance.

At Rivers Law Firm, P.A., we are skilled at demonstrating that the defendant was merely following instructions or advice offered to him. The amount of a 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.

Minnesota Securities Fraud Defense

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

  • Breaching a fiduciary duty
  • Failure to supervise
  • Deceiving or making misrepresentations to investors
  • Filing false quarterly and annual reports issuing false press releases
  • Improper account of stock options
  • Insider trading
  • Stockbroker fraud and investment advisor misconduct
  • Overconcentration
  • Promising implausible ROIs
  • Questionable grants of stock options to executives, timing of stock option grants and executive stock sales
  • 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.

Defense 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.