Insightful Securities Fraud Defense Representation

Securities fraud charges are extremely serious, due to the fact that these cases may be tried in Federal court and offenders face a wide range of punishments. They are often complex and require the attention of a savvy and experienced attorney to defend. If you are an individual or business and need aggressive defense representation in a securities fraud case, turn to us at Sloan P. Ellis Law Firm, LLC, in Greenville, South Carolina.

Attorney Sloan P. Ellis spent years working on investigations into various types of fraud as a prosecutor. Now defending securities fraud and other white collar crime cases, Sloan works closely with clients statewide to see that cases are handled strategically, with their futures in mind. He is able to draw from his experience when negotiating with prosecutors and preparing numerous complex cases for trial.

Complex Securities Fraud Cases

There are many complicated issues involved in securities fraud cases. Our firm has a thorough understanding of the types of issues below and can face them head on:

  • Broker misconduct and fraud
  • Breach of fiduciary duty
  • Insider trading
  • Churning
  • Excessive trading
  • Failure to supervise
  • Omissions and misrepresentation
  • Overconcentration of assets
  • Unauthorized trading
  • Investment fraud
  • SEC Rule 10b-5 violations

Concerns For Businesses

State and federal law enforcement agencies often pursue criminal penalties against businesses whose employees violate the law. If you suspect securities fraud at your company, it is important to contact a lawyer who can help investigate as soon as possible. If you identify the fraud early and work with investigators to hold the responsible parties accountable, you may avoid fines or penalties to your business.

Let Us Handle Your Case

We have the knowledge and sophistication needed to handle complex securities fraud cases. To consult with a securities fraud lawyer about your specific case and concerns, schedule a free initial consultation. Use our online form to contact us or call our office at 864-404-3466.