Brewer, Pritchard & Buckley, P.C.
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November 2018 Archives

Digital currency businessman arrested for securities fraud

Business opportunities are difficult for many Texans to turn away from and part of that is the securities industry. With new products and advancements seemingly coming about every day, there is always a chance and a desire to be involved in the next big thing or a lucrative start-up. However, what many do not realize is that the difficult nature of the securities business can lead to violating - wittingly or not - the federal securities laws. When a person is charged with securities fraud, a mistake they frequently make is thinking that the penalties will not be severe or it is treated less seriously than crimes involving overt theft or violence. When charged with securities offenses, having legal help is imperative to formulate a defense.

SEC compliance and enforcement requires legal advice

In Texas, when dealing with issues that pertain to the Securities and Exchange Commission as a part of doing business, making a legal mistake can be extensively damaging to the business and individuals who are working in the business. It can also negatively impact everyday investors and those who work as go-betweens and make their money in that capacity. The term "SEC compliance and enforcement" might sound like it encompasses a wide array of issues. That is because it does. Any violation of securities law can cause innumerable problems. When there is an allegation of wrongdoing or concern that the law could have been violated, legal help is a must.

Affirmative defense for an insider trading investigation

Texas businesses and investors are always seeking an advantage to make wise decisions. Getting information - or "tips" as it is often called - can be alluring and seem harmless. However, when the Securities and Exchange Commission believes wrongdoing has taken place and there was inside information shared illegally, it will not hesitate to try and pursue and prosecute those who are alleged to have taken part. Not all cases will result in a person being charged and convicted. There are defenses against these allegations that should be known.

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The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form.

Important notice: Thomas C. Pritchard is a retired member of Brewer & Pritchard, P.C. Mr. Pritchard's address is 800 Bering Drive, Suite 201, Houston, Texas 77057. Brewer & Pritchard, P.C and Thomas C. Pritchard have shared the cost of this advertisement.

Referrals: Please note that as a general matter, Brewer & Pritchard, P.C. does not handle non-litigation matters. Brewer & Pritchard, P.C. refers all its non-litigation or "transactional" matters to Thomas C. Pritchard, who is a retired member of the firm. Thomas C. Pritchard does not handle any litigation cases and as a general matter, he refers all litigation cases to Brewer & Pritchard, P.C. Brewer & Pritchard, P.C. and Thomas C. Pritchard have no other relationship to each other and do not share fees if or when a case or matter is referred by one to the other.

Not board certified: None of Brewer & Pritchard, P.C., J. Mark Brewer nor Thomas C. Pritchard is certified by the Texas Board of Legal Specialization.


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770 South Post Oak Lane
Houston, TX 77056

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