Houston Texas Business Lawyer

Securities Fraud Defense

Are You Targeted by the Securities and Exchange Commission? Contact Brewer & Pritchard

At Brewer & Pritchard, P.C., we defend people who get subpoenaed by the Securities and Exchange Commission. If you received a letter from the SEC or you are facing a securities enforcement action, contact us immediately to find out how we can help. You need a seasoned legal professional who knows how to cut through the confusion and provide a rigorous defense. While we are based in Houston, TX, we handle cases throughout the United States.

Did You Receive a Letter from the SEC? If Yes, Call or Fill Out Consultation Form on This Page and Click Submit.

Below is an actual subpoena from the SEC. This federal agency is tasked with enforcing the federal securities laws, among other duties. If the SEC suspects illegal activity, the government will take aggressive action. As part of their intimidation tactics, they might order someone to appear in an office that may be hundreds or even thousands of miles away.

We received this letter below from the SEC, ordering our client who lives in Houston to appear at the agency's Denver office.

Actual Letter and Subpoena from the SEC

Brewer SEC Complaint Pg.1

Click on the graphic for a downloadable PDF.

Without question, receiving a letter or subpoena from the federal U.S. government is an event that will make your heart race. It's understandable that you might not know what to do or where to start.

If you or your company has come under the scrutiny of the SEC, you will need to take aggressive action as soon as possible. Brewer & Pritchard represents traders and investors who have attracted the attention of the SEC.

Actual complaint filed by SEC against defendants accused in an alleged pump-and-dump scheme.


FAQs for Those Charged with Securities Fraud

Q: Who is charged with Securities Fraud?

Here are just a few SEC targets:

  • Investment brokers
  • Stock traders/investors
  • Corporate and business executives
  • Organizers of investment clubs
  • Publicly traded companies that falsify quarterly or annual statements

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Q: What are common violations that might lead to an investigation or charges?

  • Insider trading
  • Penny stock pump-and-dump schemes
  • Manipulation of microcap market to make quick profits
  • Misrepresentation to investors
  • Providing false information or omitting important information about securities.
  • Manipulation of the securities' market prices
  • Theft of funds or securities belonging to a customer
  • A broker's violation of his or her responsibility to treat customers fairly
  • The sale of unregistered securities

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Q: How does an SEC investigation work?

The SEC has an Enforcement Division that recommends investigations to be brought in Federal Court or before an administrative law judge. This Enforcement Division compiles evidence of alleged violations.

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Q: How does the SEC find out about alleged illegal activity?

The Enforcement Division might receive a tip or complaint from an investor. It also monitors the market for irregularities, or it might discover alleged violations through media reports. The Division may use any number of sources that might prompt an investigation.

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Q: Will the SEC investigation end up in court?

The SEC may bring a case to a U.S. District Court to seek a sanction or remedy. But the SEC also may decide to go through an administrative proceeding. Unlike a civil court action, an administrative proceeding is heard by an administrative law judge (someone who is independent of the SEC). The ALJ will hear and consider evidence presented by the staff of the Enforcement Division. You will have a chance to present evidence in your defense.

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Q: What are the penalties if I am convicted?

You may have to pay a fine or be asked to return the profits (called disgorgement). You may be ordered to never serve as a corporate officer or director. Other possible sanctions include suspension or revocation of a broker-dealer and investment adviser registration.

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Q: Do I need an attorney if accused of securities fraud?

Yes. With so much at stake, you will need an experienced lawyer who is well-versed federal laws and who thoroughly understands the SEC investigations. An attorney with more than 34 years' experience, Mark Brewer has tried cases in federal and state courts and has resolved complicated legal problems for hundreds of clients. While handling a case involving the SEC can be tricky, Brewer knows exactly what is required to prepare a strong defense. He knows how to gather evidence, track down witnesses, reach out to experts who will testify on your behalf and get the results clients need to move on with their lives.

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Q: How do I reach Brewer & Pritchard?

Call today at 800-445-8710 or tell us about your circumstances by completing the consultation form on this page.

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