Securities Fraud
A securities fraud charge can threaten your career, your assets and your freedom. Federal agencies bring major resources to these cases. Mr. Handzlik founded Jan Lawrence Handzlik, APC, in 2014 to defend executives, companies and wealthy clients facing securities fraud charges nationwide.
What Is Securities Fraud? Elements, Agencies And How Cases Start.
Securities fraud involves lies or tricks in buying or selling stocks and other investments. Violations of securities law and the Securities Exchange Act take many forms. Common types of securities fraud include:
- Insider trading: Trading on secret information or breaking fiduciary duty
- Market manipulation: Fake trades designed to move prices
- Accounting fraud: Lying about revenue or hiding debts
- Offering fraud: False claims in stock sales
- Investment-adviser fraud: Schemes that cheat clients
- Pump-and-dump schemes: Inflating stock prices before selling
- Crypto schemes: Fraud involving digital assets
The SEC, DOJ, U.S. Attorney’s Offices, FINRA, CFTC and state attorneys general investigate federal securities cases. Many cases involve parallel civil and criminal actions.
The penalties are no joke. Prosecutors seek disgorgement of profits, asset forfeiture and prison time. Licensing boards may bar you from finance. Noncitizens face immigration problems. Reputation damage can end careers before conviction.
Jan has built authority on complex financial crime. His practice covers securities fraud, investment and bank fraud, money laundering, cyber-enabled investment schemes, and currency and crypto trading.
Defense Roadmap: From Investigation To Trial (And Sentencing)
When the SEC or DOJ contacts you, your response matters. Early work with counsel, document holds and message control can shape your case. Your defense involves key decisions:
- Responding to subpoenas
- Wells submissions
- Negotiation
- Parallel proceedings
- Expert use
If prosecutors file charges, motions can narrow charges or block evidence. Trial prep shows you will fight. Trial readiness can even drive better deals. After conviction, sentencing work can cut your exposure.
Jan has tried more than 100 jury trials to reach a verdict. The ability to try complex federal securities cases improves results at every stage.
High-Stakes Matters Mr. Handzlik Handles
Jan represents executives, companies and high-asset clients in securities fraud matters. These include:
- Insider trading
- Market manipulation
- Accounting fraud
- Investment-adviser cases
- Crypto, digital assets and currency and FX cases
- Cross-border cases such as FCPA and UK Bribery Act issues
Most of Jan’s practice focuses on white collar defense. He handles cases across securities, bank, tax, bribery, cyber, and currency and crypto matters. Based in Los Angeles, California, Jan serves clients nationwide.
*AV®, AV Preeminent®, Martindale-Hubbell Distinguished and Martindale-Hubbell Notable are certification marks used under license in accordance with the Martindale-Hubbell certification procedures, standards and policies. Martindale-Hubbell® is the facilitator of a peer-review rating process. Ratings reflect the anonymous opinions of members of the bar and the judiciary. Martindale-Hubbell® Peer Review Ratings™ fall into two categories – legal ability and general ethical standards.