Securities Fraud Attorney Dallas
» Print This PageSecurities Fraud? Former Prosecutor Explains What You’re Facing
Facing Securities Fraud Charges in Dallas? Your Career, Freedom, and Financial Future Are All on the Line.
A securities fraud investigation starts with a subpoena, a frozen account, or a phone call from a federal agent who already knows more about your financial dealings than you’d expect.
By the time you realize you’re a target, the Securities and Exchange Commission, the Department of Justice, or the Texas State Securities Board might have been building a case against you for months.
A federal securities fraud conviction under 18 U.S.C. § 1348 carries up to 25 years in prison and fines reaching $5 million.
Under the Texas Securities Act, penalties can range from 2 to 99 years depending on the amount of money involved.
Beyond prison time, you’re looking at asset forfeiture, restitution orders, industry bars from the Financial Industry Regulatory Authority, and the permanent destruction of your professional reputation.
Business executives, financial advisors, broker-dealers, and institutional investors all face these risks the moment securities fraud investigations begin.
You need a criminal defense lawyer who understands exactly how the government builds securities fraud cases and knows how to dismantle them.
How Michael Lowe Can Help You Fight Securities Fraud Charges
When you’re facing securities fraud allegations, you need a defense attorney with courtroom experience and prosecutorial knowledge to challenge every piece of evidence the government brings against you.
Michael Lowe provides strategic defense for clients facing state and federal securities fraud charges in Dallas and throughout Texas.
Insider Trading Defense
Insider trading charges arise when prosecutors allege that someone used non-public, material information to make investment decisions or tipped others to do the same.
Michael Lowe examines whether the information actually qualifies as material and non-public, and whether prosecutors can prove you acted with the required criminal intent.
Market Manipulation and Pump-and-Dump Schemes
Market manipulation charges, including pump-and-dump schemes, allege that a defendant artificially inflated or deflated stock prices for profit.
He analyzes trading records and communications to determine whether there is evidence of a deliberate scheme versus legitimate market activity.
Ponzi Scheme and Investment Fraud Defense
Investment fraud and Ponzi scheme charges carry some of the longest sentences in federal court because they involve multiple victims and large dollar amounts.
Michael Lowe identifies weaknesses in the prosecution’s case, challenges loss calculations, and protects clients from inflated sentencing enhancements.
Excessive Trading and Account Churning
Excessive trading, or account churning, occurs when a broker or investment advisor allegedly makes trades primarily to generate commissions rather than serve the client’s best interest.
Michael Lowe scrutinizes trading records and account activity to challenge whether the patterns actually constitute criminal conduct.
Misrepresentation and Broker Misconduct
Allegations of providing false information to investors or omitting material facts can lead to criminal charges and administrative proceedings before the Financial Industry Regulatory Authority or the American Arbitration Association.
He defends financial advisors and broker-dealers against misconduct claims, challenging whether statements were actually fraudulent rather than good-faith business communications.
Money Laundering and Related Federal Charges
Securities fraud charges are frequently paired with money laundering, wire fraud, and conspiracy counts to increase pressure on defendants.
Michael Lowe addresses each allegation individually while protecting against the compounding effect of multiple counts in federal court.
A Former Prosecutor Who Knows How the Government Builds Securities Fraud Cases Against You
Federal prosecutors don’t bring securities fraud cases unless they believe they can win, and they spend months or years building their case before you ever see a charge.
Michael Lowe knows this because he spent years as a prosecutor, giving him direct knowledge of the strategies, pressure tactics, and evidence-gathering methods used in complex financial crimes cases.
His Board Certification in Criminal Law by the Texas Board of Legal Specialization since 2007 tells prosecutors that your case will be examined at the highest level and that every financial record and piece of evidence will be challenged.
This means your defense won’t be reactive.
It will be built by someone with decades of criminal law experience who understands exactly where prosecutors overreach and make assumptions that can be dismantled at trial.
Most defense attorneys don’t have that combination of prosecution experience and Board Certification, a distinction held by less than 10% of Texas lawyers.
Call the Securities Fraud Defense Lawyer You Need Today.
Every day without experienced legal representation is a day prosecutors are building their case against you.
Securities fraud charges don’t get easier to defend over time.
Michael Lowe offers a free initial consultation to review your case and explain your options.
Whether you’re under investigation by the SEC, facing charges in federal court, or dealing with FINRA administrative proceedings, the time to act is now.
Call (214) 526-1900 today to schedule your free consultation.
Frequently Asked Questions About Securities Fraud
What is securities fraud under federal law?
Securities fraud is a white collar crime involving deceptive conduct that induces investors to make stock purchase or sale decisions based on false information. It includes insider trading, market manipulation, Ponzi schemes, misrepresentation, and broker misconduct. Under 18 U.S.C. § 1348, penalties reach up to 25 years in prison and fines up to $5 million, along with restitution and asset forfeiture.
What is the difference between state and federal securities fraud charges in Texas?
Federal securities fraud is prosecuted under the Securities Act of 1933 and the Securities Exchange Act of 1934 in federal court. Texas securities fraud falls under the Texas Securities Act and is enforced by the Texas State Securities Board, with state penalties ranging from 2 to 99 years depending on the amount involved. Securities fraud can be prosecuted under both state and federal laws for the same act, which doesn’t violate double jeopardy because the charges arise in different jurisdictions.
How does the SEC investigate securities fraud?
The SEC’s Enforcement Division has broad authority and extensive resources to investigate allegations of securities fraud and take legal action against violators. The Securities and Exchange Commission can file civil actions seeking financial penalties and injunctions, and it can also seek sanctions through administrative proceedings, including cease and desist orders. An SEC investigation can run parallel to a criminal case from the Department of Justice, meaning you could face criminal, regulatory, and civil proceedings at the same time.
How are securities fraud claims resolved through arbitration?
Many broker-investor disputes and securities fraud claims are resolved through FINRA arbitration or through the American Arbitration Association rather than in open court. Arbitration is less formal than a courtroom trial but still involves complex legal rules that require strategic handling. Having an experienced securities fraud lawyer represent you in arbitration proceedings is critical because the process can be lengthy and the outcome can significantly affect your financial condition and career.
Can I lose my securities license if I’m charged with fraud?
Yes. The Financial Industry Regulatory Authority can pursue administrative proceedings that result in fines, suspensions, or permanent industry bars, even before a criminal case is resolved. These proceedings run on a separate track from the criminal courts and can end your career in the securities industry regardless of the criminal outcome. Even mere accusations of securities fraud can severely damage a career and financial condition before any formal charges are filed.
What should I do if I’m under investigation for securities fraud?
The initial response to a securities fraud investigation is critical and requires an organized, strategic approach. You should document everything, including brokerage statements, transaction records, and correspondence with financial advisors or brokerage firms. Contact an experienced Dallas securities fraud lawyer immediately because statutes of limitations may apply and early legal representation can shape the outcome of the investigation before charges are ever filed.
What should I look for when choosing a Dallas securities fraud lawyer?
Look for an attorney with specific experience in securities law, not just general litigation. Certifications from the Texas Board of Legal Specialization in criminal law are an important indicator of expertise, and you should verify that the lawyer has a proven track record handling cases in federal court in the Northern District of Texas. Ask about their experience with FINRA arbitration, SEC enforcement actions, and defense of cases involving insider trading, Ponzi schemes, account churning, money laundering, or broker misconduct.
How much does a Dallas securities fraud lawyer cost?
Legal fees for securities fraud defense vary depending on the complexity of the case and whether it involves state charges, federal charges, or both. Michael Lowe offers a free initial consultation to evaluate your case and discuss fee arrangements.
