New York Securities Fraud Lawyers

Fighting for the Accused in Westchester County, NYC, and throughout New York

Securities fraud is an umbrella term for a wide range of conduct that affects the financial markets and buyers and/or sellers of securities and commodities. Because of the impact on the economy and business and personal finances, the FBI thoroughly investigates these matters. A person found guilty of manipulating the markets in some way may be fined and/or sentenced to a maximum of 25 years in prison. If you've been accused of a securities fraud offense, it's imperative to retain the services of a New York securities fraud lawyer who understands how the federal justice system works and knows how to fight these types of charges.

At Portale Randazzo LLP, we have a proven track record and a high success rate. Our New York criminal defense attorneys recognize the amount of time and effort the federal government expends when investigating and prosecuting securities fraud cases. That is why we leverage our knowledge, skills, and resources to challenge accusations. When you choose us for defense in White Plains, Westchester County and throughout New York, you will have a zealous advocate on your side, ready to do what it takes for you. We will comb through every detail of your case and develop a legal strategy tailored for your specific situation to work toward an optimal result on your behalf.

Learn what our 100+ years of combined experience can do for you by calling us at (914) 292-3557 or contacting us online today.

Elements of Securities Fraud

As noted above, various types of conduct involving the financial markets can be considered securities fraud. And while the exact behaviors of an offense may vary, the underlying elements are similar.

Securities fraud crimes involve:

  • A scheme or artifice to defraud, typically a plan to deceive investors
  • The use of false statements or omissions of material information to further the scheme
  • An act that affects/manipulates the purchase or sale of a security or commodity

Types of Securities Fraud

Several types of illegal activities may be pursued as securities fraud offenses.

Some of the most common include:

  • Insider trading: This is when a person having a fiduciary duty to or relationship of trust with a company unlawfully disseminates material information about the business that was not publicly available. Such disclosure may affect investors' buying and selling decisions.
  • Ponzi and pyramid schemes: These are complex activities in which new investors pay high rates that, in turn, are used to payout earlier investors. The practice makes it appear as if profits are being made when, in fact, such is not happening.
  • High yield investment fraud: Often described as to-good-to-be-true investments, these schemes promise high returns with little or no risk. Potential investors usually receive unsolicited phone calls, emails, or other communications about the opportunity.
  • Advance fee schemes: This involves individuals asking potential investors to pay an upfront fee to process transactions. They promise that the investor will see larger gains after they provide the required amount. However, the returns never materialize because the transaction was not legitimate, and often the person initiating the deal vanishes.

Regardless of the type of conduct you’ve been accused of committing, our team can skillfully guide you through your case. We have handled complex criminal matters and can explain the process. We’ll evaluate your case to determine what defenses may be available to you.

Securities and Commodities Fraud Lawyers

Securities fraud accusations arise from an alleged fraud or misrepresentation scheme, which often involve mounds of paperwork, financial records, and transaction receipts. This means that any inadvertent omission or accidental entry may trigger a federal investigation, and innocent people may find themselves charged with crimes. At Portale Randazzo LLP, our New York securities and commodities fraud lawyers understand that allegations may be made based on mistakes of facts or other errors. That is why we diligently go through every document, report, and relevant records to uncover the truth and build a solid defense.

If you've been accused of a securities fraud crime, schedule a consultation with a member of our team by calling (914) 292-3557 or submitting an online contact form. We'll listen to your side of the story and discuss your legal options.

Client Testimonials

There for Our Clients Every Step of The Way
  • I would recommend them to anyone!

    “I am rarely impressed with "most" law firms. I am extremely impressed with Portale Randozza, LLP. Rich Portale and Kenny Calvey handled and resolved my case expeditiously and professionally every step ...”

    - Katherine
  • A million thank you's could NEVER be enough

    “I had met Richard 16 years ago while he was visiting another client never realizing that one day I would have to actually put his number to use and have to hire him for my children. He has worked with ...”

    - Anonymous
  • "The best of the best"

    “Richard and Hannah fought for my son who was charged with a crime he did not commit. They believed in my son and obtained the necessary evidence to make a motion to dismiss the case. They filed the ...”

    - Ted E. N.
  • He took the time to explain how the legal system works and its process, which helped us understand what was going on.

    “I would highly recommend Richard Portale of the law firm – Portale Randazzo for any criminal or legal issues you may have. He was very knowledgeable and informative. He took the time to explain how ...”

    - FC
  • Richard became more than our attorney, Richard is a family friend

    “When my teen son was arrested for attempted murder and possession of a firearm, I felt our family was faced with the deepest and most painful experience life could offer. I felt hopeless and powerless ...”

    - Anonymous

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