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Federal Financial Crimes Involving the SEC

The Securities and Exchange Commission(SEC) is an independent government agency that has three main missions. It oversees and enforces efficient markets, protects investors, and facilitates capital formation.

If you have been accused of any Michigan federal financial crimes involving the SEC, contact a Michigan federal criminal lawyer immediately. Such offenses are approached aggressively by the government. An experienced financial crimes lawyer could help minimize or drop the charges that have been brought against you.

Differentiating Between the SEC and FBI

The Federal Bureau of Investigation (FBI) investigations focuses more on market manipulation, cyber intrusion, and Ponzi schemes. A Ponzi scheme is a form of fraud whereby an entity uses funds from new investors to pay back old investors. They investigate the investment of funds in suspect operations or the siphoning of funds for other purposes.

Michigan federal financial crimes involving the SEC focus primarily on stocks, bonds, and trades. Their role is to ensure that companies offering stocks are truthful about their business, and the risks of investing in their business. They also want to ensure that those who sell and trade stocks treat investors fairly.

Insider Trading

The SEC prohibits companies from engaging in insider trading. Insider trading is when an individual uses confidential information to make make stock trades or sales for their own benefit. Most Michigan federal financial crimes involving the SEC, are related to insider trading.

What is the Regulation Fair Disclosure?

The Regulation of Fair Disclosure is a law which was created to combat insider trading. It requires all publicly-traded companies to disclose the same material information to all investors at the same time.

The Importance of Transparency

Transparency is the extent that investors have access to information of a company. Transparency information includes sharing documents such as financial reports. Nowadays, with the increase in the use of the internet, it is expected that companies make their information readily available.

In 2013, the SEC decided companies may use social media to disseminate their information if certain requirements are met. The SEC informed companies that they can go on the Internet and reveal this information and absolve themselves from the argument that they are not being fully transparent. Any possibility of insider trading is wiped away when a company is completely transparent with all of its information.

What Happens if a Company Does Not Conceal Information?

Being involved in financial crimes involving the SEC can be easily avoided, but not all companies wish to disclose their information publicly. Any time a company engages in an activity to conceal potentially damaging information from portions of the public, they are subject to closer scrutiny for matters related to insider trading.

Disclosing Detrimental Information

Company owners who want to engage in public traded companies are required to comply with the Regulation Fair Disclosure rules. However, in some instances, making company information public is detrimental because it illustrates that the company is not doing well. If this is the case, an individual should talk to an attorney who could advise them on how to move forward. Alternatively, if an individual decides their company is ready to go public, a lawyer could tell them how to reveal potentially-damaging material. If an individual wants to know more about Michigan federal financial crimes involving the SEC, they should speak with an attorney that could help

Call Today! FREE Consultation Lawyer and Receive Immediate Attention for Your Criminal Law Case Patrick T. Barone is a Michigan Super Lawyer, who has maintained continuous top attorney ratings since 2007. In addition, the Michigan native is the author of multiple books on OWI, DUI and criminal law. The OUIL attorney near me has lectured at over 80 legal seminars all over America. He leads Barone Defense Firm in providing aggressive legal warriors for each client's criminal case.

Contact us 24 hours a day at our law firm’s easy to remember toll-free number, 1-877-ALL-MICH or 877-255-6424, for a free criminal case review. The Michigan attorneys near me at Barone Defense Firm travel the entire Great Lakes State, to help citizens in legal trouble in Michigan for alleged criminal law violations.

For your FREE lawyer consultation, call today to learn how to protect yourself from a possible unwarranted conviction. What do you have to lose, when the free legal advice with our litigation team’s criminal lawyers near me can answer many tough questions?

Client Reviews
Patrick Barone is the ONLY choice for DUI defense. He was realistic from the start and made it a point to look at my case before taking my money. As a business owner, when I think of attorneys, I think of the "shark infested waters. Patrick is a shark alright, but his prey is not the client; it's justice for his client. Ten stars Patrick!! Chris F.
Attorney Patrick Barone was very helpful and helped me understand the charge and sentence absolutely clearly. He also guided me through step by step helping me form a statement. His instructions were clear and detailed. It was obvious he cared about me understanding every important detail within my case. I would absolutely recommend this defense firm to anyone in need. Aaron B.
The Barone Defense Firm is the firm I recommend. They are truly concerned about the person, not just the legal issue, but the person as well. They are the most knowledgeable defense firm that I am aware of, having actually written the book on DWI Defense. If you are faced with a DWI you will not find a more professional and skilled law firm. But, most importantly, they care about how the accused individual recovers his or her life when the case is complete. Very remarkable group of lawyers. William H.