Market Manipulation, such as artificially inflating the price of stocks so that alleged co-conspirators can sell their shares at a profit (also known as “pump and dump” schemes).

High Yield Investment Fraud, such as offering low or no risk investments that guarantee unusually high rates of return.

This type of fraud includes Ponzi Schemes (where there is no real investment and payments are paid to early investors to help make it look real) and Pyramid Schemes (where victims are induced to recruit other potential victims through the payment of recruitment commissions).

Advance-Fee Schemes, where investors are persuaded to advance relatively small sums of money in order to be able to participate in a lucrative investment opportunity.

Hedge Fund Fraud, where the government alleges that the fund’s assets are overstated, and where there is the misappropriation of assets, miscalculation of fund manager performance fees, trading on insider information, market timing, or late trading.

Commodities Fraud, including investments in precious metals or commodities sold based on fraudulent sales pitches claiming high rates of return.

Foreign Exchange Fraud, including when foreign currency trading firms use false claims to induce investment in the spot foreign currency market.

Broker Embezzlement, such as when a broker is accused of forging investor checks or transferring funds or securities without authorization.

Late-Day Trading, which is the purchase, sale, or client allocation of securities after market close.

A scheme where it is alleged that the broker kept profitable trades for himself and to the detriment of his clients. 

Hacking to obtain material nonpublic information, misconduct perpetrated using the dark web, intrusions into retail brokerage accounts, and cyber threats to trading platforms or other critical market infrastructure. 

Violations involving distributed ledger technology (blockchain) and initial coin offerings (ICO).

In early November 2017, a day-trader was indicted in federal court in the Eastern District of New York (EDNY) for allegedly committing traditional securities fraud using the internet.

According to the FBI:

“This case involves a 21st Century cyber boiler room, except the buyers were not even aware they were purchasing shares of stock,” stated FBI Assistant Director-in-Charge Sweeney.

“As alleged, the scheme involved hacking into victims’ online securities brokerage accounts to make unauthorized trades that would benefit the defendant through the use of short sales. The scheme ultimately led to a loss of over $2 million to victim accounts. The FBI will continue to investigate and bring to justice those who commit securities fraud in an effort to ensure the fairness and integrity of our financial markets.”

Our firm has the unique combination of traditional trial experience and technological competency to successfully defend individuals in high- stakes criminal litigation and government investigations.

Our fundamental approach to every case is a relentless focus on the minute details of each case and a meticulously planned strategy to work towards achieving the best possible outcome for our clients.

We bring a trial mentality to every case and every investigation. This mindset allows us to provide our clients with a rigorous, disciplined defense strategy at every stage of their cases.

Whether it is an investigation by the SEC, FINRA, the Office of the Comptroller of Currency (OCC), the Department of Justice (DOJ), the United States Attorneys’ Offices, Homeland Security, the DEA, FBI, ATF, IRS, DOD, or ICE, we understand that our clients are facing accusations that seem vague, complicated, and at times, intimidating.

We at Tim Anderson Law will help you understand the government’s position while identifying methods to strengthen your defense.

In the end, our strategy is simple: we put our clients first and work doggedly on their behalf. Of course, no attorney can guarantee a certain result, but it has been our experience that our work ethic, skill, compassion, and diligence all contribute to maximize our clients’ chances of receiving very favorable outcomes.

The sooner we have an opportunity to discuss your rights, potential defenses and case strategies, the better the chances of a great outcome, including the possibility that you are never charged.