Boston · Federal criminal defense
Securities-fraud and insider-trading proceedings
General information about federal securities-fraud and insider-trading investigations, civil enforcement, and criminal proceedings.
Overview
Governing materials
The federal securities laws include the Securities Act of 1933, the Securities Exchange Act of 1934, and later statutes and amendments administered by the Securities and Exchange Commission. U.S. Securities and Exchange Commission: Securities Laws.
The SEC conducts civil investigations and enforcement proceedings. Federal criminal prosecutions are brought by the Department of Justice under applicable criminal statutes. SEC Enforcement and Litigation and U.S. Department of Justice, Fraud Section.
Court and agency record
Common record categories
- SEC, FINRA, grand-jury, and agency correspondence
- Trading, account, and issuer records
- Email, messaging, and device records
- Civil complaints, indictments, and court orders
Primary references
Official sources
Disclaimer: This page provides general legal information only. It is not legal advice and does not create an attorney-client relationship. Laws, rules, and procedures may change. Attorney advertising. Past results do not guarantee future outcomes.