Dallas SEC Violations Defense Attorney
Criminal defense attorney Patrick J. McLain represents businesses and individuals — including brokers, fund managers, financial professionals, and investment and public accounting firms — under investigation accused of violating Securities and Exchange Commission (SEC) laws and regulations.
Patrick J. McLain is a former federal prosecutor and criminal court judge who has defended the rights of individuals and companies in federal court for more than 20 years. He is a confident counselor and dedicated advocate who understands the impact that criminal proceedings can have on your reputation and the future of your business.
Common SEC Violations
The SEC regulates the stock market and protects investors. With the assistance of the Department of Justice and the Federal Bureau of Investigation (FBI), the SEC prosecutes individuals and companies accused of criminally violating its laws and regulations.
Common SEC violations include:
- Insider trading and other illegal stock trading
- Illegal promotion or market of stocks
- Violating proxy voting rules
- Fraudulent revenue recognition
- Theft of customer funds
- Improper broker treatment of clients
- Selling unregistered securities
Whether you are going through a formal securities fraud (10b-5) investigation or are facing a criminal hearing in U.S. District Court, we will develop a comprehensive defense strategy designed to protect your business interests and exploit any weaknesses in the prosecution's case.
A Team Approach to Defense
Attorney McLain knows how much a successful defense means to our clients. He frequently retains the services of an SEC specialist and will even bring on another attorney if he determines that it would benefit your case. Unlike the large law firms — which will give assignments to new associates — you can be assured that an attorney with more than 20 years of federal court experience will be handling your SEC violation defense.
Contact us at (214) 646-3128 (ext. 227) to schedule an appointment with an experienced, skilled and highly dedicated white collar crime defense attorney.
