White collar crimes refer to non-violent offenses often committed for financial advantage. When the Securities and Exchange Commission (SEC) suspects misconduct, the agency launches SEC investigations to uncover possible violations. A white collar attorney provides crucial support during these inquiries and helps you understand the legal process.
Why the SEC Investigates Certain Cases
The SEC has a responsibility to protect the fairness of financial markets. TO do this, the SEC investigates violations of the rules. While it does not investigate every possible violation, it does take on cases to uncover big violations, as well as to motivate people to follow the rules or risk being investigated.
Types of White Collar Crimes Under Review
White collar crimes focus on financial crimes. The SEC investigates white collar crimes that impact securities markets. Common examples include insider trading, where someone uses confidential information to make trades before the public learns about it. Another common violation involves securities fraud, which occurs when companies or individuals mislead investors about financial performance or business health.
Ponzi schemes also fall under SEC oversight. In these cases, returns for earlier investors come from new investors’ funds rather than legitimate profits.
The SEC also investigates market manipulation, where people try to force the market to behave in a certain way that benefits them. More often than not, they do this by taking illegal actions to force others to trade with predictable behavior that criminals can take advantage of. To make a profit. These practices can inflict serious financial damage on investors who trust the integrity of the market.
Legal Strategies for SEC Investigations
When the SEC launches an investigation, you need a structured legal strategy. A white collar attorney begins by reviewing the facts of your case, collecting documents, and analyzing the evidence the agency may use. This review allows your attorney to evaluate the strength of the SEC’s claims and identify areas where the case may lack support.
Once the facts are clear, your attorney builds a defense that addresses the specifics of your situation. In some cases, this defense involves challenging the accuracy of the SEC’s evidence. In others, negotiation provides a more effective route, especially when a settlement avoids the risks of litigation. A well-prepared legal strategy not only protects your legal rights but also works to preserve your professional reputation.
How a White Collar Attorney Can Help
A white collar attorney supports you throughout an SEC investigation and provides legal direction when you need it most. Because securities laws are complex, your attorney interprets regulations, explains how they apply to your situation, and identifies your options. This knowledge allows you to make informed choices as the investigation unfolds.
Your attorney also acts as an intermediary between you and SEC officials. This protection ensures you do not make statements that harm your case. Attorneys prepare you for interviews, explain what information to disclose, and represent you during hearings. With a lawyer present, you know someone with experience handles direct communication with the agency.
Schedule a Consultation with a White Collar Defense Lawyer
The first step when you face an SEC investigation involves scheduling a consultation with a white collar defense lawyer. During this meeting, you discuss the details of your situation, and your attorney evaluates the evidence and explains your legal rights. Prompt action makes a difference because early involvement gives your lawyer time to shape your white collar criminal defense for SEC cases before the agency forms strong conclusions.
Phillips Carson Phillips offers experienced support in cases involving SEC investigations. We work directly with clients to build strong defense strategies and address complex allegations. By consulting with our attorneys, you place yourself in a position to respond effectively and protect your interests during the investigation. Contact Phillips Carson Phillips today by calling (912) 232-0081 for a free consultation.