SECURITIES FRAUD

Mr. Feldman has represented sales and marketing professionals, companies with Regulation D (Rule 506)  private offerings, executives, and broker dealers in securities fraud cases and investigations relating to the sale and purchase of securities. Mr. Feldman has also represented subjects and witnesses in connection with investigations and examinations initiated by the Securities and Exchange Commission (SEC) and has Mr. Feldman has experience representing persons, including broker dealers in administrative actions brought by the Florida Office of Financial Regulation (FOFR).

Securities are not limited to stocks traded on a U.S. stock exchange. Securities may come in the form of LLC membership interests, ownership in a joint venture, or through a private offering in connection with real property. Persons selling, trading, or profiting from the sale or marketing of securities, should be aware of the regulatory universe governing securities and government actors responsible for prosecuting and enforcing state and federal securities laws. For example, the U.S. Attorney’s Office in the Southern District of Florida, the Commodities and Futures Trade Commission, the Securities and Exchange Commission, and the Florida Office of Financial Regulation are increasingly concerned with boiler room type activities, sales of unregistered securities, sales of precious metals and other risky commodities, and sales of securities by unregistered dealers or brokers, and the use of private placement offerings to perpetrate fraud.

Contact Mr. Feldman or the Feldman Firm if you or your business is under investigation for or has been accused of securities fraud.