Securities Fraud

U.S. capital markets are an important indicator of the U.S economy.

When stocks are high, the economy is believed to be healthy and growing. When stocks are low, analysts and investors worry about economic recession.

Because there is a strong tie between the health of capital markets and the health of the U.S. economy, U.S. markets are regulated and protected by a number of securities laws that are enforced by the federal Securities and Exchange Commission (SEC). Violations of these laws can directly affect U.S. and international markets, so the SEC takes these violations very seriously. However, it is impossible for the SEC to regulate every business and stockbroker. Therefore, the SEC relies on reports from whistleblowers to identify securities fraud and other violations of securities law. In return, the Dodd-Frank Wall Street Reform and Consumer Protection Act provide protection and rewards for whistleblowers.

Examples of Securities Fraud

  • Unauthorized trading
  • Insider trading
  • Market manipulation
  • Pools
  • Market churning
  • Stock bashing
  • “Painting the tape” or runs
  • “Pump and dump” schemes
  • Ponzi schemes
  • Accounting fraud
  • Bribery
  • Providing misleading or fraudulent information regarding public filings
  • Providing misleading or fraudulent information o SEC filings
  • Providing misleading or fraudulent information regarding the sales of securities or commodities
  • Promotion of risky investments
  • Skimming funds
  • Accounting fraud

Our Securities Fraud Attorneys are watching out for You

Securities fraud by Enron, Tyco and WorldCom affected thousands of Americans and their financial futures. As a whistleblower, you help protect both individuals and our shared economy. Let us protect you. If you have information related to a violation of U.S. securities law, we urge you to call Petrelli Law at 800-432-9461.