Investment & Securities Fraud Law

Our firm’s expertise in securities and investment fraud law is led by founding partner William M. Audet, who, since 1990, has successfully litigated against some of the largest U.S. corporations. Alongside a dedicated team of skilled attorneys, Mr. Audet has not only recovered hundreds of millions of dollars for clients but has also prompted significant board-level changes in corporate practices and accounting through settlements and court orders.

What is Investment Fraud Law?

Investment fraud law is a crucial branch of finance law that an experienced investment fraud lawyer will help you navigate. 

Federal securities laws, shaped by decades of significant securities fraud cases and legislative acts, cover a range of legal statutes and regulations designed to protect U.S. investors. This complex area of law addresses financial misconduct that intentionally deceives or misleads investors, often leading to significant financial losses.

Types of offenses under investment fraud law include misrepresentation of critical financial data, insider trading, and manipulation of a security’s price or volume. 

This law, established to uphold integrity in the securities industry and prevent undue investment losses, empowers investors to make informed decisions and seek justice. Enforcement involves regulatory oversight by entities such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), supplemented by legal actions pursued with the guidance of an investment fraud attorney.

As our financial world becomes more interconnected, it’s crucial for investors to understand what constitutes investment fraud. Armed with this knowledge, you can confidently participate in the financial markets and protect yourself against various types of investment fraud.

If you find yourself in a precarious situation that might involve securities fraud, remember: you are not alone. Our team of experienced investment fraud attorneys is ready to guide you through the complexities of the law and advocate for your rights, ensuring you receive the justice you deserve.

Types of Investment Fraud Lawsuits

Identifying and addressing potential investment fraud becomes a manageable task with the guidance of a knowledgeable securities fraud lawyer. This crucial first step safeguards your financial interests.

At Audet & Partners, LLP, we leverage our extensive experience and industry-specific knowledge in handling diverse investment fraud lawsuits. Here are some common types that fall under this category:

Insider Trading

Corporate insiders sometimes exploit non-public, material information for financial gain. Insider trading is not only illegal but also severely undermines investor confidence. An experienced investment fraud lawyer can help you build a strong case if you suspect this type of fraudulent activity.

Ponzi Schemes

Named after Charles Ponzi, who duped thousands of investors in the 1920s, these schemes promise high returns with little risk but eventually collapse as they rely on funds from new investors to pay returns to earlier ones. Our investment fraud lawyers can help victims of Ponzi schemes recover their investments.

Misrepresentation or Omission

Accurate and complete financial information is crucial for investment decisions. Misrepresentation or omission of crucial data can mislead investors, causing them to make ill-informed decisions. If you’ve suffered financial losses from such misleading actions, our securities fraud attorneys are ready to help you explore your legal options.

Churning

This fraud involves excessive buying and selling of securities to generate commissions, often disregarding the client’s investment objectives. If you notice unusual activity in your trading account, a securities fraud attorney can evaluate your situation and guide you on the next steps.

Breach of Fiduciary Duty

Directors, officers, and financial advisors are legally obligated to act in the best interests of their clients or shareholders. Breaching this fiduciary duty could lead to significant financial losses. If you’ve lost money due to a lapse in judgment from a financial advisor, our law firm specializes in pursuing cases of breach of fiduciary duty, ensuring that your rights are upheld.

Price Manipulation

Manipulating the price of a stock or any other security to artificially inflate or deflate its value for personal gain is a serious offense. Price manipulation misleads investors, disrupts market fairness, and leads to substantial financial damage. An experienced investment fraud attorney is skilled in handling such cases and seeking justice for affected investors.

At Audet & Partners, LLP, we handle cases related to unauthorized trading, selling away, overconcentration, and failure to supervise. Each type of investment fraud presents unique challenges, and our dedicated team of investment fraud lawyers is well-equipped to tackle them head-on. 

With the help of an investment fraud lawyer, you can confidently navigate the complexities of securities litigation and strive for the justice you deserve.

Investor Fraud

In recent years, our focus at Audet & Partners, LLP has expanded to include shareholder litigation related to mergers, buyouts, and bad faith issues. With the rise of IPOs and the complexities surrounding minority buyouts (or force-outs) and dissolution of founder/initial contribution, this new area of law demands a dedicated and experienced investment fraud attorney like Mr. William Audet.

Historically, our firm has been at the forefront of filing claims for breach of fiduciary duty. Such cases often arise when a company’s directors and officers engage in actions that not only violate legal statutes but also expose the company to significant criminal or civil penalties, massive financial losses, and damaging litigation such as securities fraud class actions. The fiduciary duties of due care and loyalty require directors and officers to adhere strictly to the law, ensuring the corporation’s compliance as well. If you are a shareholder of a corporation that has been harmed through a breach of fiduciary duty by its officers and directors, or you have been ‘pushed out’ without sufficient compensation, you should seek our firm’s legal counsel.

What an Investment Fraud Lawyer Offers

Going it alone in investment fraud cases can be a perilous endeavor. The complexity of the financial system and intricate laws demand the expertise of an experienced investment fraud attorney. These professionals will help decode your case’s complexities and strategize, build, and present a compelling argument on your behalf. Our lawyers at Audet & Partners will navigate the challenging waters of negotiations, litigations, and settlements, relieving you of the burden.

Our investor fraud attorneys have extensive knowledge of securities regulations and can access a network of experts to support your case. This ensures that your rights are protected and that you receive the restitution you deserve.