Securities Fraud

We represent individuals in a variety of accounting and securities fraud matters brought by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and DOJ, as well as by private individuals in civil class-action suits. The securities fraud laws are written very broadly and it is often difficult to assess whether alleged conduct falls within them. These cases often involve complex issues that include alleged improper revenue recognition, accruals, Generally Accepted Accounting Principles (GAAP) treatment, and statutory accounting.Often the client faces charges and claims involving violations of the antifraud provisions of the securities laws, insider trading claims, and disgorgement and clawback penalties. Recently, the government has used wiretap and consensual recordings to prosecute individuals accused of wrongdoing in the securities industry. This leads to issues that are often beyond the comprehension of non-experts, including prosecutors. We create strategic alliances with top-rated experts to assist us in dealing with regulatory and law enforcement agencies, and we have repeatedly prepared and assembled a team of lawyers and experts to address any type of accounting or securities fraud issues. Mr. Lauro has extensive experience handling these complex issues in courts around the country and has skillfully cross-examined leading financial and forensic experts and executives from around the country on these difficult issues.

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