SEC Violations

Los Angeles SEC Violations Attorney

The Securities and Exchange Commission, otherwise known as the SEC, is a United States federal agency that was created after the stock market crash of the 1920s and the resulting Great Depression. Its purpose is to enforce securities laws to protect investors and regulate trading on the nation’s stock exchanges, as well as promote a fair market.


If you or your company is accused of violating SEC regulations or the securities laws, you might also be facing potentially serious criminal consequences. You should contact Anand Law Group P.C., to discuss a current investigation or pending federal charges with an SEC violations lawyer in Los Angeles.

SEC Violations and Possible Penalties

Each year, federal enforcement of securities laws and prosecution of SEC violations result in billions of dollars paid by alleged offenders. There are many SEC violations that can result in hefty fines and significant time in federal prison. Although the list of violations is extensive, common SEC violations include:


     Ponzi schemes: this is an investment scam in which early investors are paid with funds provided by later investors. Ponzi schemes are similar to pyramid schemes that are often reported on today. Eventually, the number of new investors dwindles, and there are no longer any funds to pay back current investors.

     Insider trading: this is the trading of a public company’s securities based on material information that is not available to the public. Material information is that which would affect an investor’s decision to trade stock or some other security.

Seek Help from an SEC Violations Lawyer in Los Angeles

If you’ve been charged with violating the rules and regulations promulgated by the SEC, a Los Angeles SEC Violations attorney can help. As a former Certified Public Accountant with many years of legal experience, Harv Anand uses this combined experience and passionate advocacy to handle cases that involve complex financial issues, including SEC violations. Contact the Anand Law Group, P.C. for your free consultation today. 

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