The securities industry is one of the most highly regulated parts of the American business community. Members of this industry also occasionally find themselves investigated and/or prosecuted for alleged criminal activity.

Securities prosecutions often begin as a grand jury investigation. People involved in the securities field who are caught up in such an investigation need an attorney who is accustomed to handling federal prosecutors and their tactics at this early stage in a case. Too often, securities professionals rely on lawyers who are well-versed in the substantive securities law, but who are unprepared to handle the criminal side of the investigation or prosecution.

The federal securities laws include their own set of criminal penalties. However, federal prosecutors rarely use the criminal securities statutes. Instead, the mail fraud, wire fraud and bank fraud laws are the normal method by which such prosecutions are brought into federal court. Money laundering allegations are also regularly included, which increases the potential penalties along with the possibility that the government will take most or all of the defendant's assets.

At Kish & Lietz, we have handled the defense of a number of securities industry professionals. We are prepared to defend against investigations or prosecutions. If you face such a situation, please feel free to call us at (404) 588-3991 or contact us online.