SEC Defense Attorney (Specialized Securities) in Houston

Specialized Legal Guidance to Protect Your Rights in SEC Investigations Across the Country

Floyd - Federal Crime Defense Attorneys in Houston, Harris County, Texas

In the face of grave consequences, a team of defense lawyers experienced in SEC defense (whether in Houston or at the federal level) can provide the expert legal guidance and protection that you need. At John T. Floyd Law Firm, the team of top-tier legal professionals specializes in defending clients in all criminal courts throughout the state of Texas and across the country.

First-Class SEC Defense in Houston and Federal CourtsSEC Defense Attorney (Specialized Securities) in Houston

If your actions are under the watchful eye of the US Securities and Exchange Commission (SEC), you are in immediate need of a specialized defense lawyer. While an investigation from this independent federal government agency usually does not result in jail time, it can lead to extremely harsh and life-altering consequences in the form of monetary fines, and, in some cases (depending on the severity of the violation), end up in criminal charges that can lead to a prison sentence. To avoid any of these negative outcomes, securing the expertise of a specialized securities lawyer, like a SEC defense attorney, is critical.

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Facing Securities and Exchange Commission Investigations in Houston and the US

Are you or your company under investigation by the Enforcement Division of the Securities and Exchange Commission? If so, you need to know that there’s a unique way in which this agency operates, due to its nature as a civil administrative agency rather than a criminal law enforcement one. Because of this, not all securities lawyers do this kind of defense work.

The team of experienced attorneys at John T. Floyd Law Firm knows that these cases involve defending an individual from an investigation instead of a prosecution. This type of defense requires an understanding of specialized securities that only an experienced SEC defense attorney can offer. Our attorneys, backed by more than 50 years of combined experience, provide the expert, personalized, and strategic representation that your case needs. Their experience in defense cases of this nature allows them to navigate the investigation, protect your professional reputation, as well as your economic assets.

Expect a Personalized Approach for Your Case in Houston or Federal Courts

Expert, First-Class Defense

If you are being investigated by the Enforcement Division, the team at John T. Floyd Law Firm, led by a state-recognized expert and board-certified in criminal law attorney, John T. Floyd, can provide the specialized SEC defense that your case needs.

Communication as a Priority

Reaching out to our team of experts when you are being investigated by the SEC or have received a subpoena means that your case will be treated as the priority it is, improving the chances to protect your rights, reputation, and economic assets.

Decades of Experience

With more than 50 years of combined experience managing defense cases at both state and federal levels, our specialists have the expertise and capability necessary to handle complex SEC cases along with their long investigations and harsh rules.

Trust a Specialized Securities Lawyer Who Understands SEC Investigations in Houston

The US Securities and Exchange Commission manages and regulates the securities industry and markets. Because its main goal is to protect investors and keep the markets impartial and just, this agency enforces laws against market fraud and manipulation. The Enforcement Division of this agency is in charge of discovering, investigating, and prosecuting violations of federal securities laws.

In the United States, violations of securities laws can be complex, with enforcement actions from this agency resulting in severe fines, forfeiture of profits, and even lifetime bans from the industry. With those risks at play, the legal representation of a SEC defense lawyer in Houston is essential. Luckily, the team at John T. Floyd Law Firm can successfully handle specialized securities cases and their complexities.

If you are under investigation for alleged violations of securities laws, do not panic, but do not wait either. While remaining calm is crucial, finding the expertise of a specialized securities lawyer is also key, since their expertise can pose a turning point for your case. After all, what you say early on can affect not only your case but its outcome as well. Our lawyers can assist and guide you through the legal process by:

Understanding the structure of the Securities and Exchange Commission, its culture, rules, and procedures.
Handling the case at a civil level to prevent it from being referred to criminal authorities or escalated to a criminal investigation.
Managing inquiries, subpoenas, testimonies, among other aspects that form part of the investigation.
Negotiating settlements, penalties, or litigation matters, whether in the state of Texas or in federal investigations.

Pay Attention to the SEC Rule 10b-5!

The SEC Rule 10b-5 prohibits anyone (whether an investor, business executive, corporate employee, or startup founder) from using deceit, lies, or misleading omissions when buying or selling securities. This rule makes it illegal to employ schemes to defraud, make untrue or misleading statements, and engage in deceitful business practices.

What Our Clients Have to Say

Based on Real and Verified Reviews

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The attorneys at John T. Floyd Law Firm work diligently to achieve the best possible results for their clients. They are caring and knowledgeable professionals. Their expertise in the law and their experience as trial attorneys makes them the right choice as a defense attorney. I recommend this law firm highly.

Alma Garcia Cunningham

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The diligence brought to the table by these gentlemen is demonstrated deeply in their practice by the cohesive flow of information inside and out the courtroom to achieve desired outcomes. The awareness that both gentlemen facilitated allowed proper communication and coordination in addressing obstacles as they arise

Richard Affongwaithe

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John and his team are super professional and so dedicated to you. I would highly recommend the John T. Floyd law firm to anyone who needs legal assistance!

Brian G. Chavez

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John and his team are super professional and so dedicated to you. I would highly recommend the John T. Floyd law firm to anyone who needs legal assistance!

Curtis Shane Kessler

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I asked the Law Office of John T. Floyd a very important question regarding the legal aspects of purchasing a firearm with a deferred adjudication charge. They answered the question very professionally and accurately and I was quite pleased with the information that was shared. I recommend this law firm because they are very honest and will work for you and with you.

Eugene Guy

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Although I didn’t use Mr. Floyd for my brother’s legal matter, I was steered in the right direction by speaking with Mrs. Kathy. She showed so much compassion as my family and I are going down a very tough road dealing with a different type of trouble. We sat on the phone for 20 minutes; she actually gave me a little comfort because my heart is heavy right now. I never got to meet Kathy, but thank you for your kindness, Mrs. Kathy!

Kimberly Le

Houston SEC Defense Attorney John T. Floyd: The Defense You Need During a SEC Investigation

Because the SEC ensures compliance with securities laws, investigates suspicious activities, and prosecutes market violations, this agency actively cooperates with other law enforcement and federal agencies. For instance, it is possible that a case handled by the SEC ends up being investigated in parallel by other federal agencies, like the Department of Justice (DOJ) or the Federal Bureau of Investigation (FBI).

Having proper legal representation from the start can make all the difference between a smooth settlement and the escalation of the process. Our expert lawyers at John T. Floyd Law Firm can provide legal guidance and SEC defense for investigations of:

White-collar crimes
Market manipulation
False statements

Securities fraud

Ponzi schemes

Embezzlement

Insider trading
Obstruction

Do Not Talk to Federal Agents!

Our legal experts recommend that you do not speak to federal law enforcement agents regardless of their threats, promises, or any other technique designed to get you to talk. Even if you believe that you have done nothing wrong, a conversation with one of these agents can have serious consequences. If you are under investigation by federal agents regarding a securities law violation, it is urgent that you contact an experienced federal SEC defense attorney immediately.

SEC Defense Attorney at State or Federal Level

Violations of securities laws can be handled at both state and federal levels. Whether a state or federal case, each one comes with its own set of rules, guidelines, and agencies. That’s why having a skilled legal team with expertise in both fronts is essential. The team at John T. Floyd Law Firm has the experience and knowledge required to defend you during the investigation and prevent it from escalating to a criminal case.

At State Level

In the State of Texas, securities investigations are handled by the Texas State Securities Board’s (TSSB) Enforcement Division and are guided by the Texas Securities Act. It mainly targets intra-state activity and mid-to-small-sized local investments, businesses, schemes, and fraud based in Texas. While the TSSB is a civil agency and cannot jail individuals, it can lead to harsh punishments that result in significant fines. Additionally, if the case escalates to criminal prosecution, the path to prison is much shorter.

At Federal Level

At a federal level, securities investigations are conducted by the Securities and Exchange Commission (SEC) and are handled by federal laws. It covers large public companies, investments, and schemes that cross state or international borders. If criminal intent is discovered, it must be referred to agencies like the DOJ or FBI. The harsh financial and administrative punishments by the SEC Enforcement Division can ruin a business or career due to bans and jail time (if referred to criminal prosecution).

Whether your case is being handled at the state or federal level, or both, our team is prepared to fight for the best possible outcome on your behalf.

Contact a SEC Defense Attorney Today in Houston and the US

Whether you’re an individual, corporation, or financial entity, if you are under investigation by the SEC Enforcement Division, have received a subpoena, or a FINRA referral, you will need the expertise of a SEC defense attorney. Accusations and investigations for violating securities laws can have serious effects on your financial assets, professional reputation, and even your career for the long term. During these crucial times, relying on the experience of experts can make all the difference between a favorable outcome and an escalation of your case.

The team of expert lawyers at John T. Floyd Law Firm can guide you through the complexities of SEC rules, guidelines, and agencies to be able to protect your rights every step of the way. Whether you’re looking for legal representation in Houston, at a state or federal level, our experts are here to help you. Call us now at 713-224-0101 or find us at 3730 Kirby Drive, Suite 750, Houston, TX 77098. The sooner we start, the better we can protect your interests.

FAQ

What are SEC subpoenas?

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SEC subpoenas are official administrative orders issued by the US Securities and Exchange Commission during a formal investigation. Depending on the type, these can demand the production of documents (Subpoena Duces Tecum) or testimony (Subpoena Ad Testificandum).

What is a FINRA referral?

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This referral occurs when an official notice is sent to the Financial Industry Regulatory Authority (FINRA) regarding a potential rule violation, fraud, or illegal act by an individual, representative, broker-dealer, among others.

What prompts a SEC investigation?

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There are several factors that can prompt a SEC investigation. This can often include the information provided by a company’s public statements or filings, or lack of information in these aspects, an insider reporting suspicious activity, an agency uncovering possible securities law violations, among others.

Is there a difference between a SEC and a DOJ investigation?

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Yes, there are several differences between a SEC and a DOJ investigation. Primarily, a SEC investigation is conducted by the Enforcement Division of the Securities and Exchange Commission, a civil and administrative agency mainly focused on market rules and financial penalties. On the other hand, DOJ investigations are handled by the Department of Justice and are criminal in nature, meaning that they can end up in jail time.

What are the potential consequences for securities law violations?

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Depending on the severity of your case, if it is at a state or federal level, and the agencies involved, potential consequences for securities law violations can include harsh financial penalties, criminal prosecution, prison time, industry bans, among other severe punishments.

This content is only for informational purposes and does not constitute any level of legal advice. For specific legal questions, consult with our licensed attorneys.

Meet the Team Protecting Your Rights When Faced With Identity Theft Allegations

The John T. Floyd Law Firm is led by nationally renowned criminal defense attorney John T. Floyd, board-certified in criminal law by the Texas Board of Legal Specialization. Together with Christopher M. Choate and Mia Floyd, the firm has earned a reputation for their successful and loyal representation of clients accused of identity theft.