Insider Trading

Vigorously Defending People Accused Of Insider Trading

The federal crime of insider trading is extremely serious, and U.S. attorneys do not hesitate to seek lengthy prison sentences upon conviction for this crime. Those who are convicted or even implicated in an insider trading scheme can also face civil actions by aggressive plaintiff attorneys.

In many insider trading cases, timely action may be able to avert indictment or limit the risk of sanction, criminal penalties, and civil liability. If you receive a call from an SEC attorney asking about your trading activities, you should politely decline to answer, and then seek legal advice as soon as possible.

White Collar Crime Defense Attorneys

Richard H. Sindel, Inc., in St. Louis comprises a team of highly experienced white collar crime defense attorneys. They vigorously defend people accused of insider trading and other securities law violations, including executives of publicly traded corporations as well as accountants, lawyers, investment bankers and other people implicated in insider trading activities.

Defense Against Insider Trading Charges

When you retain our firm to represent you, we will undertake a comprehensive analysis of all aspects of your case. During this investigation, we will attempt to determine whether the SEC is making an initial inquiry or it has issued a Formal Issue of Investigation. Based on that conclusion, we will develop an appropriate defense strategy. By cooperating with the SEC’s inquiry, we may be able to put the matter to rest with no further legal or civil risk to you. We may also determine that your interests are best served by declining to cooperate and preparing for an indictment, or something in between these two responses.

In an insider trading case, the government must prove that:

  1. The trades were actually made by the person in advance of a major public announcement.
  2. The person was actually “in possession of” information that could affect the price of the security.
  3. The information was “material,” meaning that an investor or potential investor would consider it important in making an investment decision.
  4. The information was in fact nonpublic.

Most insider trading cases involve circumstantial evidence. If we can show that any one of the above elements does not apply in your case, it may be possible to obtain a positive outcome.

Are You Facing Criminal Charges Or Under Investigation?

Financial crime cases are often complicated high-stakes cases. Because the outcome could lead to jail time, fines, damage to your reputation, career penalties and more, it is important to work with an attorney whom you can trust. For more than 75 years, our firm has been providing criminal law defense representation, and we are confident that we can protect you. Call Richard H. Sindel, Inc., at 314-721-7113 or contact us online to schedule a consultation with an attorney.