Strom Law Firm Columbia SC
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Securities Fraud and Insider Trading Defense

What is Securities Fraud?

As defined by the federal statute, securities fraud is committed when a person knowingly executes, or attempts to execute, a scheme to defraud any person in connection with a commodity OR misrepresents or promises money with the purchase or sale of any commodity for future delivery.  In other words, securities fraud occurs when a brokerage firm, stockbroker, corporation or investment bank misrepresents information investors use to make decisions. These particular crimes are investigated by the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) and can carry civil and criminal penalties.  Some common types of securities fraud are manipulating stock prices, lying on SEC filings, Ponzi and pyramid schemes.

What is Insider Trading?

Insider trading is the trading of a corporation’s stocks, bonds, stock options or other securities by those with potential access to information about the company that is not public. Illegal insider trading constitutes a breach in the fiduciary or other relationship of trust or confidence where there is a misappropriation of non-public information from the company.

Who is an insider?

An insider is any of the following:

  • A company’s officers
  • Directors
  • Any beneficial owner of more than ten percent of a class of the company’s equity securities

Essentially, when a corporate insider accepts employment, they are undertaking the legal obligations to shareholders to put the shareholders’ interest ahead of their own in matters relating to the specific corporation. Thus, when an insider buys or sells stocks based upon information only known within the company, they are violating this relationship with the shareholders.

Insider trading is regulating by the Securities Exchange Commission. Under the SEC Fair Disclosure regulation, a company must disclose non-public information to the public at large at the same time they intentionally disclose the information to one person.

Being Investigated for Securities Fraud or Insider Trading?

If you are being investigated by the SEC or NASD for securities fraud or insider trading, it is imperative that you have representation by attorneys with experience in this complex area of law. Our securities fraud and insider trading defense lawyers will investigate your specific case and determine the most efficient way to proceed.  The best thing you can do is to hire a lawyer right away to protect your rights. Call 803.252.4800 for a free consultation.

How this works

Step 1 - Welcome
In this step, you'll experience a warm welcome as you enter the Strom Law Firm.
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Step 2 - Initial Meeting
You'll meet with professionals. They will go through the facts of your case, explain the entire process.
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Step 3 - Preparations
We builds your case by interviewing witnesses, conducting legal research, drafting pleadings, and hiring experts.
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Step 4 - Trial
You'll learn that the firm is trial-ready. They've been preparing since day one and will guide you through the process.
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Step 5 - Resolution
your case concludes with the firm hoping for a positive outcome. They assure enduring friendships and a commitment to being there for you, regardless of future legal needs.
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No obligations & no credit card required

STROM LAW IS...

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What Our Clients Say

They truly care
Mrs Vallery, who answered the phone took more care and attention to detail than any other law office, that I have called, in 2 years+. She diligently took notes to give to the lawyers and cared about my situation and let me actually tell everything without cutting me short. Out of over 100 law offices, this is rare treatment. Care. Consideration. That means more than anything going through this…
Anonymous
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Professional Representation, Satisfying Legal Outcome!
My wife and I retained Bakari Sellers to represent our son in a case in Richland County. We found Mr. Sellers, his assistant Stephanie, and the rest of the staff at Strom, extremely courteous and professional. We really appreciated Mr. Sellers’ straightforward and honest approach. We believe this is a very competent law firm, and are satisfied with the legal outcome they achieved. We would highly recommend them!
Bryan B.
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Exceptional Legal Team After Our Car Accident!
We retained Atty Jessica Fickling to help us after a terrible car accident. She and her paralegal Mallory were wonderful! Professional, skilled, savvy – we couldn’t have asked for a better legal team. Many thanks!!
Jocelyn C.
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Strom Law Firm's Consistent Excellence
I have been a client with The Strom Law Firm for thirty years and have been incredibly blessed to have the assurance that they will do everything possible to provide excellent service to my needs. Ally Benevento is exceptional and represents the firm in a professional manner.
Timothy O.
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From Self-Representation to Victory in SSDI Case!
My experience with Mario and his staff was outstanding. When everyone said to give up my case with SSDI and after being poorly represented and losing. I had to file my own appeals and represent myself. I literally called every attorney in the book. Then I called Mario cold – I expected one more no! Well, this gentleman took my case and won. He knows the law and cares a lot. I am proud to call him my friend. If you need a professional to help you, call these guys.
Robert L.
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A Pleasure to Work With, Outstanding Case Outcome!
Thanks Olivia, It was a pleasure working with you. You were well prepared and presented our case in a very professional manner. I could not have ask for a better outcome. Working with everyone at the Strom Law Firm has always been a pleasure and I will be happy to recommend your Law Firm to anyone.
Nancy G.
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A Lifesaver in the Courtroom, Ensuring Freedom with A1 Professionalism
Needed a lifesaver. I had gotten myself into a bad situation and the possibility of going to prison. Through the diligence and hard work done by attorney Alley B., I was able to walk out of that courtroom a free man. No tricks just hard down attorney work. She was an A1 professional and knew every inch of the Law pertaining to my case. For that, I am forever grateful.
Anonymous
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A Winning Team at Strom Law Firm!
John Alphin was great. We basically worked together for 22 months. Bakari Sellers was also on the team and together those 2 guys were fabulous. Won the case and I’m still a client of Strom law firm. Thank you and awesome law firm.
Steve T.
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Excellence in Action for Workman's Comp Case!
Strom Law Firm was really great and professional. I had a great experience with Mario as my attorney and his paralegal, Brian. These two are amazing, they worked very hard on my husband’s workman’s comp case and we were very pleased with the services and results 👍. Brian was so prompt at returning phone calls and getting things ready for the case. I strongly recommend this firm for any of your legal matters. If I had to use you guys again, I would be happy to do so.
Mary W.
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Mastering Complex Legal Issues with Care and Compassion
Mario Pacella at Strom Law Firm LLC in Brunswick, Georgia, is a masterful, no-nonsense lawyer. His caring and compassionate approach, along with prompt responsiveness, sets him apart. Mario and the firm exhibit exceptional professionalism and attention to detail, emphasizing genuine care for every client.
L. Gilder
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