Nevada Securities Fraud Lawyer

Nevada Securities Fraud Attorney

Securities fraud charges can be particularly complex. When financial advisors, brokerage firms, or corporations engage in deceptive or illegal practices, investors often pay the price, often losing life savings, retirement funds, and trust in the financial system. But the Nevada securities fraud lawyers at Rosenberger + Kawabata can help.

We stand up for victims of securities fraud and hold responsible parties accountable. If you’ve been misled, manipulated, or defrauded, our experienced securities fraud attorneys can help pursue justice and recover your losses.

What Is Securities Fraud?

Securities fraud refers to illegal and deceptive practices that mislead investors about the value or safety of financial products, including stocks, bonds, and mutual funds. This includes misrepresenting risks, withholding key information, insider trading, and Ponzi or pyramid schemes. Victims often suffer significant financial losses due to these unlawful acts. Securities fraud cases in Nevada, California, and nationwide follow both state and federal regulatory standards, which makes skilled legal guidance essential.

Both the Nevada Secretary of State’s Securities Division and federal agencies like the Securities and Exchange Commission (SEC) and the Department of Justice regulate and investigate securities fraud.

Data from the Federal Trade Commission revealed that consumers in 2024 lost more than $12.5 billion to fraud, with investment scams being the most prevalent. These scams alone cost U.S. consumers approximately $5.7 billion. This highlights just how widespread and damaging securities fraud has become, impacting hardworking investors, retirees, and families alike.

Common Types of Securities Fraud Cases

Rosenberger + Kawabata proudly represents investors who’ve been victims of different types of securities fraud claims against their financial advisors. Some of the most common kinds of misconduct include:

• Insider trading. This involves unlawfully trading securities based on material, non-public information. It harms everyday investors and undermines trust in financial markets.
• Misrepresentation or omission of material facts. These are crimes of failing to disclose important information about a company’s performance or risks. It can also include providing misleading statements in financial reports or investment documents.
• Market manipulation. Fraudsters use tactics like pump-and-dump schemes or fake trading to distort stock prices, luring investors in. Once the manipulation is exposed, those investors are left holding worthless assets.
• Ponzi and pyramid schemes. Fraudulent investment operations use money from new investors to pay returns in earlier ones. Victims are often encouraged to invest more but later discover the structure of investments was a scam.
• Corporate accounting fraud. When companies falsify earnings or hide their debts, investors are misled into buying or holding stock based on false information.
• Securities registration violations. Unregistered or illegal securities often target unsophisticated or elderly investors, leaving them with high-risk or fraudulent investments.
• Broker misconduct. Advisors and brokers who make unauthorized trades, manage accounts for commissions, or push inappropriate investments are violating their fiduciary duty and putting financial futures at risk.

Penalties for Securities Fraud in Nevada

The penalties for securities fraud can be severe and may include civil and criminal consequences. Penalties imposed on fraudulent financial advisors include:

• Lengthy prison sentences
• Hefty fines
• Victim restitution
• Asset forfeiture
• Loss of licenses
• SEC bans or suspensions
• Employment bans in the securities industry

Rosenberger + Kawabata fights for your compensation throughout Nevada’s civil courts, whether through negotiated settlements, alternative dispute resolution like arbitration, or trial. Most people convicted of securities fraud spend close to four years in prison, and the cases often involve millions of dollars in losses.

Securities Fraud Defense Strategies

Our team believes in being proactive when it comes to defending securities fraud allegations. We tailor our defense strategies to fit the unique circumstances of your individual case.

Some of the key elements of our recovery strategies include:

• Proving intent and harm. We gather detailed evidence to prove the fraudulent party knowingly misled you and that their actions directly caused your financial losses.
• Uncovering misconduct. We analyze transactions, account activity, and communications to uncover deceptive practices. We utilize the help of forensic experts to identify wrongdoing.
• Legal and regulatory violations. We highlight violations of SEC rules, Financial Industry Regulatory Authority regulations, or fiduciary standards to strengthen your claim and pursue restitution.
• Considering regulatory ambiguity. Securities law can be extremely complex. If the law was unclear or the rules were not applied consistently, it could weaken the state’s case.
• Expert testimony. We can gather expert witness testimony from forensic accountants, industry professionals, and former regulators to validate your claims and quantify your losses.

We thoroughly investigate your case, including reviewing account records, advisor conduct, and regulatory filings, in order to build a compelling case and secure compensation.

FAQs

Q: What Are the Consequences of Securities Fraud?

A: Securities fraud can leave investors facing devastating financial losses, especially if their retirement savings or long-term investments are affected. The government may still pursue criminal charges, but a civil claim can help you recover lost money. These cases may also result in restitution, asset forfeiture, and bans against the offenders.

Q: What Are the Three Types of Securities Fraud?

A: The three main types of securities fraud include misrepresentation and omission, market manipulation, and insider trading. Misrepresentation and omission refer to providing false or incomplete information to investors. Market manipulation includes tactics like spreading false information or artificially trading volumes to deceive investors. Insider trading involves buying or selling stocks based on non-public material information

Q: What Are the SEC Rules for Fraud?

A: The SEC enforces rules that prohibit fraud in connection with the purchase or sale of securities. This bans any act or omission resulting in fraud or deceit. The SEC also regulates disclosure requirements, financial reporting accuracy, and fair-trading practices. Violations can result in enforcement actions, but civil claims are often the best path for investor recovery.

Q: How Do You Prove Securities Fraud?

A: To prove securities fraud, the government or plaintiff must typically demonstrate a material misrepresentation or omission of fact and that the defendant acted knowingly or recklessly. They must prove a connection between the misrepresentation and the purchase or sale of a security and the reliance by the investor on false information.

Nevada Securities Fraud Lawyer

Being the victim of securities fraud can be financially devastating. At Rosenberger + Kawabata, we’re committed to helping investors recover what they’ve lost and holding their financial advisors accountable. Our legal team brings decades of experience in finance, regulation, and litigation to every case.

We’ve helped clients in California, Nevada, and across the United States. Contact us today to schedule a consultation and let our Nevada securities fraud lawyers fight for your financial recovery.