Securities Fraud

Arizona Investment Fraud Defense Lawyer

Securities Fraud • SEC Violations • Compliance Consulting

The law firm of Mathew & Associates represents stockbrokers, brokerage executives and brokerage firms in both criminal allegations and civil litigation. A proper securities fraud defense requires sophisticated knowledge of Securities and Exchange Commission regulations and an understanding of industry practices.

Our Phoenix, Arizona law firm provides rigorous representation for investment fraud allegations and related financial crimes. We represent brokers and directors throughout Arizona, as well as clients in Colorado and New York City. Recognizing that clients can easily run afoul of federal regulators, we also provide consulting services to brokerage houses and their directors on SEC compliance. Call 602-254-8088 to discuss your case.

Fraud in Offering Securities

Ivan Mathew has practiced in federal courts for 20 years, including years as a federal prosecutor. He has extensive experience and a record of success in challenging all forms of securities fraud:

• Misrepresentations and material misstatements
• Insider trading or selling insider information
• Market manipulation (e.g., "pump and dump" transactions)
• Unsuitable investments
• Churning
• Sales of unregistered securities
• High-pressure "boiler room" sales tactics
• Conspiracy to commit securities fraud

Qualified and Experienced in Investment Fraud

As a CPA with an advanced law degree from the London School of Economics, Mr. Mathew can swiftly sort through and analyze financial documents and records of stock transactions or other security offerings. He is knowledgeable about the intricacies and ambiguities of SEC regulations, and adept at demonstrating that the client did not make materially false statements or intentionally mislead investors about potential returns, investment risk or past performance.

We understand that a securities fraud conviction could mean prison and severe civil exposure, and that even formal allegations can be career-ending. We use every resource and strategy in the arsenal to prevent those outcomes. Call 602-254-8088 to arrange a consultation soon.