Federal Criminal Defense & Sentencing

Securities Fraud

If you are being investigated by the SEC or DOJ for a securities fraud, investment fraud or a financial crime, you must act quickly to protect your rights before talking to authorities. Accusations of securities fraud can take many forms and can be aimed against any level of employee. No matter the accusation, it’s imperative that you act quickly to protect your rights and understand your legal options should an investigation begin.

The securities fraud defense attorneys at the Kendall Law Group can help you prepare for what’s to come and work with you through the course of an investigation to ensure your case is presented in the best possible light.

If the SEC has already begun a securities fraud investigation into you or your company, you may be asked to testify. If that’s the case, it’s important to be prepared.

Our white collar criminal defense team, led by former federal judge Joe Kendall, has extensive experience in securities fraud cases to include:

  • Corporate executives suspected of insider trading
  • Business executives accused of making false accounting entries
  • Investment brokers accused of misrepresenting financial products
  • Investment club organizers who give investment advice or sell securities without a license
  • C-level executives suspected of insider trading
  • Employees who run afoul of the Foreign Corrupt Practices Act’s books and records provisions

Specifically, the attorneys at the Kendall Law Group have served as lead, co-lead or liaison counsel on cases including:

  • In re Dynegy, Inc. Sec. Litig., Cause No. H-02-CV-1571 (S.D. Tex.) ($474 million recovery for shareholders)
  • Schwartz v. TXU Corp., et al, Cause No. 3:02-CV-2243-K (N.D. Tex.) ($149.75 million recovery for shareholders)
  • Pirelli Armstrong Tire Corporation retiree Medical Benefits Trust v. Hanover Compressor Company, et al., Cause No. H-02-0410 (S.D. Tex.), ($85 million recovery for shareholders)
  • In re Syncor International Corp. Sec. Litig., Civil Action No. CV-02-8560-ABC (RMCx) (C.D. Cal.) ($15.5 million recovery for shareholders)
  • Blackmoss Investments v. Gravity Corp., et. al., Civil Action No. 1:05-CV-04804-LAP (S.D.N.Y.) ($10 million recovery for shareholders)
  • Rines v. Heelys, Inc., Civil Action No. 3:07-CV-01468-K (N.D. Tex.) ($7 million recovery for shareholders)
  • Wahl v. Daisytek, Cause No. 4:03-CV-00212, (E.D. Tex.) ($6 million recovery for shareholders)


If your company or you personally are being accused of securities fraud, contact the Kendall Law Group today. Our team will immediately begin working closely with you to develop a compelling defense strategy.

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