Securities Fraud and Insider Trading
  • Represented former Controller of publicly traded technology firm accused of managed earnings and securities fraud.
  • Represented attorney in multi-million dollar investment fraud investigation.
  • Represented former employee of major accounting firm in criminal and Board of Accountancy investigations.
  • Represented officer and director of publicly traded firm accused of issuing false press releases to the investment community and making false statements to the Securities and Exchange Commission during its investigation. 
  • Represented former CEO of NASDAQ listed firm accused of managed earnings. 
  • Defended parallel civil federal class action and shareholder derivative actions alleging securities fraud. 
  • Defended employee in SEC and criminal investigations concerning securities firm accused of stealing investors funds.
  • Counseled mutual fund regarding compliance and document retention policies.


Areas of Practice


 

 

The Law Offices of Steven Goldsobel, 

 

A Professional Corporation