Those Who Mislead Investors within the Context of A Private Offering Cannot Hide From Federal or State Securities Law Anti-Fraud Provisions
Large companies doing business across the globe commonly hire a securities law firm to shepherd them through the SEC registration process, and thereby arrange for the securities they intend to sell to become registered. Briefly stated, the registration of such securities allows them to be sold via public offerings. Smaller companies, by contrast, cannot shoulder the hefty expenses associated with a public offering. As a consequence, they generally turn to Regulation D (or “Reg D” for short), whichallows them to raise capital without enduring the rigors of the SEC registration process.
Speaking in general terms, a Private Offering Memorandum customarily serves as a critical component of a private offering of securities. In theory, Private Offering Memos will be structured so as to disclose important information and explain the various risks accompanying the underlying securities. On a practical level, however, Private Offering Memos frequently feature tired, boilerplate language that scarcely differentiates one offering from another. Realistically speaking, such obtuse, cumbersome, and ambiguous verbiage actually operates to obscure the risk characteristics that are unique to a particular offering.
Thankfully, the laws that exempt securities from the registration process do not provide an exemption from federal or state anti-fraud provisions. In other words, misrepresentations may subject an issuer to liability regardless of whether the securities were sold within the context of a private offering exemption. Likewise, those who were involved in the selling process (such as brokerage firms and stock brokers) will be exposed to liability if they communicated false — or incomplete — information.
If you have invested in a private offering, and you suspect that you have been made the victim of fraud, you should reach out to a securities law attorney for assistance. Chris Bebel is a highly acclaimed and well-regarded securities lawyer who has a proven record of success in the securities fraud arena that spans three decades. Mr. Bebel has distinguished himself from other securities lawyers through his breadth of knowledge and experience, both in the courtroom and in securities arbitration. Consequently, numerous attorneys have hired him to in an attempt to construct stronger cases involving stock broker fraud and financial adviser fraud. And, while serving as a securities fraud attorney, Mr. Bebel has repeatedly eviscerated the testimony of defendants and their expert witnesses. In that regard, his understanding of the governing legal and regulatory principles has substantially exceeded the knowledge the defendants and their experts have maintained on those fronts.
Throughout his career, Mr. Bebel has successfully served as a federal prosecutor, an SEC attorney, a securities fraud expert witness, and an advocate for securities fraud victims (including elderly investors) — as demonstrated by the numerous occasions on which the New York Times, the Wall Street Journal, the Los Angeles Times, and other news sources of national significance have called upon him for his expertise and analysis.
Chris Bebel works closely with Bradley Ellison, a learned, highly-educated paralegal. Working in unison with one another, they have repeatedly advanced the interests of Texas investors. Given the success they have achieved, it is fair to say that Mr. Bebel and Mr. Ellison have regularly pooled their talents so as to successfully combat securities fraud in Texas. If you are a victim of financial adviser fraud in Texas, contact Chris Bebel, a securities litigation attorney who will apprise you of your potential rights and remedies. Do not settle for a novice securities law attorney; call Chris Bebel, a leading Texas investors attorney with a successful and proven record of success as an investment fraud lawyer.
If you suspect something is “not quite right” about an investment you have made, consult with investment fraud attorney Chris Bebel. Call Mr. Bebel and acquaint him with your case, so that he may obtain an understanding of the surrounding dynamics. Mr. Bebel regularly provides free consultations to investors who have suffered financial losses.Please note that Mr. Bebel does not limit his practice to financial adviser fraud in Texas. Therefore, if you are in need of assistance from a securities litigation lawyer, contact Chris Bebel — regardless of where you reside.