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State and Federal Criminal Defense Representation
Trusted Defense For Complex Criminal Cases Securities Fraud

Securities Fraud Lawyer in Orange County, CA

Defense Representation in Southern California & for Federal Cases Nationwide

State and federal government agencies regard securities fraud as a particularly destructive crime. While the term may conjure thoughts of investment bankers and the like, many entrepreneurs and small business owners have been caught up in a web of similar fraud charges in recent years.

If you have been accused of fraud, Law Office of Diane C. Bass can provide experienced and proven legal help. Criminal defense lawyer Diane C. Bass has represented clients in fraud cases in Palm Springs, Anaheim, San Diego, Los Angeles, and Orange County, California. She is highly regarded by clients and her peers for her legal proficiency as a state and federal defense attorney in even the most complex and challenging white collar crime cases. 

Request a confidential consultation with our Orange County securities fraud attorney. You can reach us via our online contact form or call (949) 990-4195

Common Types of Securities Fraud

Securities fraud, or stock or investment fraud, involves deceptive practices in the stock or commodities markets that lead investors to make purchase or sale decisions based on false information. This frequently results in financial losses in violation of securities laws. It undermines the integrity of financial markets and causes significant economic harm to individuals and institutions alike.

Many criminal or otherwise deceptive activities can fall under the umbrella of securities fraud, including:

  • Insider trading.
  • Misrepresentation of the facts or finances relevant to any security or investment.
  • Schemes designed to defraud others.
  • Investment opportunity actors lying, cheating, or misusing information to obtain a financial advantage.

The U.S. Securities and Exchange Commission (SEC) and other federal and state regulatory authorities primarily investigate securities fraud and aggressively pursue the strictest charges under the penal code. The Financial Industry Regulatory Authority (FINRA) also oversees and enforces rules against fraudulent activities by brokers and advisors.

What Are the Penalties for Securities Fraud Convictions?

You can face severe civil or criminal penalties if convicted by federal law. Depending on the severity and scale of the fraud, consequences for brokers and advisors can include substantial fines, professional license revocation, and imprisonment. In extreme stockbroker fraud cases, fines can reach up to five million dollars; most fines are in the thousands. 

Unlike federal law, California law requires victims only to show that the defendant knowingly withheld vital information or misrepresented or omitted specific relevant facts. California laws do not require victims to prove financial losses or reliance upon incorrect information.

Under the California Corporate Securities Law, individuals found guilty at the state level may face significant fines, imprisonment, or both. Additionally, they could be subject to restitution orders, which require them to compensate victims for their losses.

How Can Law Office of Diane C. Bass Help the Accused?

Our firm can be pivotal in defending individuals accused of complex financial crimes. Ms. Bass can scrutinize the charges and evidence, developing a comprehensive defense strategy that may involve challenging the integrity or legality of the prosecution’s evidence. 

Ms. Bass can argue that misleading information was not given with fraudulent intent or that the accused was unaware of its deceptive nature. Additionally, she can negotiate with regulatory authorities for reduced penalties or seek alternative resolutions, such as settlements or compliance agreements, to avoid trial. 

In cases where the evidence is overwhelmingly against the accused, she can still negotiate for reduced sentencing or alternative punishment. Her deep understanding of state and federal securities laws, combined with her exceptional ability to navigate the intricacies of the legal system, makes our firm invaluable in safeguarding your rights and best interests.

Connect with us online or at (949) 990-4195 to schedule a one-hour consultation with our Orange County securities fraud attorney. 

Trusted By Clients

Reviews & Testimonials
    "She will put your anxiety at ease and get you through the tangled system."
    Diane is the perfect mix of gentle understanding and fierce action you’ll need if you find yourself dealing with the OC court system.
    - Angie T.
    "Whatever you’re going through, I’m confident Diane will achieve the best outcome you could hope for."
    My first impression was that she’s very experienced, no-nonsense, knows the law, how the system works, and was very busy as a result. I quickly realized that she exceeded even those first impressions but also cared very much about my story, needs, an
    - Daniel B.
    "From the start of my case, she has been there for me."
    First of all, I would like to thank Diane for everything she has done for me. From the start of my case, she has been there for me. Only very few people were granted bond and she pulled it off in my case. I know for a fact not too many lawyers could have done that. I am on probation for three years.. while “the others” will not have the chance to raise their children and live their lives. I was headed to prison….I am free.. and for that, I am forever grateful.
    - John H.
    "Diane Bass is a phenomenal attorney."
    After meeting with Diane I felt immediate comfort, and I was sold on the fact that I could trust this amazing person with my life. Diane Bass was there for me every step of the way like no other attorney had ever been.
    - Ryan O.
    "She is not afraid to battle for you. With her, you will never be alone."
    Diane is a brilliant attorney. She listens carefully to your problems and clearly advises you with honesty. She was with me from the first day of my case and I have never been disappointed in any way.
    - Maria K.
    "I highly recommend Diane if you are dealing with legal troubles of your own."
    Since this being my first Federal offense, I had no idea what to expect. I was extremely anxious. After talking to Diane, I felt like she was the attorney I needed to help me get through these challenging times. Her professionalism and knowledge of the law
    - Adam P.
    "Diane’s work is second to none."

    Diane’s work is second to none. I was charged with felony DV, and after working with one firm in Irvine that did absolutely nothing, I did some hard research and found Diane. She worked quickly and diligently and got the case dismissed. I absolutely don’t foresee me needing a criminal lawyer down the road, but if I do, it’ll be Diane hands down!

    - Shadic A.
    "Diane is the most professional, thorough attorney I have ever met."
    Her expertise, connections, analysis, and comprehensive review of my situation were more than I could ever ask. I am extremely grateful and couldn't be happier with my choice!
    - Jeff R.

Why Choose Law Office of Diane C. Bass?

  • Top-Rated & Award-Winning Legal Representation
    We consistently deliver results that exceed expectations, earning the trust of clients and accolades from the legal community.
  • 25+ Years of Criminal Defense Legal Experience
    With over 25 years of criminal defense legal experience, we bring a wealth of seasoned insight and a proven track record of success to every case we handle.
  • Extensive Knowledge & Experience With Federal Cases
    With extensive knowledge and experience in federal cases, we offer comprehensive legal strategies tailored to the complexities of each situation.
  • An Outstanding Reputation Amongst Clients & Peers
    Our reputation among clients and peers alike reflects our unwavering dedication to achieving the best possible outcomes for those we represent.
  • Featured in the Media
    Attorney Bass is frequently featured in media outlets such as The Washington Post, LA Times, ESPN, Forbes, the Wall Street Journal and more.
  • Track Record of Success
    With a track record of handling some of the most significant cases in the Central District of California, our firm brings unmatched experience to every client's defense.
  • Selected by Super Lawyers Since 2022
  • Avvo 10.0 Rating
  • National Association of Criminal Defense Lawyers
  • Orange County Bar Association
  • Top 100 Lawyers

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