Stock Options Fraud


A "serious" crime like murder robs a man of his life. However, something like stock options fraud can rob a man of his livelihood, making his life a living hell while the criminals, who are usually already prosperous, get fatter and wealthier by the day.

Stock Options Fraud is a greed-based crime that refers to a number of practices by stock brokers, corporations, or employees that defraud the clients, the company, or the SEC.

There are several ways to commit stock option fraud, and there are several types of people who have the access and the knowledge to commit it. Because it is usually carried out by highly educated and knowledgeable people, the crime is usually hidden very well and can be extremely difficult to detect. While the SEC has had great success in tightening regulations on issuing, sharing, and trading stocks, it simply does not have the resources to put teeth to the enforcement of the regulations. A private investigation may be necessary to aid the SEC in ferreting out fraudulent practices. VIS has the network and the resources to do just that, with a team of highly trained investigators who have years of experience in the financial sector. Call us for a free consultation, and let us explain our process for crunching the numbers, analyzing agreements and contracts, and tracing the facts to their true origins.

Stock Options Fraud Information:

Investment Fraud by Stock Brokers

  • Misappropriates client funds
  • Fails to execute a securities order
  • Omits relevant facts about an investment
  • Engages in unauthorized trading practices
    • Churning: excessive buying and selling in your account by your broker for the purpose of generating commissions

Back Dating Stock Options

  • Company executives back date stock options to a grant date when the stock was trading substantially lower, so that the execs and the company realize a greater profit on the day the stock is actually purchased

Employee Stock Options

  • Executives may terminate an employee prior to his stock options vesting so that they do not have to issue any stock to that employee
  • A company lying to its employees about the amount of stock being issued, their exercise prices, their vesting schedules, or their entitlement to employee stock options
  • Wrongful cancellation of unvested stock options by the parent corporation

These cases need more time and efforts to detect and investigate. At VIS, we have highly knowledgeable and experienced team who are experts in financial analysis and computer forensic. If you have any suspension, consult VIS, our highly experienced team is waiting for you all over the globe and specially in Indian cities like Mumbai, Pune, Delhi, Kolkata, Chennai, Bangalore, Noida, Hyderabad, Jaipur and Ahmedabad.

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