Federal securities matters · Preparation guide
Securities Fraud PSR Preparation: Financial History and the Individual Record
The presentence interview requires more than an account of a financial case. Prepare an accurate history of the person, with financial information that can be checked.
By Joseph De Gregorio · Federal Sentencing Strategist
Founder and President, Sentencing Advocacy Group
Published November 5, 2026
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Start with the interview schedule and instructions
Confirm the interview date, requested records and preparation timetable with counsel. Identify which facts have been established and which remain disputed. Do not use a personal narrative to resolve legal disputes without the attorney’s review. A clear working schedule leaves time to obtain missing records and correct factual inconsistencies.
Reconcile complex financial interests
Investment accounts, partnership interests, restricted assets, deferred compensation and contingent claims require careful description. Record ownership, valuation date, source and availability separately. Keep business and personal liabilities distinct. A previous valuation or public wealth estimate may not describe current financial circumstances.
Document the professional history beyond a title
Build a dated employment chronology with responsibilities, transitions and current status. Include training, oversight changes and restrictions accurately. Character support should reflect firsthand observations rather than repeat professional prestige. A prestigious employer or credential does not replace evidence of accountability or explain the individual’s current circumstances.
Prepare the complete personal record
Organize family responsibilities, health and treatment history, education, employment prospects and practical plans. Distinguish completed work from intentions. SAG helps develop an indexed record and preparation agenda; counsel reviews sensitive issues and handles legal objections. Probation prepares the report, and neither SAG nor the client controls how every submitted item is incorporated.
Sources and the next preparation question
U.S. Courts: Presentence Investigations. Source checked November 5, 2026. Counsel evaluates the governing law and individual facts.
Will every personal narrative be attached to the PSR?
That cannot be guaranteed. Counsel and probation determine the process and treatment of submitted materials. Prepare accurate, relevant documentation without assuming a particular format or result.
A defined preparation assignment
Work directly with Joseph to establish the scope, source records, authorized recipients and review dates. Agreed deliverables can include a personal-history chronology, an indexed supporting file, factual questions and a practical preparation schedule. Investigation-stage legal decisions require qualified federal defense counsel. An engagement with SAG does not automatically establish privilege.
SAG serves clients nationally from Freehold, New Jersey, with travel arranged for cases. Share your stage and next deadline in the initial inquiry. Do not upload investigative records, investor details or privileged advice.
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SAG is not a law firm and does not provide legal advice or representation. Courts and agencies determine outcomes. No charging decision, sentence or release date is guaranteed.