Securities Attorney Overview
Lawyer Representation in Cases Involving Investments
Corporations, organizations, and individuals regularly buy, sell, and trade stocks, bonds, and other securities, and when doing so, they are required to follow the regulations which are defined by United States laws and enforced by the Securities and Exchange Commission (SEC). These regulations can often be rather complex, and the assistance of an attorney is often required to address the legal issues that arise for investors or corporations.
Investors who have concerns about the activities of brokers or corporations should be sure to work with an experienced securities attorney to determine their best options. Likewise, corporations may need to work with skilled lawyers to ensure that they are in compliance with regulations.
Representation of Investors
Investors may wish to work with a securities lawyer before making investments to review broker agreements and ensure that their rights and interests are protected. An attorney may also be able to assist with claims against brokers or companies who have committed securities abuses such as:
- Unauthorized trading - A broker cannot make trades on a client's behalf without their permission.
- Churning - Brokers may make excessive, unnecessary trades with the purpose of increasing the amount they earn through commissions.
- Misrepresentation - A broker or securities firm may give
their customers false information or omit information when
advising them on making trades.
- Insider trading and market manipulation - A person who has knowledge about a company that is not publicly known cannot make stock trades based on this information. Similarly, a company or broker cannot take certain actions meant to artificially influence the price of stocks.
- Fraud - A company can commit securities fraud in a variety of ways, including manipulating the price of its stock, including false information in SEC filings, or falsifying accounting data.
Representation of Corporations
An experienced attorney can provide a corporation with invaluable legal help in situations involving securities. Their services may entail reviewing company records to ensure that the correct practices are being followed, meeting legal requirements when issuing stock, providing the correct information when filing reports and disclosing information to the SEC, responding to SEC investigations, and providing representation in cases involving claims of securities fraud or violations of securities laws.
Whether you are an individual investor, a brokerage firm, or
a large company, a skilled lawyer can provide you with legal
guidance when addressing issues related to securities, ensuring
that your rights are protected and helping you meet your
legal requirements while working to achieve a favorable outcome
to your case.
