Elite Lawyer

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.

Featured Attorneys in Your Area

View More Attorneys
Jeffrey Rhodes

Jeffrey Rhodes

Doumar Martin, PLLC.

1530 Wilson Blvd., Suite 430
Arlington, VA 22209
Phone: 703-243-3737View Profile
Andrew Protogyrou

Andrew Protogyrou

Protogyrou & Rigney

125 St. Pauls Blvd., Suite 150
Norfolk, VA 23510
Phone: 757-625-1775View Profile
Thomas Carter

Thomas Carter

Redmon, Peyton & Braswell LLP

510 King Street, Suite 301
Aleandria, VA 22314
Phone: 703-684-2000View Profile
Bobby Devadoss

Bobby Devadoss

Nationwide Federal Employment Law Attorney

The Devadoss Law Firm PLLC

14651 Dallas Parkway
Dallas, TX 75254
Phone: 469-522-3089View Profile
Waiting for Resize
Back to Top