attorney who specializes in securities law

What does a securities lawyer do?

Jun 20, 2016 · A securities lawyer is an attorney that specializes in the often complex and changing laws and regulations that apply to financial investments. These specialists can provide significant benefits to you both in planning your investments as well as in recovering any losses from wrongdoing .

How do I find a securities lawyer?

Aug 23, 2010 · If you already have a lawyer, consult with him or her about your options and whether you need a lawyer who specializes in securities. You may want to call several bar associations to obtain a varied listing of lawyers in your area. Many lawyers will offer to consult with you initially for free or charge a minimal fee.

Why hire a securities fraud lawyer?

SEC Lawyers are skilled professionals that are trained in the business of taking companies from private corporations to publicly traded companies. Securities attorneys are not interested in litigation, they specialize in filing paperwork accurately and …

Why hire the securities law practice group?

Securities Attorneys for Financial Advisors. The licensed and highly qualified securities attorneys of Eccleston Law counsel, represent and defend financial advisors nationwide in legal matters such as regulatory, compliance, disciplinary and employment through the use of arbitration and litigation. Our securities attorneys have years and years experience in representing financial …

What are the 4 types of lawyers?

Here's an overview of the most common types of lawyers.Personal Injury Lawyer. ... Estate Planning Lawyer. ... Bankruptcy Lawyer. ... Intellectual Property Lawyer. ... Employment Lawyer. ... Corporate Lawyer. ... Immigration Lawyer. ... Criminal Lawyer.More items...•Sep 29, 2020

What is meant by securities law?

Securities laws are designed to protect investors, or the people who own securities. Securities laws are designed to ensure investors have accurate information regarding the interests they are buying. They govern how much information investors must receive, including details about the type of interest and its value.Nov 18, 2021

What is corporate and securities law?

Both corporate law and securities law serve to protect the investors' interest, but they do so at two different phases of the investment process. Securities law protects investors as traders, while corporate law protects investors as owners.Aug 25, 2019

What are the two types of attorneys What is their role in court?

What are the types of criminal lawyers? There are two main types of criminal lawyers: prosecuting attorneys (also referred to as district attorneys), and defense lawyers. Prosecuting attorneys represent the government against which an alleged crime was committed, whether on the local, state, or federal level.

Why must securities be regulated?

The three core objectives of securities regulation are: • the protection of investors; • ensuring that markets are fair, efficient and transparent; • the reduction of systemic risk. 1. The responsibilities of the regulator should be clear and objectively stated.

What is blue sky reporting?

Blue sky laws are state-level, anti-fraud regulations that require issuers of securities to be registered and to disclose details of their offerings. Blue sky laws create liability for issuers, allowing legal authorities and investors to bring action against them for failing to live up to the laws' provisions.

What is the highest paid lawyer?

Highest paid lawyers: salary by practice areaPatent attorney: $180,000.Intellectual property (IP) attorney: $162,000.Trial attorneys: $134,000.Tax attorney (tax law): $122,000.Corporate lawyer: $115,000.Employment lawyer: $87,000.Real Estate attorney: $86,000.Divorce attorney: $84,000.More items...•Dec 14, 2021

Can states regulate securities?

In the United States, each individual state has its own securities laws and rules. These state statutes are commonly known as Blue Sky Laws. Although the specific provisions of these laws vary among states, they all require the registration of securities offerings, and registration of brokers and brokerage firms.Jun 3, 2021

What are the US securities laws?

The Securities Act of 1933 is the federal law that requires that securities sold to the public be registered with the SEC and that complete information about the seller and the stock offering is made available to investors. The Securities Act of 1934 regulates the operation of stock exchanges and trading.

Who are the parties involved in a case?

Parties include: plaintiff (person filing suit), defendant (person sued or charged with a crime), petitioner (files a petition asking for a court ruling), respondent (usually in opposition to a petition or an appeal), cross-complainant (a defendant who sues someone else in the same lawsuit), or cross-defendant (a ...

Which type of lawyer is best?

The Top 10 Lawyer Types You're Most Likely to NeedBusiness Lawyer (litigation or transactional) ... Family Lawyer (a.k.a. Domestic Relations Attorney; a.k.a. Divorce Lawyer) ... Traffic Lawyer. ... Trusts and Estates Lawyer. ... Immigration Lawyer. ... Personal Injury Lawyer. ... Real Estate Lawyer.More items...•Dec 31, 2015

Who is the person who sits next to the judge in court?

The court reporter usually sits near the judge and types on a small machine. Court reporters type very fast, and everyone in court has to speak slowly and clearly so the court reporter can hear what they say. All courts have clerks as well.

How to file a securities complaint?

If you need help in finding a lawyer who specializes in resolving securities complaints, you may want to try the following: 1 If you already have a lawyer, consult with him or her about your options and whether you need a lawyer who specializes in securities. 2 You may want to call several bar associations to obtain a varied listing of lawyers in your area. Many lawyers will offer to consult with you initially for free or charge a minimal fee. 3 Broaden your list of potential securities lawyers by consulting directories of attorneys. The Martindale-Hubbell® Law Directory can be found at many libraries or at their website. It lists lawyers by state and jurisdictions. Some state and local bar associations also compile directories and may list attorneys according to specialty.

How to contact the American Bar Association?

Phone: (312) 988-5522. Toll free: (800) 285-2221. Fax: (312) 988-3284. The American Bar Association will not refer you directly to an attorney. They will, however, provide you with the name, address, and phone number of a referral service in your area. This is a free service.

Securities Law Attorney

An SEC registration attorney can help facilitate this process and assist companies on making the jump from being a privately held company to being a publicly traded one, with a minimum of difficulty.

Securities Lawyer

The Security and Exchange Commission was first founded in 1934, in response to the lingering fallout from the Great Depression and the market crash of 1929. Until that point, there was no regulation over the reporting and income generated by companies that were offering shares of stock for sale.

Public Offerings

We represent many public companies and companies seeking to access public markets in initial public offerings (IPOs) and/or the increasingly more common structures, alternative public offerings (APOs), direct public offerings (DPOs), special purpose acquisition companies (SPACs), as well as debt or hybrid securities secondary offerings of equity.

REITs and Real Estate Securities

The Securities Law Practice Group also has substantial experience with regard to real estate securities, real estate investment trusts and real estate-based securities. Duane Morris attorneys advise clients involved in listed and non-listed real estate securities.

Transactions

The Securities Law Practice Group performs a wide range of complex corporate transactions, including mergers and acquisitions, hostile and friendly tender offers, going private transactions, the conversion of mutual insurance companies, the formation of downstream holding companies for insurance companies, financial services securities matters, bank holding company matters and the conversion of savings and loan associations.

Corporate Compliance, Regulatory Matters and Governance

In the U.S., we assist in the preparation of periodic SEC reports, filings and advice in connection with insider transactions (including Section 16 and Section 10 (b) and Rule 10b-5), Regulation FD disclosure obligations, option and other equity-based compensation plans, spin-offs, going private transactions, tender offers, proxy contests, corporate restructurings, change in control and other transactional (M&A) events and assisting Audit, Compensation and Nomination Committees in complying with the requirements of the SEC and national securities exchanges.

For More Information

For additional information, please contact Brian P. Kerwin or any of the practice members referenced in the Attorney Listing.

Customer complaint? FINRA inquiry? CFP investigation? Regulatory audit?

You need your own lawyer! For serious matters like a customer complaint or regulatory inquiry, you need your own lawyer to protect your interests when you respond to your firm’s compliance department.

The securities attorneys at Eccleston Law assist financial advisors with

We can provide valuable advice and assistance in responding to FINRA Enforcement inquiries and actions and are here to help you with all aspects of the Enforcement process.

Significant Victories of the Securities Attorneys at Eccleston Law

Granted zero dollars to the investor, the financial advisor reps of Eccleston Law have shown expertise through multiple significant victories in the past.

What is preferred securities?

Preferred Securities. In times of market crisis, similar to what we are now experiencing, most preferred securities act more like common stock than fixed income. As a result, preferred securities miss the upward price appreciation that common stocks enjoy but are exposed to the downward declines.

What is the responsibility of an investment firm?

Investment firms have a responsibility to establish and maintain rules regarding the supervision of their registered financial advisors and brokers. The supervision includes regular reviews of your portfolio to ensure it meets your investment objectives and risk tolerance. Broker-dealers are required to contact you in response to red flags to ensure you understand the risks involved with your holdings or trading strategy. If your investments lost money due to a representative's negligent or fraudulent behavior and the firm's failure to supervise played a role, our lawyers may be able to help you recover your losses.

What is junk bond?

Junk bonds are often sold under the guise of bond funds or referred to as high-yield funds, and financial advisors and brokers have been fined for misrepresenting or omitting material information regarding the risks of the investment and the bonds themselves.

What is a churning account?

Churning in stock accounts is a form of investment fraud that involves the excessive transaction of your investment account's securities by your broker without regard for your financial objectives in order to generate commissions.

Is variable annuity good for retirement?

Variable annuities are often recommended by investment advisors and brokers as a secure element of your retirement plan. Yet they are not suitable for many consumers, particularly elderly investors, and are sometimes sold against clients' best interests. Annuities pay some of the highest commissions in the securities markets, the annual costs can exceed 3%, and there are very high penalties for liquidating.

What is the FINRA?

The Financial Industry Regulatory Authority (FINRA), an agency overseen by the U.S. Securities and Exchange Commission (SEC), requires member investment firms to implement supervisory systems for registered representatives and their financial offerings.

What is a churning?

Churning, in which a broker executes excessive trades from a customer's account for personal financial gain. Financial advisor or broker engaged in selling away from the firm. Ignorance of an investment professional's negligent or fraudulent behavior does not excuse investment firms from accountability.

What is a securitized asset?

Securitization is a way to transform an illiquid asset (or group of illiquid assets) into a security. A group of contractual debt obligations -- e.g. a mortgage, auto loan, or credit card debt obligation -- is pooled together and the cashflows resulting from these underlyings is resold to investors as a security. Examples of securitized securities include bonds, pass-through securities, or collateralized debt obligations.

What is the process of securitization?

The securitization process has two basic steps. First, a creditor pools assets from its balance sheet into a portfolio and sells it to a special purpose vehicle (SPV) or other issuer (for example, a trust). The asset originator is therefore removed from the equation and has no legal interests in the securities created.

What are the types of debt based assets?

Many types of debt-based assets are securitized . Credit card balances, automobile loans and student loans are commonly securitized. Perhaps the most common type, even after the financial crisis, is mortgage-backed securities. In a mortgage-backed security, mortgages issued to people with high credit ratings are packaged into senior tranches, while debtors with lower credit ratings are packaged together for more junior tranches.

Public Offerings

• We represent many public companiesand companies seeking to access public markets in initial public offerings (IPOs) and/or the increasingly more common structures, alternative public offerings (APOs), direct public offerings (DPOs), special purpose acquisition companies (SPACs), as well as debt or hybrid securities secondary offerings of equity. When representing issuers, w…

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Private Offerings/Pipes

REITs and Real Estate Securities

Transactions

Corporate Compliance, Regulatory Matters and Governance

For More Information