what does a securities attorney do

by Zane Schuster Published 3 years ago Updated 2 years ago 6 min read

A securities attorney handles legal matter related to the financial assets of a client. As a securities attorney, you typically specialize in regulatory, transactional, or litigation work. Your job duties vary by your specialization.

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.

Full Answer

What does a securities lawyer do for consumers?

Nov 24, 2021 · A securities lawyer can represent you in any litigation arising from your investments, including a shareholder’s derivative action, a class action suit, or a suit against your broker, or in the case of a financial professional, defending you from such claims.

Do I need a securities lawyer for my brokerage agreement?

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 .

What are securities laws?

The term securities lawyer generally refers to an attorney who specializes in the laws that govern the securities industry. A securities lawyer may represent corporations with regard to securities filings, compliance, and transactions. Other securities lawyers, like the lawyers at the Costello Law Group, focus on representing individual investors who have been the victims of fraud or who …

Why do consumers care so much about securities law?

Mar 16, 2022 · A securities lawyer specializes in securities laws and regulations that apply to investors, brokers, and financial advisors. Securities lawyers represent investors claiming losses as a result of misconduct or fraud, as well as brokers and financial advisors accused of misconduct by their clients or their employers.

What is the purpose of securities law?

The Securities Act serves the dual purpose of ensuring that issuers selling securities to the public disclose material information, and that any securities transactions are not based on fraudulent information or practices.

What does securities mean in law?

A security is an investment in a business. It can take the form of shares of stock, bonds, a package of loans or mortgages offered for sale by a financial institution or a financial instrument representing investment in a company or an international project.

What do securities lawyers do Canada?

Advising issuers and underwriters through a wide range of equity and debt financings, including start-up financing, mezzanine financing, public offerings and private placements. Structuring of corporate finance transactions. Advising on securities regulatory requirements for public offerings and private placements.

How are securities regulated?

On the federal level, the primary securities regulator is the Securities and Exchange Commission (SEC). Futures and some aspects of derivatives are regulated by the Commodity Futures Trading Commission (CFTC).

Should I take securities regulation?

Those who want to be corporate generalists should seriously consider Securities Regulation because of the pervasive impact the federal securities laws have upon corporate financing by small business and large corporations as well as on corporate acquisition transactions and the securities markets in general.

What are the US securities laws?

The securities laws broadly prohibit fraudulent activities of any kind in connection with the offer, purchase, or sale of securities. These provisions are the basis for many types of disciplinary actions, including actions against fraudulent insider trading.

What is security law Canada?

Canadian securities laws prohibit insiders of reporting issuers, and others who are in a special relationship and have access to undisclosed material information, trading in securities while in possession of such information or 'tipping' others regarding such information.

What is a security business law?

Securities law (or Capital Markets law) is the group of laws and regulations that govern the issuance of securities. A security is a financial instrument usually designed to raise money for a business from investors in the business.

What are securities in finance?

Securities are fungible and tradable financial instruments used to raise capital in public and private markets. There are primarily three types of securities: equity—which provides ownership rights to holders; debt—essentially loans repaid with periodic payments; and hybrids—which combine aspects of debt and equity.

Who can issue securities?

Securities are issued by the companies to the investors. Securities are exchanged between buyers and sellers, and stock exchanges facilitates the trade. The securities are all issued at one price for all investors participating in the offering. Securities are exchanged at the market price.

What does the Securities Act require?

The act—also known as the "Truth in Securities" law, the 1933 Act, and the Federal Securities Act—requires that investors receive financial information from securities being offered for public sale. This means that prior to going public, companies have to submit information that is readily available to investors.

Who oversees the SEC?

The SEC has five Commissioners appointed by the President of the United States, with the advice and consent of the Senate. The President designates one of the five Commissioners as chair of the Commission; the current chair is Gary Gensler.

What is Securities Law?

First, let’s go over some definitions. Security is a fungible financial instrument used to raise capital in public and private markets. Examples of securities include stocks, government bonds, corporate bonds, exchange-traded funds (ETFs) and certificates of deposit (CDs).

What Does a Securities Lawyer Do?

How Can You Benefit from Hiring a Securities Lawyer?

Many people think that only wealthy people need lawyers in their financial affairs. That could not be further from the truth. Unfortunately, mistakes and fraud by investment professionals are all too common. In 2018, FINRA expelled 16 firms and 386 financial advisors from the securities industry due to violations of security law.

What is a FINRA?

FINRA is a self-governing regulatory agency charged with ensuring its members comply with the ethical rules of the financial industry and investigating investor complaints alleging misconduct and fraud. FINRA can impose fines and restrictions on brokers when necessary.

Who is Robert Wayne Pearce?

Robert Wayne Pearce has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

What Do Securities Lawyers Do?

A security is a catch-all term that refers to just about any negotiable financial instrument. If you are an investor, you probably own securities. Some of the most common types of securities include:

Can You Benefit From the Services of a Securities Lawyer?

If you sustained investment losses, you need to answer the following overriding question: Did your investments lose money or were you a victim of misconduct? This complicated and difficult question will determine whether or not you have a valid legal claim.

Securities Law: Common Types of Investor Claims

There are many different securities laws on the books that are designed to protect investors against fraud and negligence. Two of the most prominent examples are the Securities Act of 1933 and the Securities Act of 1934.

How Your Attorney Can Help Your Recover Compensation

If you sustained monetary damages due to the bad actions of your broker you are entitled to seek financial compensation that is equal to the full value of your losses. As a general rule, this is done by filing a legal claim. In some cases, securities disputes will end up in a traditional courtroom setting.

You Can Always Afford a Top-Rated Securities Lawyer

Many investment fraud victims worry that they will not be able to afford to a top-rated securities fraud attorney. This is certainly an understandable concern, as wronged investors have already sustained serious financial losses. The last thing an investor wants to deal with is more costs.

Were You a Victim of Securities Fraud?

We can help. At the Sonn Law Group, our dedicated securities fraud attorneys have helped many investors recover full and fair compensation for their losses. If you lost money because of your broker’s negligence or intentional misconduct, please contact our team today at 844-689-5754.

What is a securities attorney?

For corporations, securities attorneys are the first line of defense when it comes to financial expansion and capital gain. For individuals, these legal representatives can keep an eye on potential investments. The role of the securities attorney is difficult to understand, but if you’re looking to make capital gains and want to keep your investments protected, it’s a good idea to consult legal counsel.

What are the three facets of securities law?

The first is transactional , such as when financial advisors help facilitate broker-dealer agreements . The second is regulatory and involves securities arbitration and the Financial Industry Regulatory Authority (FINRA). The final part involves commercial litigation, federal courts, and navigating securities fraud committed by brokers and institutional investors. Securities attorneys are often involved in all three sectors but focus particularly on litigation and especially on securities fraud.

What Is a Securities Lawyer?

If you’re a shareholder in a company, then you own “securities” in that company. These come in the form of stocks, bonds, or mutual funds.

When Do I Need One?

Your securities attorney can assist you in all the stages of your investment. If you’re still at the planning part of how to invest in the stock market, your lawyer can research the financial and legal health of the companies you’re thinking about.

Find a Match

If you’re serious about investing, a securities lawyer is both practical and necessary. Think of them as your personal pediatrician for your investment. They’ll assist in the birth, make sure they grow up nice and healthy, and cure whatever illness they may suffer from.