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In today's financial world, investors need a secure source of information for their investment needs and lawyers to fight for them if they have been defrauded in any way. The comprehensive field of securities is layered with hard to understand rules and regulations. A Securities Lawyer is an expert with all of these laws and is willing to help.
The Securities and Exchange Commission generally administrates federal securities laws. The SEC regulates the way stocks and bonds can be traded, issued, brokered, and sold. A securities lawyer can assist you with understanding the SEC rules.
The Securities Act of 1933 , often referred to as the "truth in securities" law, was written to curb fraud. The Securities Act of 1933 has two basic objectives:
Require that investors receive financial and other significant information concerning securities being offered for public sale.Prohibit deceit, misrepresentations, and other fraud in the sale of securities When you are preparing to purchase or broker stocks, bonds, mutual funds, etc., a securities lawyer is a necessity. A Securities Attorney can assess the market and advise you with your investments. A Securities Lawyer can also file suits or claims against anyone who has defrauded you or someone you know.
Examples of securities fraud include:
Providing False Information
Stock Manipulation
Lying to Auditors
Insider Trading
Late-Trading Schemes
Unauthorized Trading
Breach of Fiduciary Duty
Broker Embezzlement
There is no shame in being a victim of securities fraud. Stock Brokers and other related professionals hold a high standard of quality in their respected field, but sometimes innocent people are taken advantage of. Fraud is the most serious offense a professional in the financial profession can commit. The following are several related ways in which one can be defrauded:
Investment Fraud
Stock Fraud
Bond Fraud
Mutual Fund Fraud
Internet Fraud
Trading Fraud
A Securities Lawyer can help you with:
Securities Brokering
Securities Dealing
Securities Underwriting
Investment Advisory
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