What Does a Securities Lawyer Do?

Are you wondering what a securities lawyer does? 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.

Securities law is part transactional (i.e., if a bunch of loans are grouped together and then sold as a security to a financial institution or investor group), part regulatory (i.

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e., the issuance of securities is heavily regulated by the SEC) and part litigation (i.e., when investors file a lawsuit against an issuer of a security alleging fraud in connection with its purchase or sale).

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

Almost all disputes between brokers and customers are required to be resolved in arbitration. See how a securities lawyer can help you today.

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