Securities Law Lawyers and Attorneys

Securities attorneys work on capital raising and on what happens when it goes wrong: private placements and exempt offerings, registration statements and public offerings, ongoing reporting obligations, broker-dealer and investment adviser regulation, SEC and state enforcement, FINRA arbitration and shareholder litigation.

Compliance is the cheap part of this practice and enforcement is the expensive one. Most disputes trace back to disclosure — what investors were told, what they were not, and what the documents actually said.

Before you hire

• Raising money from investors triggers securities law even for small private companies. Ask which exemption you are relying on before you accept a cheque.
• If a regulator has made contact, get counsel before responding. Informal inquiries become formal investigations.
• Investors with a claim against a brokerage will usually be in FINRA arbitration rather than court — ask about that forum specifically.

Stockbroker and investment fraud, white collar crime and business law cover related matters.