Securities Law
When federal and state laws and regulations are broken and investors suffer financial losses, the investor may be able to file a securities lawsuit. The securities industry is complex with a distinct set of rules to follow. The Federal Securities Laws controls most aspects of the securities industry.
Securities attorneys represent their clients in transactions and legal disputes relative to stocks, mutual funds, bonds and initial public offerings (IPOs). A securities attorney may represent a client in a matter involving the Securities and Exchange Commission (SEC) or a corporation's shareholders in a securities fraud case.
Securities litigation is difficult. If you suffer financial losses, and you suspect fraud was involved, it is imperative you contact securities law attorneys with knowledge and experience representing investors without delay to investigate your situation.
There is a complex system of federal laws, regulations and state statutes controlling all transactions related to securities. Securities come in various forms such as:
- Stocks
- Mutual funds
- Bonds
Common Securities Abuses
- Insider trading
- Fraud
- Market manipulation
- Churning
- Unauthorized trading
- Misrepresentation and Omissions
- Unsuitability
- Misappropriation
Tricks and scam tactics are used to dupe investors with fraudulent investment schemes. Senior citizens are a high risk group for these scammers who use high pressure sales tactics to trick their unsuspecting clients.
Investors with claims caused by securities related losses may be able to file a lawsuit in state or federal court against a person, company or companies that caused their losses. The securities industry must provide accurate information to individuals and institutions that invest with them. There are laws that dictate strict standards for accounting, information disclosure and the handling of the investor's assets they were entrusted with. Injured investors have the right to pursue securities litigation claims when violations of these standards occur.
