If you are running a large corporation or a small company you will need securities attorneys to advise you on public and private securities regulations. Securities law is ruled according to the Securities Act of 1933 and the exchange activities of the year 1934 and also by accompanying interpretations and rules. The chief regulatory agency that administers securities and stock offerings is the Securities and Exchange Commission.

Whenever you are making an offering to the public or private investor you will need securities attorneys to advise you on the right documentation. If you do not follow SEC regulatory requirements you might have to face an enforcement action which might result in civil liability or criminal prosecution.

How can a Securities Attorneys help you?

Securities Attorneys can play a very important role in protecting your investments. In the beginning, when you are planning your investment a security lawyer can help in investigating the health and financial history of companies depending on their reporting or on the information provided by the broker according to his legal obligations which include

  •    Duty to reveal all essential information regarding any investments recommended
  •    Duty to find out whether a product suggested is appropriate for you
  •    Duty to place the interests of the client above his or her own.

A securities lawyer can also advise on the common signs of securities fraud or malpractice of your investments. He can also guide you on what to watch as you invest. A securities lawyer can also keep you posted on different types of claims available to investors who suffer losses that are not attributable to normal market forces.

Securities Law Firm

When there are disputes at the time of buying and selling of securities, lawyers who practice securities law and are members of security law firm convert to litigators. They arrange filings for court and take part in the traditional litigation activities which include motion practice, discovery, and trial. Many cases of litigation go for arbitration, so attorneys who practice securities law should be experienced in arbitration.

Attorneys who are working in securities regulation may represent both investors and corporations. When an investor thinks that a corporation has failed to comply with securities regulation or acted with fraud, he can get the help of securities lawyer to help him track a remedy. Corporations depend on attorneys to defend them against allegations of fraud.

Securities Law for Administrative Purposes

The security law firm besides regulations, transactions, and litigations, securities law practice may include an appearance in an administrative hearing. If the Securities and Exchange Commission suspects fraud or non-compliance, they may get a civil action on an administrative law judge within the SEC. The judge of the SEC is an independent judge who hears non-compliance allegations with securities laws. Lawyers work on both sides to pursue violations allegations on behalf of SEC and to defend against the allegations on corporations behalf.


If you are the owner of a small company it is better to have a securities attorney to advise you in security regulations.