Securities can be broadly defined as any financial instrument or tradable asset, with some of the most common examples being stocks, bonds, and exchange-traded funds (ETFs). Even for experienced investors, securities can be overwhelmingly complex. Thankfully, a securities law attorney can assist you in a number of ways when it comes to your investments. Keep reading to discover just three of the services provided by a corporate lawyer who focuses on securities.
Identify Signs of Fraud
If you are an investor who has trusted investments to a financial broker, one of the most difficult things to do is determine whether or not fraud has actually played a role in your monetary losses. A securities law attorney can work on your behalf to analyze the actions taken by your financial advisor. The attorney can expertly attribute the subsequent losses to either unfortunate market forces or other factors that may be at play, including mismanagement, misrepresentation, or manipulation of any kind. If you suspect fraud but are not sure there is any proof, get in touch with a securities law attorney who can help you come to a definitive conclusion before taking further action.
One of the most important aspects of a security law attorney's job is to initiate legal action. This is usually based on an investor's claim of their financial advisor breaching fiduciary duty, which may take several forms. For example, the claim may posit that the financial advisor has made unsuitable investment recommendations, traded securities without proper authorization, or has pushed the investor to use excessive margin. If any of these examples mirror your own experience with a financial advisor, then you should contact a securities law attorney as soon as possible. They will be able to represent you and advocate for your best interests in the course of a lawsuit or trial.
Corporate lawyers who work within securities law also work to help corporations. These companies—especially smaller ones who are seeking to make private or public offerings of securities—may not have the in-house expertise to ensure that they are complying with federal and state securities regulations. Larger companies who are preparing for a merger or acquisition are also likely to be in need of securities law attorneys for the same reason. Even real-estate developers may require the assistance of a corporate lawyer who is familiar with real estate securities.
For more information, contact a securities law attorney near you.