SECURITIES - Attorneys and the Law

Securities law governs the financial market transactions and primarily comes from regulations passed by the federal Securities and Exchange Commission (SEC). The SEC has authority from several congressional acts to monitor trades in the United States financial markets. to ensure fair dealing and prevent securities fraud. The details of securities law are extremely complex, but important for any regular trader to understand. Anyone with frequent dealings in the US financial markets, or with specific questions about securities law, should consult an experienced securities attorney.

Securities Fraud

A significant focus of securities law is to define, prevent, and punish securities fraud. Securities fraud includes any deceptive practice designed to defraud the market such as falsifying company financial information, insider trading, stock manipulation schemes, embezzlement, and any other practice inducing investors to make a financial transaction based on false information. Laws surrounding security fraud are designed to promote fair trading in which every party has the same opportunity to make a profit in a market transaction, and any behavior attempting to defraud the market with false information or misuse of privileged information is illegal. The details of financial market transactions are complex, and, as such, so are the details of the securities laws preventing fraud. Questions and concerns about securities fraud or victims of fraud should consult an experienced securities attorney immediately.

Securities Attorneys

Securities law is difficult to understand, but can bring very serious consequences if violated. It is important to have an experienced securities attorney as counsel to help a company set up institutional safeguards that protect against employees committing securities fraud, or help a victim of securities fraud recover the damages suffered. A securities attorney will have a good understanding of how the financial markets work, and how a client can operate within the governing securities law.