Securities Brokers Investments
Attorneys and lawyers with experience in securities and investments help investors who have been defrauded or otherwise improperly treated by a financial entity such as securities firm, stockbroker or brokerage firm, mutual fund, or publicly held company. Improper treatment can include issuing a false prospectus or registration statement, inappropriate or unsuitable recommendations, excessive or unauthorized trading or churning, false or misleading representations, corporate fraud, and mismanagement. Securities attorneys also help entrepreneurs and others obtain venture capital financing, do a private placement or a public offering including registering with the Securities and Exchange Commission (SEC) and meeting State Blue Sky Law qualification. Securities and investment lawyers are familiar with the rules of the New York Stock Exchange and NASDAQ, and handle lawsuits and arbitrations to recover money lost as a result of false prospectuses and registration statements. They may also defend people accused of insider trading.
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