Knowledgeable securities lawyers specialize in the complex laws and regulations that apply to financial firms, registered representatives, and investments. Not only can these lawyers help you determine whether you have grounds for pursuing a case against the party responsible for your investment losses, but also, they can file the claim on your behalf.
If you are an investor who has suffered investment losses and you suspect that broker misconduct or negligence was involved, a skilled securities attorney can help you recover your losses from the broker-dealer and financial advisor that caused you financial harm.
At Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com), we are experienced securities lawyers with over 100 years of combined experience in the industry and its laws. We've represented clients in mediation, litigation, and arbitration.What Is Securities Law?
Many securities laws exist to protect investors. The first, which was passed after the stock market crash of 1929, was the Securities Act of 1933. The Act established laws against fraud and misrepresentation involving the markets. It created greater transparency in financial statements so that investors could make better decisions about their investments.
One year later, the Securities Exchange Act of 1934 was enacted to preside over securities transactions on the secondary market. It also granted permission to establish the Securities and Exchange Commission (SEC). This independent agency of the US government oversees securities, the markets, financial professionals, brokerage firms, and investment advisors.
Visit the Commission’s website for a list of the latest securities cases filed. Since then, other securities laws and regulations have been passed. A good securities attorney should be a savvy SEC lawyer, too.FINRA
US-based broker-dealers and their registered representatives must also abide by the rules and regulations established by the Financial Industry Regulatory Authority (FINRA), a private organization and the self-regulatory organization of the securities industry.
These days, the majority of claims against brokerage firms and their financial advisors are filed through FINRA arbitration. That is because customers are being asked to sign mandatory arbitration clauses in their agreements with broker-dealers in which they consent to take litigation out of the equation in the event of a dispute.
In instances where you would need to file an arbitration claim, a securities lawyer who is also a seasoned FINRA arbitration attorney will be your best bet in maximizing your chances for financial recovery.What Are the Benefits of Working With a Securities Attorney?
Working with adept securities lawyers is key in helping you pursue and obtain damages for your investment losses and protecting your legal rights and remaining or existing assets. They can act right away to stop your financial firm from committing further misconduct or negligence.
Although some investment losses can be attributed to market activity, investors often do lose money because of their financial advisor's actions (or inactions) or the issuer of the financial instruments. These grounds can be tough to prove without the help of an experienced securities attorney by your side. Some of the allegations may include:
- Misrepresentations and omissions
- Selling away
- Failure to supervise
- Margin account
- Broker fraud
- Unauthorized trading
- Breach of fiduciary duty
You want a dedicated securities law firm that understands the ins and outs of your case and the damage your investment losses have caused. You want experienced securities lawyers that are committed to looking out for your interests.
While some investors may think that joining a class action securities case may be the best solution, this type of litigation will not maximize your recovery. Going after the firm and its brokers responsible for your losses is something your own team of securities attorneys can do for you.
Also, just because the SEC or FINRA has decided to file their own civil cases against the offending party doesn’t mean that this guarantees you will receive any of the damages you are owed. This is another reason why it is beneficial to submit an individual claim.Fighting For Investors For Over 30 Years
SSEK Law Firm has built a reputation as a securities law firm that will fight for investors. We have represented thousands of clients, including retail investors, retirees, elderly investors, conservative investors, high-net-worth individual investors, ultra-high-net-worth investors, and institutional investors. Our securities attorneys have recovered many millions of dollars on their behalf.
To schedule your free, no-obligation case assessment with one of our seasoned securities lawyers, call SSEK Law Firm (800) 259-9010 today or contact us online.