Securities Lawyers

What Does a Securities Lawyers Do?

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, 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.


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:

Why Do You Need Your Own Securities Lawyer?

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.

Client Reviews
"I am going to miss conversations with you, Sam Edwards. You’ve been a wonderful lawyer and a friend. I loved learning legal jargon from you. But, even more, it is your self-respect and commitment to your position that I admire and your persistent patience-your equanimity. With great appreciation, thank you!" M.B.
"My experience with Ryan Cook has been very positive. Through every step of the litigation he explained what to expect to happen. When I spoke with him later he reviewed the process. He was very patient, and I never felt rushed. I have already told friends how wonderful he is." L.R.
"I want you to know that I very much appreciate your expertise, hard work, and guidance that led to a satisfactory resolution with Raymond James. From our first meeting, I felt "heard" and that my situation and story were respected. Every subsequent interaction I had with any of you - in person, via email, or by phone - only corroborated that feeling. What great work you do on behalf of people like me who have been wronged, yet don't know how to navigate the appeals/mediation/arbitration process as you do. I will be forever grateful." M.L.
"Good positive experience. Guided us through a difficult process and was pleased with the outcome. Everyone I dealt with was exceptional." A.G.
"Good intelligent attorneys who never miss a beat. I set my expectations high, and they delivered above and beyond. Do not miss the opportunity to let SSEK represent you. Top-notch, efficient and effective firm." S.M.
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Fill out the contact form or call us at (800) 259-9010 to schedule your free consultation.