Do You Know What A Securities Attorney Is?
A securities attorney is an attorney that takes up different types of legal cases that have anything to do with securities
. Securities come in different types.
There are those issued by the government or corporations and companies like stocks, bonds, debentures, etc. These have all the terms and conditions pertaining to the ownership and payment terms. These securities are paid either as a final pay off or as a dividend. The transactions with respect to interests, dividends, or final payments can have different types of irregularities which may devoid the purchaser of any associated benefits.
These benefits may also not be acquired because of securities fraud, etc. In worse cases, an investor may even lose his whole investment. All these issues need to be dealt with by an attorney.
Some actions taken by broking firms, brokers, etc. that require the services of a securities attorney include market manipulation, frauds, insider trading, embezzlement, and broker negligence. The services provided by this attorney for these acts include litigation and trial, representation, and compensation.
Many types of laws are often associated with securities and investments and this attorney needs to be well apprised and very well familiar with these laws.
For instance, in the United States, securities are covered both by the state laws and federal laws as these two regulate the issuance and payment of securities. Federal securities are administered by the Securities and Exchange Commission (SEC). Two major federal laws that apply to securities are the 1940 Investment Company Act and the 1940 Investment Advisers Act.
Most complaints arise against brokers facilitating the sale and purchase of these securities; hence, a securities attorney has to represent his/her clients against fraud, etc. committed by the broker.
Irregularities in securities arise due to industry scandals, accounting shenanigans, trading schemes, illegal fund, questionable sales practices, and fund break point failure. Therefore, the role of an attorney is not limited to the debentures and debts of corporations and companies.
Several complaints made against brokers are increasing continuously. This is the why the role of these attorneys is becoming more and more important in debt and corporate world. Brokerage firms, stock brokers, and individual brokers failing to comply with the rules and policies are also giving push to the complaints being filed against them.
Apart from standing on behalf of the clients in different securities, a securities attorney also advises his/her clients about their legal rights that come with their investments. An attorney should also provide essential arbitration services.
Now, if you are facing some irregularities in your securities or have been a victim of fraud, you need to seek help from a reputable attorney. Finding one is easy as there are many sources that can provide you valuable information about these attorneys.
Searching for securities attorney online is also a very good idea since you can get automatic help from online directories. However, when choosing one, make sure that they are experienced enough to represent you in an efficient manner!
by: Jason Bacot
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