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In the following sections, we will provide an overview of securities law and why you need a securities attorney. We will also discuss the various services offered by Kurta Law, including our securities fraud attorney and securities arbitration attorney services. 

Securities Attorney to help you

Securities Law and Why You Need a Securities Attorney

Securities law governs the issuance, trading, and sale of securities. Securities are financial instruments such as stocks, bonds, and options. While regulations are intended to protect investors and promote market fairness and transparency, understanding them can be an overwhelming task for defrauded investors. 

Legal and Financial Risks of Securities Investing

Investing in securities can come with a range of financial risks. Securities law violations, such as insider trading or Ponzi schemes, can have serious consequences, including fines, penalties, and even criminal charges. A securities attorney can help you identify instances when brokerage firms may have violated securities regulations.

Our New York securities law firm has over 10 years of experience representing defrauded investors. Part of our business is identifying potential investment issues and risks, and we want to share our wealth of knowledge with the public. The risks of securities investing include:

Securities Fraud

Securities fraud remains a constant concern in the investment world. Our experienced New York securities lawyers are well-versed in various fraudulent practices, including insider trading, market manipulation, and violations of investors’ best interests. 

Regulatory Violations

Our New York securities lawyers can spot securities regulatory violations that might not be obvious to an investor. Securities regulations are in place to protect investors’ interests, but they need to be enforced by securities attorneys and FINRA arbitration panels. 

Market Volatility

The securities market comes with inherent volatility. Unscrupulous stock brokers may omit information about how volatility could affect a high-risk investment. 

Lack of Liquidity

Illiquidity can pose significant challenges to investors seeking to divest their holdings swiftly. We ensure investors are well-informed about the liquidity implications of their investments, thereby minimizing potential obstacles when attempting to access their funds.

Regulatory Changes

As one of the leading securities law firms in NYC, we are experts on securities rules and regulations. Our New York securities lawyers are up-to-date on regulatory changes, providing timely counsel to clients.

Importance of Regulatory Compliance

Regulatory compliance is an essential aspect of the securities industry. Securities issuers and traders must comply with a range of federal and state laws and regulations, including:

Failure to comply with these regulations can lead to significant legal and financial consequences.

Recent Results

$16.75M

Million

Recovery for ARC NYC REIT Investors
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Kurta Law recovered millions of dollars for investors who purchased the speculative and unsuitable ARC NYC REIT. The arbitration settled for substantially more than the investor losses.

Recent Results

$9.3M

Million

Investors Receive Award for More than their Losses
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Jonathan Kurta was able to recover over $9.3 million for a group of defrauded investors. The claims were based upon the brokerage firm’s failure to supervise a stockbroker who stole client funds and then prepared and disseminated fake account statements for decades.

Recent Results

$7.1M

Million

Elderly Victims Recover After a Decade of Fraud
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Jonathan Kurta represented a group of elderly women who were the victims of a financial crime perpetrated by a rogue broker. The broker utilized forged documents to steal funds from the clients’ accounts over a decade.

Recent Results

$4.2M

Million

Investor vs. Royal Alliance
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Jonathan Kurta represented an investor who alleged that Royal Alliance Associates had not fulfilled their supervisory duties. This allegedly allowed brokers to engage in conversion and RICO violations. Read a copy of the award here.

Recent Results

$1M

Million

Utah Firm Executed Unnecessary Transaction
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A FINRA panel sided with Kurta Law and found that a Utah brokerage firm executed unnecessary transactions in order to generate more commissions. Read a copy of the award here.

Recent Results

$2M

Million

Arizona Investors Options Trading Scam
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Kurta Law negotiated a $2 million settlement on behalf of Arizona investors who were defrauded in an options trading scam.

How a Securities Attorney Can Help You

Working with a securities attorney can help you combat securities fraud and navigate FINRA arbitration. Kurta Law prides itself on high-quality legal advice in these areas and more, and we can offer solutions tailored to every client’s needs and challenges.

Get legal advice form a securities fraud attorney

Securities Fraud Attorney Services

Securities fraud involves the deception of investors in the securities markets. Securities fraud can take many forms, including:

  • Insider trading
  • Ponzi schemes
  • False or misleading disclosures
  • Unsuitable investment recommendations
  • Excessive trading

Securities fraud can have significant financial consequences, including damages for clients and monetary penalties for fraudulent brokers.

If you have suffered losses due to securities fraud, a securities fraud attorney can help you recover your losses and hold those responsible accountable for their actions. Kurta Law’s securities fraud attorneys have extensive experience representing clients who have been harmed. Our securities fraud attorneys can help you navigate the legal process and pursue recovery through securities arbitration.

If you believe you have been a victim of securities fraud, please contact us to schedule a consultation. We would be happy to discuss your legal options and provide guidance on how we can help you recoup your losses.

Securities Arbitration Attorney Services

Securities arbitration involves resolving disputes outside of court through a process similar to a trial. Securities arbitration is often a faster and less costly alternative to litigation, and it can be an effective way to resolve disputes between investors and securities issuers or brokers. Securities attorneys can provide crucial insights into arbitrator selection, which is a process distinct to FINRA arbitration.

At Kurta Law, our securities arbitration attorneys can handle any claims related to elder financial abuse, risky recommendations, and excessive commissions, to name just a few. We are experts in the full spectrum of securities fraud and are ready to talk you through an arbitration strategy best suited to your individual needs.

If you are involved in securities arbitration, schedule a consultation now so we can get started on your case.

Frequently Asked Questions About Securities Attorneys

If you’d like to know more about securities attorneys, here are some frequently asked questions that might be helpful.

Do I Need to Hire an SEC Attorney Near Me?

Our New York securities attorneys work with clients all over the country. We have successfully settled cases for overseas clients as well. Kurta Law attorneys can travel to your hearing location or can arrange for proceedings to take place via video call. 

What Is a Securities Attorney, and What Do They Do?

A securities attorney is a legal professional who specializes in securities law. Securities attorneys can help clients understand securities regulations and requirements and represent clients in FINRA arbitration.

When Do I Need to Hire a Securities Attorney?

You should consider hiring a securities attorney if you have suffered losses due to securities fraud or other securities law violations. Speak to a securities attoreny if you notice any unexplained losses or withdrawals from your investment account.

How Do I Choose the Right Securities Attorney for My Investment Needs?

When choosing a securities attorney, consider their expertise, experience in securities law, and communication skills. Reach out to Kurta Law today to see if we’re a good fit for your needs.

What Is the Typical Timeline for Working With a Securities Attorney on a Specific Matter?

The timeline for working with a securities attorney can vary depending on the complexity of the matter. According to FINRA, cases that settle typically resolve in a little over a year. Cases that go to arbitration conclude, on average, in approximately 16 months.

How Can a Securities Attorney Help Me If I Have Suffered Losses Due to Securities Fraud or Other Violations?

A securities attorney can help you get back what you lost and potentially discourage fraudulent brokers from taking advantage of future clients. They can assist with arbitration and provide guidance on your legal options.

Securities Lawyer Jonathan Kurta
Written by: Jonathan Kurta

Jonathan Kurta is an accomplished securities attorney and a founding partner at Kurta Law.

 
CONTACT US TODAY

Security Lawyers Near Me 

Navigating the complexities of securities law can be daunting. With the help of an experienced securities attorney, you can mitigate the potential financial risks of investing in securities. 

If you have any questions or need assistance with securities law matters, please do not hesitate to schedule a consultation. We would be happy to discuss your legal needs and provide guidance on how our securities attorneys can help you.

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Securities Lawyer Jonathan Kurta
Written by: Jonathan Kurta

Jonathan Kurta is an accomplished securities attorney and a founding partner at Kurta Law.