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. Finally, we will provide tips for choosing the right securities attorney for your needs and answer some frequently asked questions.
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 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.
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.
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.
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.