Knowledge Is Power

« Back to Home

What Does A Securities Lawyer Do?

Posted on

Securities are financial investments in a company and may include shares, stocks, mutual funds, and bonds. A securities attorney is a legal expert who specializes in securities law.

These lawyers work closely with companies and consumers alike. Read on to find out what a securities attorney does and how they can help you.

How Can a Securities Lawyer Help?

If you are seeking to raise capital publicly through selling shares and stocks, you have to comply strictly with the securities regulations. Often, compliance is at two levels; the federal and state level. Granted, this can make compliance much more complicated.

Given the complex nature of securities laws, companies are well-advised to rely on the expert counsel of a securities attorney. The lawyer is not only well-versed with the concepts that apply to securities law, but they also know the procedures that companies must follow to comply with the regulations.

As such, a lawyer can review your money-raising decisions and advise you competently on the legal effects of each choice you make. This can help you avoid hefty fines and other punitive actions by the Securities and Exchange Commission.

For instance, if your company raises money from the public without disclosing pertinent information, it may be forced to refund that money and pay a fine amounting to three times as much as the money raised. 

A securities lawyer also works closely with investors to help them protect their assets. The most crucial way attorneys help is by enlightening their clients about their legal rights when dealing with brokers.

For instance, an attorney will inform you of your right to be informed and the broker's fiduciary obligations to you. The fiduciary duty means that the broker must always put your interests above theirs. Should they breach this duty, the lawyer will advise you on your legal remedies.

Additionally, the attorney can help steer you away from questionable financial investments. Given their expertise in business law, the advocate can easily discern the signs of a fraudulent investment scheme and advise you against risking your hard-earned money.

Further, a securities attorney can help companies and investors if they decide to litigate any disputes. The lawyer will argue your case in court, persuading the judge to find the matter in your favor. 


There is no denying that securities law is a complex area of law. Fortunately, securities lawyers are experts in the field who will help you navigate it confidently. If you need help with a securities matter, do not hesitate to contact a law firm, Carter & West Law. Their expertise will serve you well.