The term ‘securities lawyer’ refers to an attorney who focuses his/her practice on helping clients navigate the laws and regulations that govern the buying and selling of securities.
At Washington Law Partners (WLP), the expert Securities Lawyers in Washington DC specializing in representing individual investors who have experienced major financial harm because of the financial advisory firm or investment advisor. If one has suffered losses and wants to seek the help of a leading securities lawyer, one can visit Washington Law Partners, a trusted legal firm that has been handling securities law for a long time!
What are Securities Laws?
Securities laws are the laws that regularize the securities industry. The government organization that regulates the securities market and upholds federal securities laws is the SEC (Securities and Exchange Commission). These regulations aim to safeguard investors from fraud and other abuses while ensuring that the securities industry runs transparently, without any unfair means.
How Does a Securities Lawyer Help?
Security is a term that refers to any negotiable financial instrument. If one is an investor, one may own a lot of securities. Some of the common types of securities include the following:
- Stocks
- Mutual funds
- Stocks
- Corporate bonds
- Government bonds.
Despite being a common investment tool, securities are quite complex. Some securities are so complicated that sometimes even professionals need help to understand them. Investors who purchase securities often rely on the recommendations of their broker or any brokerage firm. Unfortunately, professional brokers violate their legal commitments frequently.
The broker’s misconduct or negligence can cause an investor tremendous financial losses. It can be really frustrating for the one who would be losing their hard-earned money or their retirement savings because of the broker’s misconduct. Besides emotional stress, it can also cause considerable distress. If such a situation arises, here is when the help and guidance of a securities lawyer are required.
At Washington Law Partners, the expert and highly trusted securities attorneys are committed to fighting for one’s legal rights and financial interests. If one is unable to handle problems with securities, one can seek help from the experts at Washington Law Partners, a renowned Washington DC Law Firm.
Can Securities Lawyers Help One Recover Investment Losses?
“Lost money due to investments, or were you a victim of misconduct”? This complicated question will determine whether or not one has a valid legal claim. A securities lawyer will be able to assess the circumstances and provide one with the answer to this question. When one invests in securities, they are not guaranteed success. As investors, everyone must know that the market offers upsides and downsides.
There is simply nothing that is considered to be a guaranteed investment. The market risk that comes with buying securities or investing in any other kind of investment is something that investors must accept and manage. One can not have a legal claim just because the investments lost money. Brokers and brokerage firms, however, also have significant legal obligations to defend the best interests of their clients. If one lost money on an investment because their broker made a mistake, whether intentionally or accidentally, they may be able to hold them legally liable for the investment losses.
What are the Common Types of Securities Laws?
Many securities laws are designed to protect investors against misconduct and fraud. The two most important examples are the Securities Act of 1933 and the Securities Act of 1934. If any party sold one security or has an account with any registered brokerage firm where they brought securities, one has certain rights that must be protected. In regards to securities, investor loss claims come in a variety of forms. Also, a securities lawyer can bring legal action based on any of the claims mentioned below:
- Broker breach of fiduciary duty
- Undisclosed conflicts of interest
- Fraud or misrepresentation
- Unsuitable investment advice
- Unauthorized trading
- Account\'s lack of diversification
- Broker selling away
- Being pushed to take risk
- Excessive trading
- Brokerage firms charging unreasonable fees.
Investment fraud claims come in a variety of forms. In many cases, wronged investors will have several overlapping causes of action on which they can ask for claims. The most important thing that all investors have to remember is that: The broker and the brokerage firm have to look for the best financial interests of an individual.
Note: If a broker or a brokerage firm fails to protect the best interests for any reason, one needs to have their claim reviewed by a qualified securities lawyer in Washington, DC.
In such an instance, brokers often control much information that is required to bring a claim. One needs to collect all the documents they have and seek the help of a securities lawyer who can review them and take suitable actions to compel any other evidence that will be needed to bring the claim.
Were You a Victim of Securities Fraud?
If one believes they were a victim of securities fraud, then one must consult the Securities Lawyers in Washington DC at WLP. Whether one is an individual or a company, book a one-on-one consultation with expert attorneys. They hold experience in offering the best legal services to regional and financial institutions. They also add value to their services with counsel and resolve all problems related to financial transactions at a competitive price.
The securities lawyers at WLP perform a wide range of tasks, from structuring, negotiating, and closing several financial transactions to representing financial institutions. They also offer comprehensive law support for start-ups, small entities, and large established businesses for a lot of securities transactions. They help clients seek compliance with regulatory and tax laws. Cryptocurrency clients can also seek their help on various intellectual property and licensing matters. These include copyright, trade secret, confidentiality, licensing, or related issues. The attorneys can also represent shareholders, members, and owners of the companies in legal matters concerning shareholder rights.
If one has any further questions about securities laws, consult the leading securities lawyers at Washington Law Partners, Best Law Firm in Washington DC.
The experts represent investors, broker-dealers, and financial professionals for all securities-related concerns.