What Is a Securities Lawyer? and When Do You Need One?
Halt | March 11, 2019 | 0 Comments

What Is a Securities Lawyer? and When Do You Need One?

It’s undeniable that there are a lot of similarities between investing in stocks and gambling. Both involve playing the odds and taking risks. You can even say that a bookie and a broker have comparable job descriptions.

And both ventures can leave you with an empty wallet.

If you’re gambling, you can always say “well, you win some, you lose some.” But if you lose money on your investment, it’s a bitter pill to swallow.

You’re left wondering if the game is rigged or if you’ve been fleeced. In this situation, you’ll see the value of hiring a securities lawyer.

If you have a suspicion that some dirty dealings took place, such as securities fraud or insider trading, you may have a chance to recover your losses.

To protect your assets, meeting with a lawyer to explore your options is crucial. Let’s look at how a lawyer specialized in securities can help you.

What Is a Securities Lawyer?

If you’re a shareholder in a company, then you own “securities” in that company. These come in the form of stocks, bonds, or mutual funds.

As an investor, you have rights. Laws and government agencies such as the SEC are there to impose rules that protect the average investor.

But if there’s money involved, there will always be people who’re tempted to break the rules. These individuals can be your broker, your financial advisor, or those who run the company you’ve invested in.

The securities lawyer protects you and your investment. If you’re thinking of buying into a company, they can make sure that it is legit and safe. And if you got cheated out of your money, they’ll represent you in court.

When Do I Need One?

Your securities attorney can assist you in all the stages of your investment. If you’re still at the planning part of how to invest in the stock market, your lawyer can research the financial and legal health of the companies you’re thinking about.

When you meet with your broker, your attorney can brief you on the legal obligations that your broker owes you. These include their fiduciary duty and your right for full information disclosure on the investment. They should also be forthcoming in determining the suitability of the product for you.

After you’ve invested, your lawyer can give you advice on the “warning signs” of mismanagement or fraud. They’ll explain the difference between losses from natural market fluctuation vs illegal market manipulation.

Examples of shady business practices include misrepresentation, insider information, and omission of facts.

Lastly, if you’ve become a victim of securities fraud, your lawyer can represent you in the litigation. They’ll do their best to recoup your losses.

On the other side of the equation, a securities attorney can also represent corporate clients. Their job is to make sure that the company is complying with all the laws and regulations. They’re also involved in various transactions such as initial public offerings and issuance of stocks.

Find a Match

If you’re serious about investing, a securities lawyer is both practical and necessary. Think of them as your personal pediatrician for your investment. They’ll assist in the birth, make sure they grow up nice and healthy, and cure whatever illness they may suffer from.

And if you’re looking to hire one, use our free search tool to find a suitable match.


Halt.org is a Law Directory that connects people in need with attorneys that can help protect them. Every day hundreds of thousands of people come to Halt.org searching for the top lawyers in the nation looking to find answers to questions, as well as lawyers that might be able to help protect them. Smart lawyers list their law firm's name address and phone number as well as their, awards and credentials, operating hours. To make the Law Office available to thousands of potential clients.