When your business is faced with securities law issues, working closely with an attorney who will explain clearly all requirements, options, and consequences can help to ensure that you make decisions that are in the business' best interests. Contact our firm to schedule a consultation and case evaluation with an experienced securities attorney.
Learn More About Laws That Affect the Securities Industry
If your portfolio or your institution's portfolio has been mismanaged, the best way to learn about your options is to contact an attorney at the Boliver & Bidwell Law Firm by calling 888-671-5872. You may also complete our online contact form.
Establishing a Securities Case
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Frequently Asked Questions about Securities Arbitration and Litigation
Q: What are securities?
A: The term "securities" covers a number of different instruments including stocks, mutual funds, bonds, notes, debentures, investment contracts, treasury stocks and transferable shares.
Q: What is securities fraud?
A: Securities fraud is a scheme or artifice to defraud a person in connection with the sale of securities. It is also known as investment fraud, and it is the intentional deception of investors that results in financial gain. Companies can commit securities fraud by disseminating false or misleading information to the public. A broker-dealer can also commit securities fraud by breaching his or her duty to disclose relevant information to clients and failing to look out for the clients' best interests.
Securities Arbitration and Litigation - An Overview
The term "securities" covers a number of different instruments including stocks, mutual funds, bonds, notes, debentures, investment contracts, treasury stocks and transferable shares. When investors lose money because of violations of securities laws by a company, broker-dealer or analyst, they can bring a private suit to hold the defendant civilly liable and recover damages. Litigation and arbitration over violations of federal and state securities laws can be complex, expensive and time consuming. It is important to discuss your situation and potential claims with a lawyer who has experience handling securities cases.
Securities Litigation - Claims and Defenses
There are a variety of claims that private plaintiffs can bring under federal securities laws. The following article briefly describes claims under various sections of the federal securities laws, as well as the defenses that may be available. Because of the complexity of these claims and the federal securities laws in general, it is important to have an experienced securities attorney evaluate your situation.
Securities Arbitration
Arbitration is a form of alternative dispute resolution. Instead of your case being heard by a judge or jury in court, it is heard by a panel of one to three neutral arbitrators. The arbitrators will hear all the evidence and render a decision. In 1987, in Shearson v. McMahon, the U.S. Supreme Court held that agreements to submit securities disputes to arbitration were enforceable under the Federal Arbitration Act. Today, disputes between customers and broker-dealers are largely resolved in arbitration rather than in courts. Arbitration for these disputes is overseen by a self-regulatory organization such as the Financial Industry Regulatory Authority (FINRA) (formerly the National Association of Securities Dealers (NASD)). An attorney who has experience handling securities arbitration can review your situation and explain arbitration procedures to you.
Securities Resource Links
NASDAQ
The world's largest electronic stock market.
New York Stock Exchange
Web site for the New York Stock Exchange.
American Stock Exchange
Web site for the American Stock Exchange.
Securities and Exchange Commission
The primary mission of the US Securities and Exchange Commission (SEC) is to protect investors and maintain the integrity of the securities markets.
EDGAR (database of SEC filings)
All foreign and domestic companies are required to file registration statements, periodic reports and other forms electronically through EDGAR. Anyone can access this information for free. Instructions for searching the EDGAR database are available on this site.
