Although securities law is a specialist area of law in and of itself, there are various kinds of securities lawyers. Transactional securities lawyers support businesses with capital raising, stock exchange listing and maintenance, mergers and acquisitions, and the various reporting duties associated with being a publicly traded company. Discussed below are the benefits a securities can offer.
Arbitration and Litigation in Securities
A securities law attorney can defend you against accusations made against you by financial professionals or represent you in any litigation resulting from your investments, such as a class action lawsuit, a shareholder’s derivative action, or a lawsuit against your broker.
Arbitration is mandated for almost all disputes between brokers and consumers. Securities arbitrations are full-fledged hearings that resemble courtroom trials rather than being routine procedures. Because arbitrators in securities arbitrations have the same authority and power as judges in courts, they should be taken seriously.
Attorney for Securities in SEC Cases
The securities regulations are complicated, and SEC investigations can be frightening. A skilled securities attorney can collaborate with an inquiry target to address the SEC’s concerns identified throughout the investigation and reduce the likelihood that the investigation will become an enforcement action.
An expert securities attorney can expedite the witness’s response time to the subpoena by negotiating the document production requirements outlined in the subpoena. Additionally, the attorney will communicate with the SEC Staff to keep witnesses from becoming further embroiled in the inquiry.
Attorneys for Transactional Securities
In the transactional work associated with initial public offerings, private sales of securities, issues of stock or other securities, mergers, and acquisitions, and other transactions, securities lawyers also regularly represent corporate clients. In this role, they also help businesses adhere to securities rules and regulations, which eventually benefit customers.
Attorneys specializing in transactional securities assist businesses in managing the problems that arise from securities transactions, such as mergers and acquisitions, private placements, and initial public offerings. Public and private businesses also have continuous reporting and transparency requirements.
Attorney for Securities in Due Diligence
To safeguard your investments, a securities lawyer may be essential. A securities lawyer can first help you plan your investments by helping you go over the public information that is available about the company you want to invest in, go over and explain the disclosure documents that the company has provided, find out more about the management team’s backgrounds, look up lawsuits and claims that have been made against the management and the company, and perform additional due diligence on the investment, such as examining the financial history and overall health of the company based on its reporting disclosures.
In a dispute involving anything from pay and workplace safety to discrimination and wrongful termination, an employer attorney can assist employers and employees in cooperating to find a solution for the safety of the workforce.
In federal, state, and administrative securities enforcement procedures, securities attorneys represent their clients. These securities attorneys also settle conflicts amongst all market players in court and through securities arbitration