SECURITIES LAW
The world of investing is complex and it can be very fruitful. Unlike the banking world, however, where deposits are
guaranteed by the federal government, stocks, bonds, commodities and other securities can lose value. There are no
guarantees. Contact us by e-mail or at (800) 719-4889 if you need legal advice on a securities issue. This may be a good
time to discuss the remedies that may be available to you.
Some of the types of securities law matters we can help with include:
Though complex, the laws and rules that govern the securities industry in the United States derive from a simple and
straightforward concept: all investors, whether large institutions or private individuals, should have access to certain basic
facts about an investment prior to buying it, and so long as they hold it.
To achieve this, the United States Securities and Exchange Commission (the SEC) requires public companies to disclose
meaningful financial and other information to the public. This provides a common pool of knowledge for all investors to use
to judge for themselves whether to buy, sell, or hold a particular security.
The SEC also oversees the key participants in the securities world, including securities exchanges, securities brokers and
dealers, investment advisors, and mutual funds. The SEC is concerned primarily with promoting the disclosure of important
market-related information, maintaining fair dealing, and protecting against fraud.
Civil securities fraud, also known as investment fraud, is a practice where investors are deceived and manipulated,
resulting in theft. Recovering assets from the proceeds of securities fraud is a resource intensive undertaking that is best
undertaken with the help of an experienced practitioner.
Potential victims of this crime are anyone who has invested money into the company (typically people aged 50 years or
older are the most victimized by securities fraud). Potential perpetrators of securities fraud are any high ranking official
within the company who might have access to the payroll or financial reports that can be manipulated.
Contact us at (800) 719-4889 or by e-mail if you are dealing with a securities fraud matter.
We invite you to contact us if you are looking for a Boston business lawyer. We strongly encourage you to speak to an
experienced attorney about your business formation issues. You can contact us if you are looking for a Boston business
lawyer by visiting our current website at SMLawGroup.com.
The world of investing is complex and it can be very fruitful. Unlike the banking world, however, where deposits are
guaranteed by the federal government, stocks, bonds, commodities and other securities can lose value. There are no
guarantees. Contact us by e-mail or at (800) 719-4889 if you need legal advice on a securities issue. This may be a good
time to discuss the remedies that may be available to you.
Some of the types of securities law matters we can help with include:
- investment fraud experienced by individual investors
- investment adviser problems
- variable annuity issues
- securities industry professional matters (including bonus disputes)
- U-5 expungement
- Hedge fund fraud
Though complex, the laws and rules that govern the securities industry in the United States derive from a simple and
straightforward concept: all investors, whether large institutions or private individuals, should have access to certain basic
facts about an investment prior to buying it, and so long as they hold it.
To achieve this, the United States Securities and Exchange Commission (the SEC) requires public companies to disclose
meaningful financial and other information to the public. This provides a common pool of knowledge for all investors to use
to judge for themselves whether to buy, sell, or hold a particular security.
The SEC also oversees the key participants in the securities world, including securities exchanges, securities brokers and
dealers, investment advisors, and mutual funds. The SEC is concerned primarily with promoting the disclosure of important
market-related information, maintaining fair dealing, and protecting against fraud.
Civil securities fraud, also known as investment fraud, is a practice where investors are deceived and manipulated,
resulting in theft. Recovering assets from the proceeds of securities fraud is a resource intensive undertaking that is best
undertaken with the help of an experienced practitioner.
Potential victims of this crime are anyone who has invested money into the company (typically people aged 50 years or
older are the most victimized by securities fraud). Potential perpetrators of securities fraud are any high ranking official
within the company who might have access to the payroll or financial reports that can be manipulated.
Contact us at (800) 719-4889 or by e-mail if you are dealing with a securities fraud matter.
We invite you to contact us if you are looking for a Boston business lawyer. We strongly encourage you to speak to an
experienced attorney about your business formation issues. You can contact us if you are looking for a Boston business
lawyer by visiting our current website at SMLawGroup.com.
Advertising. In accordance with rules established by the Supreme Judicial Court of Massachusetts. This web site must be labeled
"advertising." It is designed to provide general information for clients and friends of the firm and should not be construed as legal advice, or
legal opinion on any specific facts or circumstances. This web site is designed for general information only. Unless and until you enter into a
formal agreement with Attorney Mwangi, he is not your attorney and you do not have an attorney-client relationship with him. All Rights
Reserved.
"advertising." It is designed to provide general information for clients and friends of the firm and should not be construed as legal advice, or
legal opinion on any specific facts or circumstances. This web site is designed for general information only. Unless and until you enter into a
formal agreement with Attorney Mwangi, he is not your attorney and you do not have an attorney-client relationship with him. All Rights
Reserved.
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