{"id":352703,"date":"2016-04-04T10:42:08","date_gmt":"2016-04-04T15:42:08","guid":{"rendered":"https:\/\/content.findlaw-admin.com\/ability-law\/consumer\/securities-law\/what-does-a-securities-lawyer-do.html"},"modified":"2024-05-16T00:41:08","modified_gmt":"2024-05-16T05:41:08","slug":"what-does-a-securities-lawyer-do","status":"publish","type":"page","link":"https:\/\/www.findlaw.com\/consumer\/securities-law\/what-does-a-securities-lawyer-do.html","title":{"rendered":"What Does a Securities Lawyer Do?"},"content":{"rendered":"\n
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What Does a Securities Lawyer Do?<\/h1>\n
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\n By Oni Harton, J.D.<\/a> | Legally reviewed by Melissa Bender, Esq.<\/a>\n | Last updated\n
\n \n <\/i>\n Legally Reviewed\n <\/summary>\n\n
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This article has been written and reviewed for legal accuracy, clarity, and style by FindLaw\u2019s team of legal writers and attorneys<\/a> and in accordance with our editorial standards<\/a>.<\/em><\/p>\n\n <\/div>\n <\/details>\n\n

\n \n <\/i>\n Fact-Checked\n <\/summary>\n\n
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The last updated date refers to the last time this article was reviewed by FindLaw or one of our contributing authors<\/a>. We make every effort to keep our articles updated. For information regarding a specific legal issue affecting you, please contact an attorney in your area<\/a>.<\/em><\/p>\n\n <\/div>\n <\/details>\n<\/section>\n

A securities lawyer specializes in laws and regulations that apply to financial investments. These specialists provide significant benefits in planning investments and recovering losses from wrongdoing<\/a>.<\/p>\r\n

Financial scandals over the past several decades led to widespread economic losses. The most well-known was the collapse of Enron<\/a> in 2001. This financial debacle involved deceptive accounting practices. It resulted in overinflated stock prices, devastating shareholders and investors.<\/p>\r\n

In another case, MF Global, a major commodities brokerage firm, illegally misappropriated nearly $1 billion<\/a>. MF Global used customer funds to support its operations before declaring bankruptcy in 2011. The government initiated an enforcement action against MF Global. It recovered around $1.2 billion from the company’s assets as restitution.<\/p>\r\n

Cases such as these underscore the need for stronger securities laws and enforcement. Securities lawyers play an instrumental role in corporations’ compliance and enforcement actions. They also help individual investors.<\/p>\r\n

Continue reading to learn more about securities laws and how a security attorney can help. See FindLaw’s Securities Law<\/a> section for more articles, including Questions About Securities Law<\/a>.<\/p>\r\n

If you would like to submit a tip or a complaint about securities fraud or wrongdoing, you can do so at the SEC’s Enforcement Tips and Complaints<\/a> website.<\/p>\r\n

What Are Securities Laws?<\/h2>\r\n

Securities laws and regulations govern financial instruments such as stocks, mutual funds, and bonds. These rules are designed in part to prevent:<\/p>\r\n