Demystifying Securities Regulation
Many people, including a lot of lawyers, are intimidated by the government regulators who handle securities. But, not Otto Law. There is no area of law too technical for us to understand. We put the time and the research into understanding what the problem is and building a case to get you the results you deserve. We have often gone toe-to-toe with the U.S. Securities and Exchange Commission on behalf of oil and gas partnerships and other businesses — and won.
What Is Securities Law?
Securities regulation is often thought of as a convoluted area of law, full of government oversight. Essentially, securities are instruments you use to allow others to invest in your business. They might be in the form of stocks, mutual funds, bonds or other investments. They are regulated by the U.S. Securities and Exchange Commission, which exists to prevent fraud, insider trading and manipulation of markets.
The ability to sell securities is important to many businesses, especially those seeking investors for the first time. Emerging business ventures in new industries like cryptocurrency and marijuana production should consider consulting with a securities attorney to learn how they can grow their business in compliance with the law.
What Is Securities Litigation?
Securities litigation refers to lawsuits over investment losses that are caused by something other than market forces. These claims often involve conflicts of interest, a breach of fiduciary duty, insider trading, market manipulation or misrepresentation. Businesses that sell securities are obligated to provide certain information to investors, and failure to do so can lead to a lawsuit.
Is Arbitration Right For My Case?
In some cases, an investor or business will end up in arbitration over investment losses. In fact, arbitration for civil actions involving securities has dramatically increased over the last few decades. One of the benefits of arbitrating these cases is that the decision makers already are familiar with securities issues, meaning you can resolve these disputes faster than going through a jury trial.