Securities Law

Definition: Securities law is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system.

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Securities Law Case Studies

Brokerage Compliance Expert in Distressed Debt
A brokerage compliance expert with distressed debt experience was needed for an insider trading case.
Broker-Dealer Regulations Expert
A broker-dealer regulations expert with knowledge of short sale transactions was needed for a breach of contract case.
Fiduciary Duty Expert in Collateralized Debt Obligations
A fiduciary duty expert in fiduciary duty securities law and disclosure obligations was needed for arbitration in a failure to disclose issue.
Financial Economics Expert in Securities Fraud
A financial economics expert with experience in securities fraud was needed for a stockholder class action securities fraud case.
Interest Rate Swap Expert in Derivatives Trading
An interest rate swap expert in derivatives trading was needed for a case alleging breach of contract, tort, and regulatory violations.
Mergers and Acquisitions Expert in Contract Law
A mergers and acquisitions expert in contract law was needed for a breach of contract arbitration proceeding involving a contract dispute over terms involving a right of first of refusal.
Regulatory Compliance Expert in Securities Trading
A regulatory compliance expert was sought for a securities investigation against an auditing firm concerning the disclosure obligations of an auditor.
SEC Compliance Expert with NASD Rule 11140 Experience
An SEC compliance expert with experience interpreting was needed for litigation regarding securities fraud and violation of SEC Rules.
Securities Clearinghouse Expert in Dividend Distributions
A securities clearinghouse expert with knowkedge in securities clearinghouse behaviors and dividend distribution was needed for securities fraud litigation.

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Securities Law Experts

Broker-Dealer Regulation Expert
This broker-dealer regulation expert has testified in securities litigation, arbitration, and regulatory proceedings.
Business Organization Expert
This business organization expert has more than 30 years of experience in corporate governance.
Corporate Law Expert
This corporate law expert has over thirty years of experience in legal and academic positions.
SEC Regulations Expert
With more than 20 years of SEC experience, this SEC regulations expert has extensive experience regarding the compliance requirements of SEC and FINRA rules and regulations.
Securities Executive Management Expert
This securities executive management expert has more than 40 years of experience in the securities brokerage industry.
Securities Law Expert
With 35 years of experience in the securities industry, this securities law expert has spent several years as an enforcement attorney for the U.S. Securities and Exchange Commission.
Securities Litigation Expert
This securities litigation expert has more than 25 years of executive experience in the securities industry.
Securities Litigation Expert
This securities litigation expert has provided expert opinions in state and federal courts, arbitrations and bankruptcy cases.
Securities Regulation Expert
This securities regulation expert has over 40 years of experience in the securities and regulatory industries.

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