Securities Law
The Arkansas attorneys of The Hershewe Law Firm offer experienced legal counsel in complex securities & investments, securities compliance and securities litigation cases. The number and variety of investment vehicles and the complexity of today’s financial markets lend themselves to the many occasions that an investor would need the advice of securities lawyers. Compound this with the number of regulatory agencies and jurisdictions in Investment law and it is clear that lawyers familiar with Arkansas investment regulation are required.
The Arkansas Security act states: “A security can be considered to have been sold or purchased in this State, whether or not either party is present in this state.” The implications of this are that in a world where investments can be managed by computers and other technology if one has a claim about one’s investments it is probable that local expertise will be needed and in Arkansas, The Hershewe Law Firm has extensive expertise in:
- Arkansas securities laws
- Arkansas securities arbitration
- Arkansas securities litigation
- Issues caused by forced Margin sales
- Impacts of de-listing of securities
- Corporate fraud leading to bankruptcy
- Securities compliance violations
Sales practice violations such as churning, unsuitable investments, unauthorized trading and misrepresentation are the most common infractions. Churning occurs when a broker exercises control over your account to generate commissions for them by excessive trading that puts their interest ahead of your own. Some of the factors that are used to determine excessive trading are:
- Determining whether the customer authorized trading activity in question
- Age, education, intelligence and investment experience of the customer
- Relationship between the customer and the investment professional
- Role of Investment professional recommendation in the execution of trades
- Regularity of discussions between the Investment professional and customer
- Customer's investment sophistication
If you are under the impression that your broker has committed some type of violation, the first thing you should do is contact an experienced securities attorney.
Our law firm will take steps to prevent any future losses. In addition, our investments lawyers will try to persuade the financial services firm that you were damaged and to quantify and substantiate your losses. Depending on the firm, attorney and case, a customer could be made whole at this point. If the firm does not to make an acceptable offer, the matter can proceed to either the courts or arbitration.
When your legal matter is one of securities law, we suggest you to contact us at The Hershewe Law Firm to discuss your claim toll-free at 1-877-382-9734, or complete our quick contact form.
