At Bernheim Kelley Battista & Bliss, LLC, our Florida securities litigation attorneys have the specialized skills and legal expertise to handle complex cases. If you suffered losses due to a securities law violation or misconduct by a financial professional, we are here to help you fight for justice, accountability, and the maximum available financial compensation. For a confidential initial appointment with an experienced Florida securities litigation lawyer, please contact us today.
An Overview of Securities Litigation in Florida
Broadly defined, a security is a fungible and tradable financial asset that companies use to raise capital. Securities can be sold in public markets (NYSE, Nasdaq, etc) or in private markets. There is a wide body of state and federal law in place governing the marketing and sale of securities. Some notable examples of the laws, rules, and regulations include:
- The Securities Act of 1933;
- The Investment Company Act of 1940
- Securities and Exchange Commission (SEC) Rule 10b-5; and
- The Florida Securities and Investor Protection Act.
Securities laws are designed to protect investors and ensure the integrity of public and private markets. Securities litigation occurs when there is a legal dispute over the sale of securities. In some cases, individual or institutional investors pursue claims against brokers, brokerage firms, or other parties. In other cases, securities litigation may be pursued as a class action lawsuit.
Arbitration is Required in Many Securities Disputes (Understanding FINRA)
The Financial Industry Regulatory Authority (FINRA) is a self-governing body that oversees registered investment advisors (RIAs) and licensed brokers dealers in the securities industry. Most investment firms and investment professionals that are registered with FINRA require their customers (investors) to sign agreements that contain pre-dispute arbitration clauses. If you signed such an agreement with a broker or brokerage firm, it is likely that your claim will be required to go through the FINRA arbitration process. These mandatory arbitration agreements are generally enforceable in Florida. If you have any specific questions about FINRA arbitration, our South Florida securities litigation attorneys are here to help.
How Our Florida Securities Litigation Lawyers Can Help
Securities litigation is complicated—there may be federal laws, state laws, and FINRA regulations that apply to your case. At Bernheim Kelley Battista & Bliss, LLC, we have the skills and expertise to protect investor rights. Our firm always takes a proactive approach. More specifically, our Florida securities litigation lawyers will:
- Answer your questions and explain your options under federal/state securities laws;
- Thoroughly investigate the matter—gathering and organizing relevant financial records;
- Represent you in any settlement negotiations over the securities losses; and
- Devise a customized legal strategy focused on maximizing your financial recovery.
Contact Our Florida Securities Litigation Attorneys for Immediate Help
At Bernheim Kelley Battista & Bliss, LLC, our Florida securities litigation lawyers are proactive, results-driven advocates for justice. If you have any specific questions about securities law or securities litigation, we can help. Call us now or send us a direct message to set up your confidential consultation with a Florida securities litigation attorney.