"Securities regulation and litigation is a field of law that covers various aspects of transactions and other dealings which involve securities or financial instruments. For example, debt securities, such as bonds, and equity securities, such as common stocks, that may be purchased through the New York Stock Exchange (NYSE) or the National Association of Securities Dealers Automated Quotations (NASDAQ).
Burr & Forman attorneys have the experience to assist clients in all forms of securities disputes, whether it is a dispute over the suitability of an investment, over a departing stock broker's book of business or a shareholder derivative suit brought against a corporation. The securities industry is regulated by, among others, the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. The complex system of laws and regulations impact our clients in a variety of contexts, and our attorneys regularly counsel clients on securities issues arising in business strategy, compliance, and resolution of disputes.
Burr & Forman attorneys have represented clients in disputes in state and federal courts, before the U.S. Securities and Exchange Commission (SEC), state securities commissions, and in Financial Industry Regulatory Authority, Inc. (FINRA) arbitrations. We have launched this blog to help our clients, as well as other interested parties, keep up with news, regulatory changes, legal opinions and practical tips involving all areas of securities regulation and litigation. We hope that you will find this blog informative and will make it a regular part of their reading. If you ever have a question about something on the blog or have a securities question, feel free to contact any of Burr & Forman's Securities team members, and we will be happy to assist you.
Thanks for reading! For more information on securities litigation topics, please contact one of the Burr & Forman team members for assistance. We are happy to answer any questions or concerns you may have."