U.S. securities laws are intended to safeguard investors from potential instances of fraud. Importantly, these laws also enable investors to seek financial recovery when they suffer investment losses due to the nefarious actions of an individual or entity.
An experienced securities litigation lawyer can help assert your financial investor rights and protections if you have been impacted by investment fraud or a Ponzi scheme. The lawyers at Silver Law Group are experienced in managing cases on behalf of investors across the nation and will work tirelessly to achieve your financial recovery.
The financial investor rights afforded under federal law enable a range of protections, as well as recourse when investment fraud occurs. There are numerous common types of investment fraud or misconduct that these laws offer a safeguard against, while providing a pathway to compensation when fraud occurs. These include investor protections from Ponzi schemes, securities fraud, misrepresentation, embezzlement, and stockbroker or accountant misconduct. There are several notable laws in American history that are focused on protecting the investor.
This law includes numerous provisions concerning mandatory disclosure requirements for a company’s financials. It also bans fraud or misrepresentation in the sales of stocks, bonds, and other securities.
This Act created the Securities and Exchange Commission (SEC) and gave the agency its authority. It also features provisions establishing enhanced reporting requirements for public companies, as well as prohibitions against insider trading.
This law was established as a consequence of the Enron and WorldCom securities fraud scandals. It outlines key financial requirements for corporations’ recordkeeping and reporting including independent auditing, internal controls, and compliance initiatives. It also imposes legal responsibility upon Chief Financial Officers and Chief Executive Officers to ensure the accuracy of financial statements, disclosures, and other corporate reporting.
The Dodd-Frank Act was designed to address weaknesses in federal law that emerged in the aftermath of the 2007-2008 financial crisis. The Act expands upon provisions entailed in the Sarbanes-Oxley Act, expanding the scope of disclosure obligations with which companies must comply. It sets limits on bank debt, broadens whistleblower protections, and enhances compliance requirements involving private funds, clearing agencies, securities advisors, and more.
The laws affording financial investors their rights and protections are intricate and require help from an experienced attorney to navigate. If you believe you have a claim for compensation related to a Ponzi scheme or another form of investment fraud, an attorney fight tirelessly to recoup your losses.
A financial professional/entity has a fiduciary duty to clients. These parties must prioritize the interests of the investors and take steps to identify risks that could compromise those interests.
Misconduct involving intentional investment fraud, lack of due diligence, and other outright negligence can leave the professional individual or entity involved legally liable. Banks, brokerage, brokers, investment advisors, firms, financial institutions, attorneys, and other parties who assisted in a fraudulent scheme are some of the top examples of liable parties who could owe investment fraud victims money.
While federal law enables significant financial investor rights and protections, it is vital to secure proper legal representation if you believe you have a claim for securities fraud. Financial wrongdoing against investors can take many forms, and these legal cases can be complicated.
One of our lawyers can protect your rights as a financial investor while actively working to enhance your financial recovery from the liable party or parties involved. For more information, contact Silver Law Group today and receive your complimentary consultation.
