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What Does a Securities Lawyer Do?

Feb 14, 2024 | Business of Law, Securities

If you’re an investor or issuer, you should have a skillful securities lawyer by your side. A securities lawyer is an attorney who has specific knowledge and experience in the area of law that concerns the buying, selling and creating of securities. Not only can they advise you regarding the Securities and Exchange Commission (SEC) laws, but they can also help ensure you remain compliant and protect your rights if you have suffered losses due to broker misconduct.      

Securities Lawyers Can Assist with SEC Filings and Help Ensure You are Compliant

A considerable amount of paperwork is involved in securities transactions. The SEC requires public companies to periodically file financial statements and various disclosures to remain compliant. These regulatory documents are studied by investors to make informed decisions and can be accessed through EDGAR, the online database. 

A securities lawyer can help you compile and file the SEC documents, including:

  • Registration statements — Registration statements provide information about a company’s securities offerings and financial condition.
  • Form 10-K — This is a yearly report that provides a thorough analysis of the company’s financial condition. 
  • Form 10-Q — This form provides insight as to the company’s ongoing financial condition throughout the year.
  • Form 8-K — This is what a company uses to disclose major developments in the company, including bankruptcies, receiverships, the acquisition of assets, and the appointment of executives.
  • 13-D Filings — A 13-D filing, also referred to as a beneficial ownership report, is required by the SEC when a shareholder acquires more than 5 percent of the outstanding shares of a company. 
  • 13-F Filings — A 13-F filing must be filed quarterly by institutional investors with $100 million or more under management and disclose their holdings at the quarter’s end.     

Failure to file the paperwork in a timely manner can result in substantial monetary penalties. A securities lawyer can work with you to ensure the required SEC filings are completed correctly and timely submitted.                 

Securities Lawyers are Advocates for Investors

The securities laws are complex. The regulatory landscape is continuously evolving. A securities lawyer can assist you with transactional matters, mergers, acquisitions, and offer counsel regarding private sales of securities. They can also advise you regarding the law, provide you with advice regarding investments, and assist you with developing strategies to mitigate risk and increase your portfolio. 

If you have suffered losses that did not result from normal market forces, such as a breach of fiduciary or conflict of interest, a securities lawyer can advise you regarding your rights and remedies. They can also advise you if you are facing a claim involving misrepresentation, omission of facts, trading without permission, or other broker misconduct. They can review and explain any broker agreement before you sign it to make sure it is in your best interests.    

Securities Lawyers are Litigators

In addition to helping with transactional work and SEC filings, a securities lawyer can represent you in litigation when necessary. The SEC takes enforcement matters seriously and if you are issued a subpoena or contacted by summons, it’s essential to have the representation of a securities attorney to safeguard your rights. Common litigation and enforcement matters can involve shareholder matters, stock fraud, accounting liability, bribery allegations, and internal compliance matters. Consequences can range from significant monetary penalties to jail time if criminal charges are brought. 

SEC litigation can be stressful and time-consuming. A securities attorney represents not only clients in the courtroom — they can also provide important assistance with investigations, discovery, and audits. They can help you navigate the legal process and ensure it is cost-effective and efficient. 

Contact an Experienced New York Securities Lawyer

If you’re investing in a publicly traded company, it’s vital to have the counsel of a securities lawyer. Brinen & Associates provides high-quality legal services for securities matters and in a wide range of industries. Call (212) 330-8151 or send us a message to schedule a consultation. 


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I formerly worked as a satellite employee from my home state of New Jersey. I ended my employment with my former employer in 2016. In 2018, I was sued by my former employer for $1.1 million in Illinois State Court. I was referred to Brinen & Associates, LLC by a friend who is a client of the firm. Brinen & Associates, LLC came highly recommended. I contacted Joshua Brinen and then had a consultation at his office with his colleague Mark White. Together, Messrs. Brinen and White explained my options...

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