Securities Law Primer

Here, in our Securities Law Primer, we share a 35,000 foot overview of the laws that govern the securities industry; common securities violations; the mechanics of an enforcement action; and, attendant sanctions.

We are mindful, of course, that the federal securities laws are expansive and complex—keep in mind, the primary sources of securities law are each more than 85 years old! Read more about the most common securities violations.

While investment professionals and corporate executives retain our firm precisely because of our partners’ decades of experience inside the halls of the Securities and Exchange Commission, we make every effort to provide resources for our clients and prospective clients to become active participants in their cases. At the end of the day, for employees who observe workplace misconduct, the stakes are too high to report a ‘hunch.’

Knowledge is power and we want to empower our clients, prospective clients and friends every step of their journey, in any way we can.

If you have information about a possible securities violation, fill out our case evaluation.