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Guide to Finding Securities Lawyer

Guide to Finding Securities Lawyer

How do I find a Securities Lawyer?
     Securities lawyers work in the area of transactions and dealings with securities in financial markets.  The primary responsibilities of a securities lawyer is as follows:
– Understand securities regulations, stay educated about changes in securities regulation, and advise clients on securities laws. 
– Research and implement security regulations for the self-regulated areas of securities laws; often in a government agency setting.  
– Advise clients to limit exposure to civil and criminal liability while working with and exchanging securities.  
     Securities lawyers work in the financial world and are constantly reviewing and analyzing changes in the regulatory structures and rules.  They usually work in a business setting advising corporate clients such as banks and large companies.  
What to tell your attorney
     When you seek the advice of a securities lawyer, it is important that you are able to discuss all of your securities positions and any other way you are connected to the financial markets.  Be ready to discuss the areas that you need some guidance and don’t be afraid to ask a securities lawyer to clarify any points that you do not understand.  Securities lawyers usually work in an advisory role, so be prepared with as many questions as possible, as their services are best used to provide you with valuable information.  
Where to look for an attorney
     Securities lawyers are usually found in corporate or government agency settings, but there are some available to the general public.  Advertisements and lawyer listings may provide the names of lawyers and firms that specialize in securities law, however it is recommended that you conduct some research when searching for the securities lawyer that is right for you.    
     Information on the internet can provide valuable insight into the location of securities lawyers, their expertise, and a host of other information.  Using the search function on this website can be a great way to put you on the right path in your search for help. 
Do I need a specialist?
     Securities law is a highly specialized legal field and advice should only be sought by experienced securities specialists.  While most lawyers will know basic information about securities law, it is advisable to find a lawyer who has developed their knowledge and focuses specifically in securities law.  Information on the highly technical and always changing regulations are best be found in a seasoned securities lawyer. 
Preparing for an appointment
     Before meeting with your lawyer, ensure that you have all of your information available for the lawyer to review.  Business documents, securities information, and tax documents may be just some of the necessary information a lawyer will need in order to evaluate your situation.  Also, come prepared to discuss your securities positions in depth and to have some idea of your future plans.  Sometimes it may be necessary to be ready to consider multiple options, so also come with an open mind when discussing your matter with a securities lawyer.  
     Of course, having questions prepared in advanced can be one of the best ways to engage your securities lawyer and should prove fruitful in obtaining the most important information possible.  
Evaluating Experience & Education
     All securities lawyers must graduate from an accredited law school in the United States, must meet ethical requirements, and pass a bar in their jurisdiction.  Securities lawyers will typically come from the best possible schools and will spend time working for well known securities firms or government agencies.  It is important to look for a securities lawyer with experience in the field who has seen and worked with securities first hand.  
     If you find your securities lawyer through advertisements or word of mouth, make sure to do your due diligence in investigating the lawyer to ensure their experience and ethical standing are acceptable. 
Personality & Values
     Securities lawyers will most often have corporate experience and will be very neat and orderly individuals.  Securities law is considered a field of law that attracts individuals with good business acumen and a strong financial background.  Securities lawyers can also be businessmen and should be approached in such a way.  
     It may be important to conduct some fact finding about a securities lawyers background.  Make sure the securities lawyer is in good ethical standing with the state bar association and does not have any consumer complaints made against them.  Especially in this day in age, meet with your securities lawyer and make sure you feel comfortable with them, as there do exist some unscrupulous individuals in the financial world. 
Rates, Fees & Retainers
     Typically, securities lawyers and their firms will bill on an hourly basis, sometimes requiring very large retainer fees in order to obtain their services.  Securities lawyers will usually receive top rates for their work; do not be surprised to find lawyers that are charging between $400 to $800 an hour for their services.  It is very important that you keep track of any hours billed and the expenses that may be incurred by obtaining the services of a securities lawyer. 
     If you need representation for litigation involving securities, additional expenses may be incurred for going through the legal system.  Before obtaining their services, make sure you understand and discuss with your lawyer all fees and expenses that may be incurred.   
Interviewing your attorney
     While meeting with securities lawyers, keep the following points in mind:
– You will need to know about the fees that are expected to be charged as well as all expenses that may be incurred.  Do not hesitate to question any fees you do not understand or do not believe you should be accountable for. 
– Find out the available of the lawyer and whether other lawyers will also be working on your matter.  It may be that the securities lawyer you meet with does not do the substantive work on your case. Make sure you know who to contact when you need to reach your lawyer. 
– Always be prepared with questions.  Every bit of information you obtain can be helpful for your current matter or to help you make future plans.  Remember, you are paying the lawyer for their advice and guidance, so take advantage of it as much as you can. 

Securities Lawyers
     Specialists in the field of securities law.  Securities law consists of the regulation and control of the exchange of securities in the financial markets.  This is a highly technical field in which it takes years for a securities lawyer to develop the necessary expertise.  These lawyers can usually be found working for large corporations, financial institutions, or for the government agencies that regulate the markets.  Regulation of the securities markets have been enacted to protect both corporations, their employees, and the shareholders.  The complexity of securities law has become so complex, there are even certain securities lawyers that specialize in particular regulations of the securities.  
     Securities lawyers can work with advising their clients about avoiding breaking securities regulations or they can help represent clients against such charges.  Although transactional lawyers work in a transactional setting, they also may be required to appear in agency hearings, board meetings, or present matters at other similar processes.  
Securities Arbitration Lawyer
     A securities arbitration lawyer works with the Securities and Exchanges Commission in their arbitration programs designed for resolving issues involving securities.  Lawyers who work in this area represent clients that are facing charges of securities fraud, insider trading, or other infractions of SEC regulations.  The arbitration process in the SEC involves hearings that are very similar to traditional court processes, but instead use the SEC’s specific rules.  Decisions made by the arbitration panels are legally binding, so it is important to seek a securities arbitration lawyer if you are facing such charges.