Securities laws govern and regulate information that often must be provided to investors to enable them to make an informed decision whether to invest. Even private companies must comply with securities laws when raising capital, both to protect their owners from liability from dissatisfied investors and to insure compliance with, or exemption from, federal and state registration requirements under the securities laws. Public companies must provide annual, quarterly and current reports about their business. (Please see our Securities Law page for more information.)
Securities litigation occurs when investors make claims against issuers of securities, brokers, or issuers’ accountants and other advisors. In most cases, investors are complain of fraud, insider trading, or misrepresentations or omissions in prospectuses and other disclosure statements.
Business disputes may occur either between two companies, among shareholders within the same company, or with a company and an external agency or client. These may occur for a variety of reasons, including failed company projects, self-dealing by company insiders, creditor pressure, disassociations, disputes regarding direction of the company, deadlock, and financial distress.
Importance of Business Disputes and Commercial Securities Litigation
Securities law is governed primarily by the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, regulations promulgated under such acts, and the state blue sky laws. The Securities and Exchange Commission is a federal commission that regulates the securities markets. Both public and private companies are required to comply with securities laws. Corporate regulations and securities laws are established to protect both the company and the consumer. Navigating the financial regulations can be daunting without the assistance of a securities and corporate lawyer.
First and foremost, timely handling of disputes is necessary to maintain a company’s reputation with the community, vendors and clients as well as to minimize damage for the company that could impact future investments, business relationships and long term viability.
Hull Barrett is ready to assist with both business disputes and securities litigation. Our team of lawyers is comprised of securities lawyers, board certified accountant and trust lawyer, business litigation lawyers, and a former assistant district attorney to assist with white collar aspects of the case. Together they navigate investigations, forensic accounting, e-discovery, insurance coverage and trial and arbitration.
We are prepared and have experience in assisting clients with:
- Financial Negligence
- Financial Disputes
- White Collar Defense
- Broker Related Disputes
- Securities Fraud
- Partnership Disputes
- Minority Shareholder Representation
- Corporate Divorce
- Accounting Fraud
- Directors and Officers Defense
- Corporate Litigation
- Corporate Compliance and Governance
- Mortgage Backed Securities Litigation
- ERISA Related Litigation
- Unfair Business Practices
- Employment Litigation
- Non-Compete Agreement Disputes
- Lease and Real Estate Disputes
- Intellectual Property Infringement