Best Brokerage Lawyers in United States

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Tiffany & Bosco P.A.
Phoenix, United States

Founded in 1967
50 people in their team
English
A Full Service Law FirmAs client needs, business, and the economy have evolved, so has our level of legal services. For over 50 years, we have based our legal services on understanding and meeting our clients’ ever-changing legal needs. From the most prominent legal specializations to emerging...
Galindo, Arias & Lopez
Panama City, United States

Founded in 1968
200 people in their team
Spanish
English
Serve the economic development of Panama and the regionWith more than 50 years of experience, we distinguish ourselves as a legal services firm dedicated to providing comprehensive solutions for local and foreign clients with business interests in Panama. In a dynamic and changing world, we have...
Davis Wright Tremaine LLP
Anchorage, United States

Founded in 2000
5,000 people in their team
English
In an era of rapid innovation, the legal landscape is shifting just as fast. You're advising on complex challenges, anticipating risks, and driving business forward. Staying ahead means having a partner who understands not just the law, but the industries redefining it.At Davis Wright Tremaine, we...
Coppersmith Brockelman PLC
Phoenix, United States

Founded in 1995
50 people in their team
English
At Coppersmith Brockelman, we believe that law firms have too many rules.  Here are ours:  Work at the highest level of our profession.  Think creatively and find practical solutions.  Do the right thing.  Maintain our sense of humor.  Build community - with clients,...

Founded in 1954
200 people in their team
English
Mitchell, Williams, Selig, Gates & Woodyard, P.L.L.C. is a full-service law firm with Arkansas roots and national reach. For more than 70 years, we have delivered sophisticated legal counsel to individuals, entities and corporations for everything from day-to-day business needs to the most...
Hall Booth Smith, P.C.
Little Rock, United States

Founded in 1989
1,000 people in their team
English
Our FirmEstablished in 1989, Hall Booth Smith, P.C. (HBS) is a full-service law firm headquartered in Atlanta, Georgia, with regional offices strategically located throughout Georgia and the United States. Experienced across a wide range of legal disciplines, HBS prides itself on providing...
BG Law
Woodland, United States

Founded in 1987
200 people in their team
English
At BG Law we listenWe are more than attorneys - we are dealmakers. We leverage our business backgrounds and creative insight into the most sensible advice and counsel for clients. Many of our attorneys are former bankers, accountants, business owners and professionals, who call upon years of...
Martinson & Beason
Huntsville, United States

Founded in 1937
50 people in their team
English
Founded in 1937, the law firm of Martinson and Beason, P.C. has been dedicated for over 85 years to achieving the best possible result for our clients. Our Huntsville Alabama personal injury lawyers provide a professional, team approach to each case. Our attorneys are committed to the highest...
Fuqua Campbell, P.A.
Little Rock, United States

Founded in 2000
50 people in their team
English
At Fuqua Campbell, P.A., we are committed to serving the litigation, transactional and advisory needs of individuals, businesses and government entities. We are a well-established law firm made up of talented and dedicated attorneys, paralegals and staff. We combine state-of-the-art tools with...
Engelman Berger, PC
Phoenix, United States

Founded in 2000
50 people in their team
English
Engelman Berger is comprised of experienced lawyers who are well recognized for their expertise and commitment to resolve commercial disputes and assist clients in preventing legal problems through proper planning. The firms’ clients are national and local lenders, borrowers, lessors, tenants,...
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About Brokerage Law in United States:

Brokerage law in the United States governs the relationships between brokers and their clients, as well as the regulations surrounding buying and selling securities. The laws aim to protect investors and ensure fair and transparent transactions in the financial markets.

Why You May Need a Lawyer:

You may need a lawyer in brokerage situations where there is a breach of contract, fraud, misrepresentation, or other legal issues. A lawyer can help you navigate complex regulations, represent you in disputes with brokers or clients, and ensure your rights are protected.

Local Laws Overview:

Local laws that are particularly relevant to brokerage in the United States include securities regulations enforced by the Securities and Exchange Commission (SEC), state-specific licensing requirements for brokers, and laws related to financial transactions and investments.

Frequently Asked Questions:

What are the responsibilities of a broker?

Brokers have a duty to act in the best interests of their clients, provide suitable investment advice, disclose all relevant information, and execute transactions promptly.

What should I do if I suspect my broker of misconduct?

If you suspect misconduct by your broker, you should document the details of the situation, contact the broker's firm, file a complaint with the appropriate regulatory body, and consider seeking legal advice.

Can I sue my broker for investment losses?

You may be able to sue your broker for investment losses if you can prove misconduct, negligence, fraud, or breach of fiduciary duty. A lawyer can help you assess the viability of a lawsuit and represent you in court.

What regulatory bodies oversee brokerage in the United States?

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are the primary regulatory bodies overseeing brokerage in the United States.

Do I need a lawyer to buy or sell securities?

While it is not required to have a lawyer to buy or sell securities, having legal advice can help protect your interests, ensure compliance with regulations, and address any legal issues that may arise.

How do I choose a reliable broker?

To choose a reliable broker, consider factors such as reputation, experience, licensing, fees, communication style, and the range of services offered. You can also check with regulatory bodies for any disciplinary actions against the broker.

What are common types of brokerage disputes?

Common types of brokerage disputes include unauthorized trading, churning, unsuitability of investments, failure to execute trades, misrepresentation, and breach of fiduciary duty.

Can a lawyer help me recover investment losses?

A lawyer specializing in brokerage law can help you assess your legal options for recovering investment losses, such as filing a complaint, negotiating a settlement, or pursuing litigation against the responsible parties.

How can I file a complaint against a broker?

You can file a complaint against a broker by contacting their firm, submitting a complaint to the SEC or FINRA, or seeking legal advice on the best course of action based on the circumstances of the dispute.

What are the legal remedies available in brokerage disputes?

Legal remedies in brokerage disputes may include monetary damages, rescission of transactions, injunctive relief, arbitration or mediation, and disciplinary actions against the broker or firm by regulatory bodies.

Additional Resources:

For more information on brokerage law and regulations in the United States, you can visit the Securities and Exchange Commission (SEC) website, the Financial Industry Regulatory Authority (FINRA) website, or seek guidance from a qualified securities lawyer.

Next Steps:

If you require legal assistance in brokerage matters, consider consulting with a securities lawyer who can provide personalized advice, represent you in negotiations or litigation, and help you navigate the complexities of brokerage regulations in the United States.

Lawzana helps you find the best lawyers and law firms in United States through a curated and pre-screened list of qualified legal professionals. Our platform offers rankings and detailed profiles of attorneys and law firms, allowing you to compare based on practice areas, including Brokerage , experience, and client feedback. Each profile includes a description of the firm's areas of practice, client reviews, team members and partners, year of establishment, spoken languages, office locations, contact information, social media presence, and any published articles or resources. Most firms on our platform speak English and are experienced in both local and international legal matters. Get a quote from top-rated law firms in United States - quickly, securely, and without unnecessary hassle.

Disclaimer:
The information provided on this page is for general informational purposes only and does not constitute legal advice. While we strive to ensure the accuracy and relevance of the content, legal information may change over time, and interpretations of the law can vary. You should always consult with a qualified legal professional for advice specific to your situation. We disclaim all liability for actions taken or not taken based on the content of this page. If you believe any information is incorrect or outdated, please contact us, and we will review and update it where appropriate.