Chicago Securities Law Attorneys

Navigating securities law requires experienced legal counsel to ensure compliance and success in a highly regulated environment. De Silva Law Offices offers tailored guidance for securities transactions, SEC compliance, and private financing. We combine the depth of knowledge and experience typically found at large law firms with the client-focused value of a boutique practice, ensuring our clients receive strategic, target legal support.

Comprehensive Areas of Practice in Securities Law

• Registration, Regulation, and SEC Compliance: De Silva Law Offices assists clients in navigating complex securities laws, ensuring federal and state compliance requirements are met.
• Corporate Formation and Ongoing Operations: We provide comprehensive legal support for forming corporations, partnerships, and funds, as well as advice on governance and operational matters.
• Corporate Governance and Fiduciary Guidance: Our team advises boards, executives, and entities on corporate governance, ensuring compliance with fiduciary duties and regulatory standards.
• Reporting and Disclosure Requirements: We assist clients with meeting their SEC reporting and disclosure obligations, ensuring timely, accurate submissions to mitigate risk.
• Regulatory Enforcement and Investigations: We have substantial regulatory experience representing clients in investigations and enforcement matters before the SEC and FINRA.
• Brokerage and Derivatives Documentation: We assist with creating and negotiating documentation related to brokerage, trading agreements, and derivatives, tailored to meet legal and business needs.
• Trading Issues and Disputes: Our practice helps clients navigate complex trading issues, from regulatory compliance to resolving disputes in rapidly changing markets.

Securities Law FAQ

What constitutes securities fraud?

Securities fraud involves deceptive practices in the financial markets, such as misrepresenting information about a company or its stock. Examples include insider trading, falsifying financial statements, or running Ponzi schemes. If you suspect securities fraud, seeking legal advice immediately is crucial.

What is insider trading?

Insider trading occurs when someone uses non-public, material information about a company to buy or sell securities for financial gain. This practice is illegal because it creates an unfair advantage in the market and undermines public trust.

How can businesses ensure compliance with securities laws?

Compliance involves adhering to regulations set by agencies like the Securities and Exchange Commission (SEC). Businesses must properly register securities, disclose accurate financial information, and follow reporting requirements. Failure to comply can lead to fines, penalties, and legal consequences.

What is the role of a securities lawyer?

Securities lawyers help individuals and businesses navigate complex regulations. Their expertise includes advising on compliance, representing clients during investigations or litigation, and assisting in drafting or reviewing financial documents.

What should I do if I’m accused of securities fraud?

If you’re facing securities fraud accusations, contact an experienced securities lawyer immediately. They can review the details of your case, explain your rights, and develop a tailored legal defense to protect your interests.

How can securities lawyers help investors?

Securities lawyers assist investors who’ve suffered losses due to fraud, misrepresentation, or other wrongful acts. They can file claims, negotiate settlements, and litigate cases to help investors recover their losses.

Why is compliance important for public companies?

Compliance with securities laws builds investor confidence and protects the company from legal risks. Public companies are required to disclose accurate and timely financial information to ensure transparency and fairness in the market.

What is the SEC, and what does it do?

The Securities and Exchange Commission (SEC) is a federal agency that enforces securities laws and regulates the financial markets. Its responsibilities include protecting investors, overseeing securities transactions, and maintaining efficient market operations.

How do I find legal help with securities law issues?

If you’re facing challenges related to securities law, contact a qualified securities lawyer. They can provide personalized guidance, explain complex regulations, and work with you to achieve the best possible outcome for your case.