Florida Securities Attorneys

Securities law is divided into three main branches known as litigation, transactional work and regulatory work. Securities attorneys are the lawyers who work within these branches to protect the interests of investors when handling lawsuits and other legal matters. These issues may include things like securities fraud, mergers and acquisitions, auction rate securities, mutual funds and initial public offerings.

Securities attorneys based in Florida are required to hold a bachelors degree in a non-specified field plus a Bachelor’s degree in law from an institute that has been recognized by an authorized accrediting agency. It is common for the non-specified field to be in either accounting, business or finance as each of these areas of training offer a solid understanding of business logistics.

In order to gain practical legal experience, a great number of law schools expect students to complete an internship with a senior attorney who specializes in securities law before being awarded their degree. Once this has been satisfied, graduates must pass the state of Florida's written bar examination. Because laws associated with securities are routinely updated and modified, it is imperative for attorneys in this field to remain abreast of the latest regulations. Securities attorneys are also required to participate in Continuing Legal Education (CLE) courses in order to sustain their license in practicing law after graduating.

The roles played by a securities attorney are not limited to client representation in a court of law. Communication and interaction with the client is a pertinent part of this profession. Conflict resolution, advising company policy, safeguarding the company during an audit and handling litigation are all important aspects of securities attorneys. In a majority of corporations, this type of lawyer is a highly regarded resource as well. They are especially sought after when policy change requires a legal opinion to demonstrate the risks and benefits of certain situations.

Agencies that deal with legal matters associated with securities include the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). State financial agencies, stock exchanges and foreign regulatory bodies may also be involved with these types of matters. Civil regulatory actions like consumer securities fraud are investigated and filed by these agencies. As these are serious allegations, it is important for those seeking counsel to be represented by an experienced lawyer. Securities attorneys within the state of Florida should be comfortable in any legal issue dealing with these agencies as they are prepared to handle these situations in their law school, internships and continuing education.