Generally speaking, securities and commodities lawyers may be corporate or business lawyers, finance lawyers, banking lawyers, white collar lawyers, trial lawyers, arbitration lawyers, plaintiffs lawyers, or defense lawyers, who have experience with or who focus on securities or commodities. They may represent people at trials or in arbitrations who have bought securities or commodities and have been the victim of fraud, or help people file complaints with or claim a monetary reward from the United States Securities and Exchange Commission (SEC) or the U.S. Commodities and Futures Trading Commission (CFTC) under their Whistleblower reward programs. Others may represent people or companies who are defendants in securities trials or arbitrations.
Some securities lawyers or commodities lawyers advise people and businesses that work in the securities or commodities professions, like investment banks and financial advisors, or commodities firms and brokers, in connection with business-related matters or regulatory compliance. They may help private companies that want to start selling stocks or issuing bonds. Some may help companies that are already public to comply with laws, rules and regulations or to draft and submit required regulatory filings.
Others may represent individuals or companies in connection with internal corporate investigations or investigations by government agencies like the SEC or CFTC, the United States Attorney’s Office or the U.S. Department of Justice, “self regulatory organizations” (SROs) like the Financial Industry Regulatory Authority (FINRA), or by State authorities or regulators.
To run your free search and get your free personalized list* of securities lawyers or commodities lawyers