Securities Lawyer | Serving Charlotte, NC
Securities Lawyers/Law Firm With Experience Handling NASD, FINRA, NYSE, AAA, and Pacific Stock Exchange Securities Arbitrations and Securities Litigation in State and Federal Courts
Our law firm’s securities lawyers have significant experience handling NASD, FINRA, NYSE, AAA, and Pacific Stock Exchange securities arbitrations and securities litigation in state and federal court. We have handled cases throughout the United States and Latin America involving a broad range of securities, including but not limited to: stocks, bonds, options, hedge …
Smith, Dickey, Dempster, Carpenter, Harris & Wright, PA has experience helping clients with their Securities needs in Charlotte, North Carolina.
Securities law generally covers an assortment of legal issues related to the purchase or sale of products like mutual funds, stocks, and bonds. Charlotte securities lawyers can assist with an assortment of legal issues arising companies wishing to increase funding.
As a private investor when you have a dispute you may have the choice of where you actually settle or litigate your claim. The decision whether to bring your case in the FINRA arbitration forum, a private arbitration forum, a court of law, or through ADR should best be left to an experienced securities attorney.
If you're involved in a company that's seeking additional funding you should speak with a Securities Attorney who can assist you with finding investors, or even going public.
No matter what your legal issue may be, it is always best to seek legal help early in the process. An attorney can help secure what is likely to be the best possible outcome for your situation and avoid both unnecessary complications or errors.
An experienced lawyer should be able to communicate a basic "road map" on how to proceed. The lawyer should be able to walk you through the anticipated process, key considerations, and potential pitfalls to avoid. Once you've laid out the facts of your situation to the lawyer, he/she should be able to frame expectations and likely scenarios to help you understand your legal issue.
The more experienced a lawyer is in legal practice, the more likely he/she will be able to bring about a successful resolution to your issue. Since experience matters, lawyers who've been practicing law for many years (with a successful track record) tend to be in high demand. You should look for information about a lawyer's experience and ask questions during the initial meeting. It's a very good idea to ask the lawyer how many years he/she has been practicing law and the expected outcome of your case.
Pro se - This Latin term refers to representing yourself in court instead of hiring professional legal counsel. Pro se representation can occur in either criminal or civil cases.
Statute - Refers to a law created by a legislative body. For example, the laws enacted by Congress are statutes.
Subject matter jurisdiction - Requirement that a particular court have authority to hear the claim based on the specific type of issue brought to the court. For example, the U.S. Bankruptcy Court only has subject matter jurisdiction over bankruptcy filings, therefore it does not have the authority to render binding judgment over other types of cases, such as divorce.
Lead Counsel's objective process independently verifies attorney records, conferring with state bars across the country and conducting annual reviews to confirm that the attorney practices in the legal categories as indicated, possesses a valid bar license, and is eligible to practice in the specific jurisdiction.