Securities Law

Dedicated to Delivering Results


Serving Businesses & Entrepreneurs Nationwide

The securities law attorneys at Weltz Law possess extensive experience and have a reputation for providing top-notch legal representation that is highly sought by public companies and other market participants. No matter if you are competing in a local or national market, our firm can provide reliable counsel for preparing and filing registration statements, proxy statements, annual reports, and other SEC filings.

Federal Securities Law Representation & Guidance

Our talented lawyers have a comprehensive understanding of the federal securities laws administered by the SEC and the securities laws of jurisdictions throughout the U.S. We are also familiar with the rules of the national securities exchanges and FINRA and can advise issuers and underwriters regarding information about the issuer and the securities that are required to be disclosed to prospective investors in the issuer’s disclosure documents and offering materials.

When you choose Weltz Law to represent you, we make it our goal to understand your company's business objectives so that we can provide customized services that are tailored to your specific legal needs.

We proudly offer legal guidance for the following:

  • Commercial Clients
  • Non-Profits
  • Start-Ups
  • Emerging Growth Companies
  • Private Equity Firms
  • Debt Financing Providers
  • Angel and Venture Investors
  • Early-Stage Companies
  • Hedge Fund Operators
  • Investment Advisors
  • Broker-Dealers
  • Commodity Trading Advisors

Are You the Victim of Securities Fraud or Misconduct?

Weltz Law proudly represents investors who have suffered losses in their savings or retirement funds because a brokerage firm or financial advisor committed fraud, acted negligently, or failed to act in their best interest. Our lawyers can review and analyze your financial statements to determine if securities fraud was committed.

We also work closely with financial experts to calculate the extent of the damages incurred due to securities fraud. If we determine your broker or financial advisor acted inappropriately or violated their fiduciary duty, then we will file a Statement of Claim with FINRA and represent you in all hearings.

We take on the following securities fraud cases:

  • Unauthorized Trading: Stockbrokers must obtain your permission before buying or selling securities on your behalf.
  • Breach of Fiduciary Duty: This occurs when a securities broker fails to act in their client’s best interest.
  • Unsuitability: You might be entitled to legal relief through a securities fraud lawsuit if you suffered losses because a financial advisor recommended securities that did not meet your risk tolerance and investment objective.
  • Churning: This occurs when a stockbroker recommends frequent trading to generate extra commissions for themselves.
  • Over-Concentration: If a stockbroker fails to properly diversify your investments and your account is exposed to only a few securities or a single sector of the economy, then you might be able to file a lawsuit to recover your losses.
  • Margin Claims: Did your broker recommend you borrow on margin to purchase securities and then require you to sell the securities, without prior notice, to pay off the margin balance? If you believe your broker did this solely to generate revenue for the brokerage firm, then reach out today so we can determine if you have a lawsuit.
  • Ponzi-Schemes: We proudly represent clients across the nation who were victims of Ponzi schemes and other types of financial theft.
  • Stock Broker Negligence: Brokers who are negligent in handling investments or provide incompetent advice can be held accountable for the financial harm they have caused to their investors.
  • Stock Broker Misconduct: When a broker violates their duties to you as the client or engages in fraud and misconduct, you have a right to seek compensation for the monetary losses your broker has caused you.
  • Alternative Investment Product Scams: If you suffered financial losses from alternative product fraud such as REITs, hedge funds, promissory notes, private placements, annuities, etc., we can help you seek damages against the broker or financial advisor.
  • Punitive Damages: As a part of your claim, we may also pursue punitive damages on your behalf if the case meets these requirements. These types of damages are intended to punish the wrongdoer for their egregious actions.

Experienced Securities Litigation Team

At Weltz Law, our team of experienced securities litigation attorneys is dedicated to providing top-notch legal representation for individuals and businesses involved in securities disputes. With our extensive knowledge of federal securities laws and regulations, we are well-equipped to handle complex cases and protect our clients' best interests.

Why choose our securities litigation team:

  • Proven track record: Our attorneys have a successful track record of achieving favorable outcomes for our clients in securities litigation cases.
  • Comprehensive understanding: We have a deep understanding of federal securities laws and regulations, allowing us to navigate complex legal issues and build strong cases.
  • Personalized approach: We take the time to understand our clients' unique situations and goals, tailoring our legal strategies to meet their specific needs.
  • Strong advocacy: Our team is known for its strong advocacy skills, aggressively fighting for our clients' rights and seeking maximum compensation.
  • Client-focused service: We prioritize open communication and transparency, keeping our clients informed throughout the legal process and providing responsive and attentive service.

Whether you are a victim of securities fraud or facing allegations of misconduct, our securities litigation team is here to provide the legal guidance and representation you need. Contact us today to schedule a consultation and discuss your case.

We Are Prepared to Fight for Your Best Interests

Our securities lawyers have a wide breadth of experience and are available to provide practical and comprehensive solutions. We understand the relevant legal and regulatory issues that our securities clients encounter, and we will gladly take the time to walk you through all of your options so you can make informed decisions.

If you’re ready to speak to a member of our legal team, then please give us a call today at (877) 905-7671 to set up a free case consultation.


Experienced & Effective

30+ Years of Collective Experience

Our attorneys have over 30 years of collective experience representing clients in all aspects of securities and commercial litigation.

Contingency Fees for Our Securities Law Clients

We will not receive a penny in attorney's fees unless a positive recovery is obtained in your case. Contact us to see if you're eligible.

Free Consultations

We will assess the merits of your claims and help you decide on the next step.

Litigated Claims in Excess of $50 Million for Our Clients

Our firm is prepared to fight for you to seek maximum compensation.


Dedicated to Delivering Results

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Carle Place, NY 11514

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Boca Raton, FL 33432

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Rockville Centre, NY 11570

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Beverly Hills, CA 90210

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New York, NY 10018

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