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Help for Investors Who Need to Recover Fraudulent Investment Losses

As an individual investor, you enjoy substantial protections under U.S. securities laws. These laws protect investors against fraud, and they entitle investors to financial compensation when they suffer fraudulent losses. But, asserting your rights under these laws is not easy; and, to make sure you have the best chance of recovering your fraudulent losses, it is important to work with an experienced securities fraud law firm.

Our firm has been helping investors recover their fraudulent losses for decades. Located in the heart of Wall Street, we represent individual investors in securities arbitration, securities fraud litigation, and FINRA arbitration nationwide. We also handle class action lawsuits when multiple investors suffer losses due to the same fraudulent market activities, and we routinely conduct investigations focused on uncovering all forms of securities fraud.

What are the Laws that Protect Investors from Fraud?

There are several securities fraud laws that protect investors in the United States. These laws address all forms of securities fraud, from insider trading and other forms of corporate securities fraud to fraud committed by investment brokers and advisors. Some of the most important laws that protect individual investors include:

  • Securities Act of 1933 – The Securities Act of 1933 was the first major piece of federal legislation in the U.S. that was specifically designed to protect individual investors. Among other key provisions, the Securities Act of 1933 requires companies to make financial disclosures when offering securities to the public, and it specifically prohibits misrepresentations and other deceitful practices.
  • Securities Exchange Act of 1934 – The Securities and Exchange Act of 1934 created the U.S. Securities and Exchange Commission (SEC), which is the federal agency primarily responsible for regulating the securities markets in the United States. It also established various requirements for securities trades conducted between investors and companies other than the securities’ original issuers.
  • Investment Company Act and Investment Advisers Act of 1940 – These laws establish public disclosure requirements and other legal obligations for investment companies, mutual funds, and individual investment advisers.
  • Sarbanes-Oxley Act of 2002 – The Sarbanes-Oxley Act of 2002 (commonly known as “SOX”) was the direct result of the Enron and WorldCom securities fraud scandals around the turn of the century. It expanded on the requirements established under the Securities and Exchange Act of 1934, and it established several completely new requirements with regard to corporate responsibility, financial accountability, and securities-related disclosures.
  • Dodd-Frank Wall Street Reform and Consumer Protection Act of 2020 – This law, often simply referred to as the Dodd-Frank Act, was another responsive piece of legislation—in this case, enacted to address the fallout of the 2007 financial crisis. Among other key provisions, the Dodd-Frank Act established accountability and transparency requirements that expanded on those established under SOX in order to help protect unwary investors from securities fraud.

Contact Zamansky, LLC Today

Do you think you may have a claim for securities fraud? If so, it is extremely important that you speak with a lawyer right away. To discuss your situation with an experienced securities lawyer at Zamansky LLC, call 212-742-1414 or request a free consultation online now. 

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