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Securities Compliance and Litigation

Florida Attorneys Assist Businesses with Securities Compliance and Litigation

Skilled law firm advises companies in the Fort Lauderdale area on SEC and other regulatory issues

At Rob Hyman, P.A., our skilled business law attorneys provide comprehensive counsel to help ensure that your investment firm is in compliance with all necessary government regulations. We also represent clients in the Fort Lauderdale area and throughout Florida in litigation involving various state and federal securities regulatory agencies. Whether your business is a large corporate entity or a small brokerage firm, we offer the same dependable, skilled counsel that serves to protect your interests in court.

Proven advocates advise on securities compliance and litigation

At Rob Hyman, P.A., our established business attorneys provide skilled representation for clients throughout Florida facing securities issues by:

  • Mitigating regulatory risks through the development of strong compliance and corporate governance procedures
  • Assessing litigation options
  • Negotiating favorable settlements
  • Conducting thorough internal investigations

We have vast experience representing companies before federal and state agencies, including the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Consumer Financial Protection Bureau (CFPB), Commodities Futures Trading Commission (CFTC), and Financial Industry Regulatory Authority (FINRA). That experience ensures your firm’s issues will be handled by competent legal counselors who understand the complexities of securities law, industry standards and practices, and the regulatory environment.

Experienced litigators manage securities disputes

Controversies surrounding securities can arise between the issuing company and its shareholders, or between broker/dealers and their customers. We vigorously defend our corporate clients against shareholder class action lawsuits for alleged violations of securities regulations, including actions under:

Securities Act of 1933: covering IPO liability

  • Sec. 5 (failure to register)
  • Sec. 11 (misstatements or omissions in registration statement)
  • Sec. 12 (misstatements or omissions in offering statement)
  • Sec. 17 (fraud)

Securities Exchange Act of 1934: covering ongoing disclosure violations

  • Sec. 10(b) Rule 10b-5 (insider trading, tipping)
  • Sec. 18 (misleading statements in filed reports)

In addition to representing companies in these actions, we also defend clients against charges of control person liability directed at officers and directors. We understand that your continued relationship with investors depends on your firm’s reputation and integrity and will work to preserve both with informed counsel and advocacy.

Contact an experienced Florida securities law firm for compliance or litigation help

Rob Hyman, P.A. represents clients throughout Florida in a wide range of securities compliance and litigation cases. To schedule a consultation, call our Fort Lauderdale office at 754-701-6147 or contact us online.

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Office Location
  • Fort Lauderdale Office
    110 S.E. 6th Street
    17th Floor
    Fort Lauderdale, Florida 33301
    Phone: 754-701-6147