Alabama Securities Litigation and Arbitration Lawyers

Alabama investors suffering investment losses may have claims against their securities broker-dealers under various state and federal laws.

The Alabama Uniform Securities Act is a state law designed to protect investors in Alabama. 

Some of the key protections under the ASA include:

• Registration requirement: Securities offered or sold in Alabama must be registered they qualify for an exemption.

• Antifraud provisions, which prohibits fraud and misrepresentation in the sale of securities.

• Investor education: The Act provides investor education materials to help Alabamians understand their rights and responsibilities as investors.

• Right to sue securities broker-dealer for violations. 

In addition to the Alabama Uniform Securities Act, a number federal securities laws also protect investors including:

• The Securities Act of 1933

• The Securities Exchange Act of 1934

• The Trust Indenture Act of 1939

• Investment Company Act of 1940

• Investment Advisor Act of 1940

• Sarbanes-Oxley Act of 2002

• Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

• Jumpstart our Business Startups Act of 2012

• FINRA Regulations 

• Securities and Exchange Commission (SEC) Regulations

Contact our law firm to discuss your rights and options for recovering losses under state and federal securities law.