Florida Securities Litigation and Arbitration Lawyers

In Florida, investors have rights and protections under numerous laws and regulations. 

The Florida Securities and Investor Protection Act (FSIPA) is a state law that regulates the offer and sale of securities in Florida. The Act is designed to protect investors from fraud and to ensure that they have access to accurate information about securities before they invest.

The FSIPA requires that all securities offered or sold in Florida be registered with the Florida Office of Financial Regulation (OFR), unless an exemption applies. The exemptions are designed to allow for the sale of securities without registration in certain limited circumstances.

The FSIPA also prohibits certain fraudulent and deceptive practices in connection with the sale of securities. These prohibited practices include making false or misleading statements about a security, omitting material information about a security, and engaging in manipulative or deceptive trading practices.

The OFR and private attorneys are responsible for enforcing the FSIPA. The OFR has the authority to investigate violations of the Act, to bring civil and criminal actions against violators, and to revoke the registration of securities professionals.

Here are some of the key provisions of the FSIPA:

• Securities must be registered with the OFR before they can be offered or sold in Florida.

• There are a number of exemptions from registration, such as for securities offered to a small number of investors or through an established securities exchange.

• Fraudulent and deceptive practices in connection with the sale of securities are prohibited.

Some additional resources that you may find helpful:

• Florida Office of Financial Regulation: https://flofr.gov/sitePages/DivisionOfSecurities.htm

In addition to the Florida Securities and Investor Protection Act, numerous federal protections apply to investors"

• 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 option for recovering investment losses under state and federal securities law.