Securities Law / Denver Business Lawyer

Securities Transactional And Litigation Services

Securities & Investment Fraud Litigation.

The Denver business lawyers of Williams Law, P.C. offer litigation assistance to small businesses and investors who have sustained losses traceable to fraud or breach of fiduciary duty by a broker or investment advisor, including suits for unsuitable advice. We have experience analyzing portfolios and individual trade histories and can efficiently detect the most common forms of securities fraud including inappropriate investments, failure to diversify, account churning, and failure to obey investor objectives and risk tolerance directives. An investment adviser is a fiduciary and must adhere to the strictures of fiduciary duty. If yours has breached this duty, call us. Our first call is free.

Have You Been Cheated With Respect to an Investment?

We aggressively pursue both companies and individuals who have wrongfully obtained investment monies by fraud. We also sue those who have embezzled or misused funds under their care. In either case, investment fraud is a serious matter with strong remedies in the State of Colorado. Let us go to work for you to get your hard earned money back. If you have been the victim of a fraudulent investment solicitation, or the victim of embezzlement and misuse of investment monies, call us immediately.

A Denver Business Lawyer ready to fight for your rights...

Securities Transactional Work

Raising money for any commercial purpose implicates securities laws. Subject to some narrow exceptions, when you take investment money from parties who will not themselves be working with you, you will be subject to intricate and potentially deadly securities laws, rules and regulations. Many business attorneys are unfamiliar with securities laws and draft such investment documents incorrectly. At Williams Law, P.C., we draft private placements of debt and equity and perform the required State 'blue sky' and federal SEC filings for small businesses and individuals.

Unsure if You Are Dealing With A Security? Here's the Test.

The supreme court ruled in the Howey decision that a security was essentially an investment contract where one invested money in an enterprise in hopes of profiting from the managerial efforts of other persons. This means that if you are, for instance, the key employee, your purchase of stock in your own company may not be a security, since you are really investing in your own efforts, not somebody else's. Also, this means that gold, oil, wheat and other commodities are not securities. They may make you money, but they are not an enterprise and not dependent on the managerial efforts of some third party. If you have questions about whether something is a security or not, call us. We want to talk with you.