There is a vast and deep body of law that is designed to protect investors. These “rules of the road” of the investment world ensure that that the markets are fair and efficient and that investors can confidently take appropriate financial and economic risk.
These protections apply to investments in publicly-traded instruments such as stocks, bonds, mutual funds, and EFTs as well as to private investments in limited partnerships and other types of vehicles.
When an investment runs into legal problems, the investor is often at a disadvantage given the resources of most other parties in the financial services ecosystem.
That is where we come in. We help investors even the playing field against well-resourced investees or investment firms that have acted inappropriately.
Which types of investments?
Almost any sort of investment will benefit from laws and regulations protecting investors. Different rules apply to different sorts of investment but nearly all investors are protected against certain types of behaviour. Some examples:
- Stocks
- Bonds (fixed income)
- Mutual funds
- ETFs (exchange traded funds)
- Private investments in companies
- Private investments in real estate
- Private investments in pooled funds
What types of protections?
The legal regime protecting investors is broad and complex. It varies by asset type, the type of investment vehicle, the characteristics of the investor, the size of the investment and so on. Some examples:
- Securities laws
- Contract laws
- Consumer protection laws
- Laws against fraud and misrepresentation
- Real estate laws
- Lending laws
Tell us a little about your situation.
Call us or fill out the form below to tell us a little about your situation. We will assess it quickly and let you know whether we can be helpful.
