Securities

Are You Facing Challenges in the Complex World of Securities Law?

As an experienced Albuquerque securities lawyer and former director of the New Mexico Securities Division, I specialize in both litigation and transactions, helping clients navigate regulatory compliance, investment disputes, and market transactions with confidence. Whether you’re an investor dealing with fraudulent schemes or a business seeking guidance on securities offerings, my practice is dedicated to protecting your interests in this highly regulated field.

Securities law encompasses a broad range of activities, from issuing stocks and interests in private companies to ensuring compliance with federal and state regulations. Many clients come to me frustrated by losses from negligent brokerage practices or misleading investment opportunities. For instance, understanding the difference between registered and exempt securities can prevent costly mistakes. As your Albuquerque securities litigation lawyer, I provide clear explanations and strategic solutions to recover losses and enforce your rights.

One common pain point is dealing with securities fraud, where investors are tricked into high-risk ventures without proper disclosures. I’ve successfully represented clients in securities fraud cases in New Mexico, Georgia, and Colorado. My experiences in diverse venues underscore my ability to handle pre-litigation negotiations, identify the issues in play, and pursue aggressive recovery strategies.

In transactions, businesses often need assistance with selling interests in their limited liability companies or stock in their corporation. I guide clients through the intricacies of the federal and state securities compliance, ensuring all filings are accurate and

I always advise my clients on the how to spot red flags in securities investments by following these steps:

1. Verify Registration: Check if the security is registered with the SEC or state regulator or qualifies for an exemption. Unregistered or non-exempt offerings may signal potential fraud.
2. Review Disclosures: Demand full prospectuses or offering memoranda. Incomplete information is a major warning sign.
3. Assess Promoter Background: Research the individuals involved using FINRA’s BrokerCheck or SEC databases.
4. Consult Professionals: Always involve a securities lawyer before committing funds.

My approach as an securities attorney in Albuquerque emphasizes proactive advice to avoid disputes, blending litigation prowess with transactional acumen.

Digital assets increasingly intersect with securities law, and I’ve been at the forefront of this trend for most of my career. For businesses, staying compliant means regular audits and training. Ultimately, choosing the right securities attorney can make all the difference.

If you’re seeking an Albuquerque securities lawyer who combines deep knowledge with proven results, contact me today. Let’s discuss how I can safeguard your investments and resolve your securities issues efficiently.