Stock Exchange

Securities Law

Securities Arbitration Lawyer

Through arbitration, disputes between brokers and investors can be resolved without an expensive court lawsuit. Rather than the matter being decided by a judge and jury, disputes are resolved by a panel of arbitrators in a private setting.

At the Law Office of Edwin B. Kagan, P.A., based in Tampa, Florida, we represent investors in securities arbitrations. Since 1988, our firm has helped many clients recover financial losses that resulted from stockbroker fraud, negligence, churning and other misconduct. We are an experienced firm with a small caseload that enables us to focus on providing a high level of personal service to each client and thorough attention to every case.

For more information on how we can help with your securities arbitration, contact us today.

Representation From a Tampa Customer/Stockbroker Disputes Attorney

We help investors with a wide range of disputes with stockbrokers and brokerage firms. This includes representation in any of the following situations:

  • Unsuitable or inappropriate investments

  • Churning or excessive trading

  • Unauthorized transactions

  • High-pressure sales tactics

  • Lack of diversification

  • Selling away

Securities Transaction Lawyer
Since 1988, the Law Office of Edwin B. Kagan, P.A, in Tampa, Florida, has been dedicated to representing clients in a wide range of securities transactions, including providing advice and assistance during all phases of the securities offering process. As experienced legal professionals, we understand the regulations associated with securities transactions, and we are prepared to assist with every aspect of your matter.

For more information on how we can help with your securities transaction, contact us today.

Comprehensive Service From an Experienced Tampa Attorney
We help clients with a wide range of securities transactions, including those pertaining to the following:

Regulatory compliance: Our firm can provide thorough advice regarding matters of regulatory compliance which may be complex due to the varying interpretations of the securities statutes and regulations. Federal and state laws may apply to clients’ securities activities, and we can take the time to explain issues involving trading restrictions, public company reports and filings, stock promotion and marketing, and other regulatory matters.
Rule 144 compliance: The public resale of restricted securities and securities owned by principals and affiliates of companies is allowed by SEC Rule 144 if and when specific criteria are met. We can issue Rule 144 legal opinion letters on behalf of persons who are seeking to have the “restricted” label removed from restricted securities by a transfer agent.
Private securities offerings: We can prepare all types of documents for unregistered or private securities offerings, such as private placement memoranda, offering circulars and other disclosure documents, subscription agreements and Regulation D compliance paperwork.
Reverse mergers: A reverse merger is a way by which a private operating company can go public by merging into a public shell company. Our firm can assist clients with these types of transactions, which provide an alternative to the traditional IPO as a method of going public.
Hedge funds and private equity funds: We are familiar with the regulatory requirements for these types of investment vehicles and we can prepare all documents relating to their formation.