James F. Willeford Law Blog

Under Section 807 of The Sarbanes-Oxley Act of 2002 (Act), any person who knowingly commits securities fraud is subject to a hefty fine, a prison term of up to 25 years, or both. Section 807 does not criminalize securities laws violations for the first time; however, it does combine several existing laws so as to facilitate and streamline federal prosecutions.... Read More

Securities Attorneys of Willeford Law Firm

Mutual funds are required to provide a prospectus (or written offering document) to purchasers of shares in the mutual funds. A prospectus also is available upon request prior to purchasing shares of a mutual fund. To protect investors, the Securities and Exchange Commission requires that a prospectus must contain... Read More

OSHA Requirements and Standards - Investment Lawyers - Willeford Law Firm

The Occupational Safety and Health Administration (OSHA) is responsible under the Occupational Safety and Health Act of 1970 for promoting a safe workplace by setting standards and conducting inspections. The Act applies to almost all employers. Employers are responsible for knowing and following applicable... Read More

A company goes private by... Read More

Securities Litigation Options - Securities Litigation Lawyers, Willeford Law Firm

Federal and state securities law and investment law regulate the activities of stockbrokers and brokerage firms, but the laws do not help investors recover financial loss.

To claim damages and obtain relief, investors can pursue four options:

Securities Arbitration Law - Securities Attorneys, Willeford Law Firm

Securities arbitration is a useful alternative dispute resolution tool to help determine is the parties involved are entitled to recover damages. In arbitration, a neutral third party or panel—

ERISA Disability Benefits – Securities lawyers of Willeford Law Firm

Investment Lawyers Experienced in ERISA

Securities lawyers of The Willeford Law Firm have a long history of successfully representing employees, executives, and business owners, in claims for disability and other employment benefits, such as retirement, healthcare, life insurance, and accidental death benefits. Such claims are often subject to the Read More

Recovery of Stock Market Losses - Securities Lawyers Willeford Law Firm

¿ You have the right to understand the investments recommended to you!
¿ You have the right to rely on investment professionals!
¿ You need an experienced securities arbitration attorney to represent you!

Securities attorneys of Willeford Law Firm have assisted scores of retirees and investors recover millions of dollars in... Read More

Information Regarding Stock Fraud - Securities Attorney James Willeford

Stock fraud is also known as investment fraud or securities fraud. It occurs when a financial advisor gains your trust and then violates it.  Most commonly through misrepresentation of information, to get you to buy or sell a security and resulting in a financial loss. Securities law and investment law prohibit such behavior.

The 2008 case of Bernard... Read More

Acts and Laws Involved in Securities and Investment Law - Investment Lawyer, James F. Willeford

The Security and Exchange Commission (SEC), established by the Securities Exchange Act of 1934, administers federal securities laws, including the Read More