Fort Lauderdale Securities & Business Representation Attorney

SIMMS LAW, P.A. is a boutique law firm located in Fort Lauderdale, Florida. We concentrate on securities litigation and business law. With every engagement, we work diligently to sharpen our skill set while successfully serving investors, the financial industry, and the business community. This work ethic has earned us a reputation for excellence in a field that demands it every day.

What Sets SIMMS LAW Apart

After nearly a decade of representing financial services firms and broker dealers, we have developed a unique understanding of the financial industry perspective. This allows us to more effectively evaluate the claims and defenses on both sides of the aisle and to achieve a superior result for our clients. This depth of experience and perspective set us far apart from other law firms in the same field.

Clients We Serve

SIMMS LAW is uniquely equipped to serve a broad range of clients, including:

  • Individuals or companies involved in a wide array of business disputes.
  • Financial advisors in actions relating to promissory note collection, CRD disclosure expungement, and loss of clientele.
  • Investors who have lost money in the financial markets due to improper conduct, including unsuitable investment recommendations, misrepresentations and omissions concerning the risks and other characteristics of their investments, and a lack of proper diversification in their investment portfolio.

Investor claims are typically brought in arbitration (as opposed to court) before the Financial Industry Regulatory Authority (FINRA). As a self-regulatory body, FINRA’s function is to govern all business dealings between dealers, brokers and public investors. At SIMMS LAW, we are dedicated to upholding all aspects of FINRA Rules and consider them an underpinning of our nation’s financial stability.

Laws We Work to Uphold

Whether our clients are individuals or businesses, we always act with an eye toward upholding federal and state law. Examples of federal and state securities laws that have protected investors for decades include:

Federal Securities Laws

There are two bedrock Federal Securities Laws: the Securities Act of 1933 and the Securities Exchange Act of 1934.

The Securities Act of 1933 was designed to make sure that investors receive financial and other meaningful information about any securities that are being offered for public sale, and to prohibit misrepresentation or fraud during their sale.

The Securities and Exchange Act of 1934 created the Securities and Exchange Commission (“SEC”), and Section 10b of the Act gave the SEC the power to enact rules against “manipulative and deceptive practices” in securities trading. The Act was passed in large part as a response to the stock market crash of 1929, to provide more transparency in the secondary securities market. Congress gave the SEC the authority and flexibility to create and revise rules, in the hope that it could effectively deter and punish manipulative and deceptive practices (fraud). The Act is still widely cited today in the continuing effort to protect investors from fraudulent behavior in the financial markets.

The Florida Securities and Investor Protection Act (“FSIPA”)

FSIPA is administered and enforced by the Florida Division of Securities to ensure that the investing public is protected from unscrupulous actors so that their investments can grow and promote general economic growth. The Division of Securities regulates the sale of securities in, to, or from Florida to guarantee compliance with state law. Like the Federal Securities Laws, FSIPA also provides a cause of action for defrauded investors.

SIMMS LAW is Here to Protect Your Assets

SIMMS LAW, P.A. is available to represent you with strength and integrity. From our offices in Fort Lauderdale, Florida, we are fully capable of handling investor arbitration claims nationwide and myriad other corporate matters and business disputes across Florida. We are efficient, well-informed, and savvy to the workings of the financial industry. Please reach us by phone, email, or fill out one of the convenient contact forms on our website.