Securities Insurance

Securities insurance professionals are individuals that are experts in securities law. They possess a deep understanding of the regulations and laws governing investments to protect investors from fraud. They provide independent opinions on the relevant securities legislation, interpret statutes, laws and regulations as well as serve as expert witnesses in lawsuits.

Most cases involving securities fraud require an expert opinion to determine liability or compliance with regulatory standards such as insider trading or other fraudulent practices that cause investors economic losses. The testimony of a securities insurance professional is typically more valued by a court than just another party’s opinion due to their expertise in the field and objectivity to the case at hand. Securities insurance professionals have diverse backgrounds in fields such law, finance and accounting and may even hold credentials such as FINRA Series 7 certification or Certified Fraud Examiner (CFE).

The role of a securities insurance professional is vital to protecting investors rights when companies do not adhere to federal safety regulations with regards to investments – providing evidence for courts that can be used in prosecuting cases involving financial wrongdoings. Another key benefit is they maintain objectivity when presented with evidence related to potential violations which may favor either party accused of illegal activities rather than placing support behind one side over another thus presenting fair facts recommendations.

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