Securities Regulation: ABC’s of Securities Law for Consumer Attorneys

Webinar Date: 
November 3, 2016

As the economy improves, consumers are looking for new investment opportunities.  Companies are using new methods to attract investors, such as crowdfunding.  Unfortunately, this renewed investor landscape also means an increase in unscrupulous investment schemes. This presentation provides a very basic overview of how state and federal securities laws protect investors who have been deceived or treated unfairly by business entities.  

Consumer attorneys who already represent consumers in matters of unfair and deceptive trade practices or other fraudulent transactions may benefit from expanding their practices into representing victims of securities fraud, either in state or federal court.  Those who service populations such as seniors, who may be especially vulnerable to financial fraud, may also find this presentation helpful.  

What You Will Learn

•    How to identify when a client’s case involves the purchase of a security.
•    An overview of the laws that apply to the sale of securities.
•    The remedies your client has if he or she is the victim of securities fraud.


Colin M. Miller is an Enforcement Attorney at the N.C. Department of the Secretary of State, Securities Division. Mr. Miller focuses on regulation of securities and investment management. He advises the Securities Division on matters related to corporation finance, trading and markets, investment management, and administrative investigation and adjudication. He has also participated in community outreach and education programs related to investment management. In addition to his time in North Carolina, he has practiced law in New York. In New York, he was employed as an agency attorney at the City of New York Human Resources Administration. There he focused on civil and probate litigation in matters related to Medicaid recovery. Prior to practicing law, he received a J.D. from New York Law School and a B.S. from the University of Vermont.  

Leo John is a Business and Investor Outreach Legal Specialist at the N.C. Department of the Secretary of State, Securities Division. Mr. John works in Investor Protection and Education, helping educate businesses and investors on the many twists and turns of the laws related to securities, state trademarks, and business corporations. He does public presentations, researches and writes articles, and responds to public inquiries on the topics. Leo obtained his J.D. from Campbell Law School. Prior to that, he was a reporter and editor for a business weekly in the Raleigh area. He has a M.A. in journalism from the University of Missouri, Columbia. 


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