Securities Law
At The Spencer Law Firm, our Houston-based securities attorneys guide businesses, investors, and startups through the complex world of securities law. Whether you're raising capital, forming a fund, navigating SEC compliance, or facing an investigation, our legal team brings deep industry knowledge and litigation strength to protect your financial interests.
Why Businesses and Investors Trust The Spencer Law Firm for Securities Law
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Regulatory Insight: Deep understanding of SEC, FINRA, and state regulations
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Litigation-Ready: Experienced in defending clients in securities disputes and investigations
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Risk Reduction: We proactively spot legal gaps before regulators do
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Personalized Strategy: Tailored legal guidance for private placements, fund formation, and more
Case Example / Client Story
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We helped a Houston-based fintech startup raise $3.2M in a Reg D offering while avoiding SEC red flags by restructuring their investor agreements and compliance docs...
Ready to Take the Next Step for Your Business?
Whether you're launching, scaling, or restructuring, The Spencer Law Firm is your trusted legal partner for long-term success. With 30+ years of proven experience in business and corporate law, we offer more than legal advice — we provide peace of mind.
Book Your Confidential Consultation Today
Let’s make your next business move your best one.
Protect Your Investments. Assert Your Rights.
Have You Been Misled or Defrauded in an Investment?
If you’re a business owner or investor in Texas and suspect you’ve been a victim of securities fraud, misrepresentation, or deceptive investment practices, you’re not alone — and you’re not powerless.
At The Spencer Law Firm, we help individuals and businesses recover losses and hold wrongdoers accountable under both Texas law and federal securities regulations.
Common Signs of Securities Fraud:
✅ False or misleading statements about investment performance
✅ Concealed risks or omitted information
✅ Promises of unrealistic returns
✅ High-pressure tactics to force quick decisions
✅ Unregistered or improper investment schemes
✅ Insider misconduct or breaches of fiduciary duty
Your Rights Are Protected by Law.
Whether you’ve suffered losses through a broker-dealer, private offering, business partnership, or other investment arrangement, there are legal paths to seek justice — including litigation, arbitration, and regulatory actions.
You May Be Entitled To:
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Recovery of financial losses
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Damages for fraud and misrepresentation
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Injunctions to prevent further harm
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Accountability from those responsible