Turning Probabilities Into Realities

    Securities Law

A Trusted Law Firm For Securities Law Matters

An experienced securities law attorney can help you navigate a complex area of law while protecting your rights and interests on all fronts. At The Spencer Law Firm in Houston, our attorneys have extensive experience handling securities law matters for clients throughout Texas. Whether you are currently facing an investigation or another urgent matter or require day-to-day guidance, we are here to provide you with the skilled representation you need.

A Versatile Practice

We represent clients in a broad range of securities law matters, including:

  • Business litigation: Representing owners of businesses who have been defrauded in their dealings with other partners or company owners.
  • Broker-dealer concerns: Representing broker-dealers in issues such as hiring, addressing customer complaints, risk management, Financial Industry Regulatory Authority (FINRA) arbitrations and much more.
  • State and federal investigations: Handling issues before the U.S. Securities and Exchange Commission (SEC), FINRA and the Texas Securities Board.
  • Representing businesses: Providing guidance pertaining to the formation of private capital and public capital.

Securities and control disputes have turned out to be a unique practice skill set and is one of the lynchpins of The Spencer Law Firm’s legal disciplines. Our clients range from individual investors to large privately held companies with a billion plus dollars. Whatever your legal concerns, we are here to help you resolve your business law issues in a manner that is both effective and cost-efficient.

Discuss Your Legal Needs With An Experienced Lawyer

Let us help you with any kind of securities law by contacting us through our online form or calling us at 713-568-9008.

  • Transactional
  • Civil litigation/arbitration
  • Regulatory
  • Criminal defense and prosecution

Mrs. Spencer and her experienced lawyers look at securities dilemmas from these four unique perspectives. Mrs. Spencer developed the securities and investments practice of The Spencer Law Firm to encompass all aspects of the securities business:

  • Investors and potential fraud
  • LLC, partnership and shareholder disputes for control or lack of control
  • White collar criminal defense
  • Capital formation
  • SEC, FINRA and Texas Securities investigations
  • Securities litigation