Connecticut Securities Litigation and Arbitration Lawyers

Connecticut investors may purse claim for investment losses under numerous laws and regulations. These include:

The Connecticut Uniform Securities Act ("The Act"), which is a state law (as known as a "Blue Sky Law") that regulates any offer and/or sale of securities in the state. The Act is modeled after the Uniform Securities Act, which is a model law adopted, in part or in whole, by the majority of other states.

The Act requires that all securities offered or sold in be registered with the Connecticut Department of Banking , unless an exemption applies. The exemptions are designed to allow for the sale of securities without registration in certain limited circumstances, such as private placement of securities.

Some of the other key provisions of the Act

• Private right to sue for violations.

• Prohibits fraudulent and deceptive practices in connection with the sale of securities including misrepresentation and omissions.

In addition to the Connecticut Uniform Securities Act, the following federal protections apply to investors harmed by financial misconduct:

• The Securities Act of 1933

• The Securities Exchange Act of 1934

• The Trust Indenture Act of 1939

• Investment Company Act of 1940

• Investment Advisor Act of 1940

• Sarbanes-Oxley Act of 2002

• Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

• Jumpstart our Business Startups Act of 2012

• FINRA Regulations 

• Securities and Exchange Commission (SEC) Regulations

Contract our law firm to discuss recovering your investment losses.