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  • Attorneys David Meyer and Matthew Wilson have been selected to the list of Super Lawyers since 2011 and 2015 respectively.

  • Attorney David Meyer is a member of the Million Dollar Advocates Forum, an organization recognizing attorneys who have secured million dollar cases.

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  • Attorney David Meyer was selected as the 2015 Lawyer of the Year for Professional Malpractice Law – Plaintiffs for Columbus, OH by Best Lawyers®.

  • Meyer Wilson was ranked as a Tier 1 Best Law Firm for both Mass Tort Litigation / Class Actions – Plaintiffs and Professional Malpractice Law – Plaintiffs by U.S. News.

  • Attorney David Meyerhas been selected to the list of the Best Lawyers in America® for Mass Tort Litigation / Class Actions – Plaintiffs and Professional Malpractice Law – Plaintiffs every year since 2011.

Registration Requirements for Securities, Brokerage Firms & Investment Professionals

There are a lot of regulations when it comes to securities and the firms that sell them. Some of these regulations have to do with the registration of securities, the brokerage firm, and the investment salesperson.

Registration of Securities

Under federal and state laws, securities must be registered and there are only limited exceptions to these rules. In many cases, securities also have to be registered with the U.S. Securities and Exchange Commission (SEC). One of the purposes of registration is to disclose pertinent financial information to investors, which will help protect them from fraud.

Registration of Brokerage Firms & Their Employees

Any firm that sells registered securities to the public is required to register with the state securities regulator, the SEC or the Financial Industry Regulatory Authority (FINRA), depending on the business in which the firm is involved. An employee of the brokerage firm who offers or sells registered securities is also required to register with the state securities regulator and/or FINRA.

There are additional licenses that are required for people who sell annuities, insurance and other similar products, as well as registration requirements for those who offer investment advice for a fee. A general rule of thumb to follow is that if someone gave you investment recommendations and charged you a fee, there is a good chance that he or she should be registered and licensed.

What Happens When the Securities Were Not Registered?

If you discover that the securities you invested in were not registered and should have been or if the firm or investment professional did not complete the proper licensing or registration, you could have a registration violations claim. Generally, this type of claim arises when you lose money on an investment. If your case is successful, you may be able to recover your losses.

Need More Information?

Investment misconduct can be complex and confusing. That’s why we’re here to help you. Visit our Common Questions page to find in depth answers directly from our attorneys. Get More Answers
Have You Been a Victim of Investment Fraud?

You trusted your financial advisor with your money, but now you're left wondering what went wrong. If you or a loved one suffered losses because of investment misconduct, Meyer Wilson can step in and fight to recover your losses. The team of investment fraud lawyers at the firm has been helping people like you since 1999 by winning judgments, settlements and verdicts worth hundreds of millions of dollars against brokerage firms, financial advisors and banks.

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