Best Lawyers Near You in West Palm Beach, Florida for Securities Regulation

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Each attorney profile provides:

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This transparency helps you evaluate your options and choose someone with the right background for your specific legal issue. You’re accessing a curated list of professionals with proven reputations in their field.

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Legal Coverage Throughout Florida

No matter where you live or what kind of legal help you need, chances are we’ve got it covered. Best Lawyers recognizes attorneys in both high-demand and niche areas of practice across all corners of the state. This directory includes lawyers from large metro areas like Miami, Tampa, Orlando and Jacksonville, as well as smaller communities like Gainesville, Pensacola and Sarasota, ensuring you can find representation no matter where you're located.

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We also include lawyers practicing in emerging or specialized fields, such as cybersecurity law, cannabis regulation, aviation law and education law. With so many attorneys practicing across Florida, it can be difficult to know who truly stands out. That’s where Best Lawyers adds genuine value by showing you not just every practitioner who’s licensed, but qualified attorneys who have earned the respect of their peers through years of dedicated service and proven results.

A Peer-Review Process You Can Trust

Every attorney listed in our Florida page has earned recognition through Best Lawyers’ rigorous annual peer-review process. This is a comprehensive methodology grounded in the insights of the legal community itself.

Here’s how it works:

  1. Nomination: Lawyers are nominated by peers or clients who have observed their work firsthand.
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This process helps ensure the integrity of our listings. If you’re selecting an attorney from our directory, you’re choosing someone who didn’t just claim to be the best—they were recognized by other attorneys as among the best in their field.

Start Your Search for an Attorney in Florida by Practice Area or City

Whether you’re dealing with a landlord dispute, a complicated contract, or a life-changing injury, finding the right attorney can make all the difference. Best Lawyers makes that search faster, clearer and more trustworthy.

Explore our Florida pages to find top-rated attorneys by:

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Your legal matter deserves careful consideration—and the right advocate. With Best Lawyers, you’re not just searching. You’re starting from a foundation of credibility, clarity and peer-backed trust. Browse by practice area or location to get started today and feel confident knowing that every name you see here has been vetted by fellow attorneys who know what it takes to provide outstanding legal service in Florida.

Practice Area Overview

A securities regulation practice advises clients who are subject to federal securities laws - broker-dealers, investment advisers, banks, insurance companies, public companies, accounting firms, and institutional investors - on how to comply with those laws, as well as state securities laws, the rules of FINRA and the securities exchanges, and laws and rules related to ERISA, commodities, derivatives, insurance, and banking. Securities regulatory lawyers assist clients in registering new broker-dealers and investment advisers, and in launching investment funds. Public company clients need assistance in drafting periodic public disclosures, responding to SEC disclosure comments and preparing public and private offering documents and proxy statements. Broker-dealer and investment adviser clients request advice on designing and marketing new products and services and in implementing compliance programs.

Clients also need advice in investigations and enforcement actions concerning possible violations of the securities laws. These investigations may be conducted by the SEC, by state securities commissions or attorneys general, FINRA and other self-regulatory organizations (including, for accounting firms, the PCAOB), and federal or state criminal prosecutors. Securities regulatory lawyers may represent individuals or entities in these inquiries, and must often coordinate with other law firms in industry-wide investigations. Securities regulatory lawyers conduct internal investigations for companies or their boards of directors as well as regulatory entities, including individual, class, and derivative actions, and in arbitrations before FINRA, JAMS, AAA, and international arbitration forums.

Securities regulatory lawyers must understand the relevant legal and regulatory issues and the different products and services subject to securities regulation. These products and services include common and preferred stock; corporate, government, agency, municipal and convertible bonds; open-end and closed-end mutual funds; exchange-traded funds and notes; structured products; asset-backed securities; private funds; separately managed accounts; variable annuities; 529 plans; warrants; options; futures; swaps; commodity pools; bank collective trust funds; and insurance separate accounts. Securities regulatory lawyers also must understand the roles of floor-based and electronic exchanges, dark pool and other alternative trading systems, over-the-counter, "upstairs" and private placement markets, the clearance and settlement utilities, and the rules relating to all of these markets. Securities regulatory lawyers must understand how to conduct cross-border transactions consistent with the laws and regulations of the relevant jurisdictions. Finally, securities regulatory lawyers must stay current on legal, regulatory, and enforcement developments of the SEC, CFTC, FINRA, MSRB, PCAOB, the securities and futures exchanges, the states, and, post-Dodd-Frank, the Federal Reserve Board, FSOC, and other banking regulators.
Neal Sullivan, Partner Sidley Austin
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Our Methodology


Recognition by Best Lawyers is based entirely on peer review. Our methodology is designed to capture, as accurately as possible, the consensus opinion of leading lawyers about the professional abilities of their colleagues within the same geographical area and legal practice area.

The Process

Best Lawyers employs a sophisticated, conscientious, rational, and transparent survey process designed to elicit meaningful and substantive evaluations of the quality of legal services. Our belief has always been that the quality of a peer review survey is directly related to the quality of the voters.