Sea Girt Attorney

Securities Arbitration LawyerSea Girt, NJ

Anthony J. Cafaro, P.C. is a securities arbitration lawyer working with clients throughout New Jersey. Mr. Cafaro understands that investment transactions are complicated and governed by both state and federal laws. As an experienced Sea Girt attorney, he can review investment transactions before they are executed and review transactions after the fact in order to protect his client’s rights. If you live in the 08750 area and want to receive legal advice pertaining to a securities transaction, call (732) 449-0449.


The Securities and Exchange Act of 1933 set forth a variety of rules and regulations for governing investment transactions. At the federal level, the Securities and Exchange Commission (SEC) is tasked with enforcing these regulations and making adjustments to them as required by Congress. At the state level, there are a different set of regulations that can be passed by state the state legislature. As a Securities Arbitration Lawyer, Mr. Cafaro is familiar with both state and federal regulations and can help to resolve any disputes you may be having.

The first step is to schedule a consultation by calling (732) 449-0449. Mr. Cafaro will review your investment and any documents that you have relating to it. Next, he will determine if your investment is primarily governed by state laws (as with intrastate crowd funding) or if it is governed by SEC regulations. This is an important component of determining whether or not you have a case. If you do, how to proceed in filing suit.

In many instances, it is best to arbitrate instead of going to court. Arbitration provides you with the opportunity to make your case as you would when going to trial, but a judge will make the final ruling, and it is typically binding. This means that if you don’t like the verdict you are unable to appeal. The benefits of working with a securities arbitration lawyer is that arbitration is less expensive and can be settled faster than by going to court. In some instances, it may be possible to enter into non-binding arbitration as well but this is often decided by existing contracts.

As an estate law firm and wills attorney, Mr. Cafaro can also assist heirs in resolving securities disputes that are related to an existing estate. It is common for heirs to inherit an investment portfolio that isn’t cut and dry. When private investments have taken places, such as investing in a Reg D offering, these securities are sold as part of a private offering and will often have restrictions regarding the transfer of shares or units. In this scenario, a securities arbitration lawyer can assist in ensuring that the shares can be transferred and disposed of properly. This applies to both working with heirs and working with initial investors that want to dispose of or transfer the shares they have acquired in a private offering.

As a real-estate law firm Anthony J. Cafaro, P.C. can also review investment transactions that are part of a REIT or other type of real estate investment. REITS are publically traded, and any securities that are purchased are regulated by the SEC. Private real estate investments are typically completed as a Reg D private offering. These transactions can be regulated by both state and federal laws depending on how they are structured. As a municipal court law firm, Mr. Cafaro can review the transaction documents and any contracts that are associated with it then make a recommendation as to whether you should mediate (non-binding negotiations), arbitrate or resolve the issue in court.

When weighing your options, it is important to consider how much time and money you want to spend. For example, arbitration can be completed fairly quickly when working with a securities arbitration lawyer where going to court can be delayed due to the existing court schedule. If you live in or around Sea Girt, NJ, schedule an appointment with Mr. Cafaro and bring any documents you have with you. Ask questions and discuss the pros and cons of all of your options before determining how you want to resolve your disagreements.

If you are in need of a family lawyer, Mr. Cafaro can assist with that as well. As a divorce attorney, he is an expert at child custody law as a child support law firm. Mr. Cafaro is also a domestic violence lawyer and can assist with driving under the influence charges as a DUI Law Firm.

Dedicated Securities Lawyer Protecting Your Investments in Monmouth County for Over 12 Years

It has never been more important than now to protect your investments and plan for your future. At Anthony J. Cafaro, P.C., we are committed to giving you honest and personalized advice regarding your investment and retirement accounts. For over 12 years, attorney Anthony J. Cafaro has helped New Jersey residents identify and resolve claims based on broker misconduct and other breaches, as well as provided effective representation in civil securities litigation and arbitrations.

Overview of Securities Claims

If you are unsure if you have a claim or simply want to protect your investments, Anthony J. Cafaro, P.C. can give you the personalized advice and assistance you need. Please see below for more detailed information about the cases we handle.

Broker Misconduct & Civil Litigation: Brokers have certain obligations to their clients, such as adequately explaining investment decisions, disclosing risks, and accurately representing investments. Whether you are an investor or a broker dealing with one of these issues, Anthony J. Cafaro, P.C. can effectively represent your interests.

Unsuitability and Other Breaches: There are many ways that a broker can violate his or her duties to investors like you. One way this can happen is if a broker recommends that you buy securities inconsistent with your investment goals or the amount of risk you are willing to tolerate. If this has happened to you, you may be able to bring what’s called an unsuitability claim. Other ways a broker can violate his or her duties is by misrepresenting or failing to disclose material information, excessively trading in your account to generate commissions, or conducting trades that you did not authorize.

FINRA Arbitration: The Financial Industry Regulatory Authority (FINRA) provides dispute resolution to the securities industry to resolve disputes involving investors, brokerage firms, and brokers. Arbitration offers you the chance to resolve your dispute outside the courtroom. It is important to understand the differences between arbitration and litigation. Since a final and binding decision may be issued in arbitration, it is essential to consult a competent attorney who can effectively protect your rights.

Contact a Reliable Monmouth County Securities Lawyer Today To Make Sure You & Your Investments Are Protected

At Anthony J. Cafaro, P.C., we provide you with the competent and reliable representation so you can have the peace of mind you need. If you have questions regarding a securities matter or want to know whether your investments are secure, contact Anthony J. Cafaro, P.C. today for a free consultation.

Contact Us

Anthony J. Cafaro, P.C. is located at
1330 Laurel Avenue #202
Sea Girt, NJ

(732) 449-0449