Individual Cases

The Spencer Law Firm brings extensive experience in navigating the Texas Securities Act, along with regulations set forth by the SEC and FINRA. Over the years, our team has gained deep insight by both prosecuting and defending securities actions, as well as guiding clients through the complexities of selling exempt and non-exempt securities.

What sets us apart is not just knowledge of the statutes, but an understanding of how these cases unfold in practice. This dual perspective allows us to anticipate challenges, build stronger strategies, and position our clients for success — whether they are defending against allegations or pursuing claims of violations under the TSA and other securities regulations.

Individual Securities Cases in Texas

At The Spencer Law Firm, we provide strong legal representation in Texas securities disputes, investment fraud claims, and FINRA cases. Whether you are an investor seeking to recover losses or a financial professional facing allegations, our attorneys bring decades of combined experience under the Texas Securities Act (TSA), SEC regulations, and FINRA rules to protect your interests.

Common Individual Securities Cases We Handle

We represent both investors and professionals in a wide range of securities disputes, including:

Investment Fraud & Misrepresentation
When investors are misled about risks, returns, or financial disclosures.
Ponzi & Pyramid Schemes
Recovering damages from fraudulent investment operations.
Stockbroker & Advisor Misconduct
Unsuitable investment advice, excessive trading (churning), or breach of trust.
Unregistered or Exempt Securities Sales
Disputes involving exempt and non-exempt offerings under Texas and federal law.
Breach of Fiduciary Duty
Holding financial professionals accountable when they fail to put clients first.

Why Clients Trust The Spencer Law Firm

Securities disputes are complex — they require more than just knowing the law. Our attorneys:

Anticipate defenses before they are raised.
Leverage courtroom experience to strengthen claims.
Protect investors from fraudulent schemes.
Defend financial professionals from overreaching allegations.

With experience in both prosecution and defense, we see cases from every angle — giving our clients a clear advantage.

Frequently Asked Questions

Q1: What is considered securities fraud in Texas?
Securities fraud can include misrepresentation of risks, insider trading, unregistered securities sales, or deceptive investment schemes under the Texas Securities Act and federal law.

Q2: Can I sue my stockbroker or financial advisor?
Yes. If your advisor made unsuitable recommendations, engaged in excessive trading, or failed to disclose conflicts of interest, you may have a claim.

Q3: How long do I have to file a securities claim in Texas?
The statute of limitations varies, but many claims must be filed within 3 to 5 years depending on the nature of the fraud or violation. Consulting an attorney quickly is crucial.

Q4: Do you handle FINRA arbitration?
Yes. Many securities disputes are resolved through FINRA arbitration, and we have extensive experience representing both investors and professionals in this forum.

Protect Your Financial Future

If you’ve been harmed by securities fraud, broker misconduct, or misleading investments, or if you are a financial professional facing allegations, The Spencer Law Firm is ready to protect your rights.

Call us today at (713) 961-7770 or schedule a consultation to discuss your case.