Juan Monteverde Exemplifies Work of Securities Attorneys

If you’re invested in financial markets or are considering getting involved, it’s helpful to be acquainted with the field of securities law. This area of law is not readily understood by many members of the public, but attorneys in the field can be of incredible value in situations where corporations or financial institutions overstep the bounds of the law. To illustrate how important this work can be, we looked at the career of Juan Monteverde, a top attorney practicing in New York City. His career experience, coupled with an overview of his field as a whole, may be of use to anyone with an interest in financial investment.

Securities Overview

A security is an investment made in a business that can be in the form of stocks, bonds, or a variety of other financial tools. Much of securities law is what’s known as regulatory, meaning that it’s generally related to the regulating body of stock exchanges, the SEC. Other areas of the field are more concerned with litigation, where the focus is on matters pertaining to the issuance of a security or the actions of a company that is issuing a security.

This area of practice can be complex, as it can be regulated by both state and federal laws. Much of the federal system stems from the passage of the Securities Act in the 1930s. This law ensured that securities sold to the public were registered with the SEC and that there was full transparency regarding the information pertaining to their sale. This legislation helped establish the basic ideas of fairness that still govern the stock market and related financial systems to this day. It also helped establish the groundwork for how the legal system could work to correct wrongs committed by companies who violated these regulations.

Early Career

Attorneys play a key role in maintaining accountability for companies involved in securities misconduct. Monteverde’s career showcases the competency of attorneys that operate in this field to help protect shareholders. That career started with his formal education at California State University, Northridge, where he earned his B.S. in business and finance. After earning his degree, he decided to continue his education in the pursuit of a career in law.

To that end, the future securities attorney attended St. Thomas University’s School of Law, where he earned his J.D. Cum Laude. During that time, he was heavily involved in written work beyond the requirements of his courses, which led him to serve as a staff editor of the law review and as the president of the school newspaper, Plead the Fifth. During this time, to supplement his formal educational experience, he also worked as a summer associate at the firm of Diaz Reus LLP. In this capacity, he was exposed to a wide range of litigation related to high-profile commercial disputes and government investigations for clients based in the U.S. and around the world.

Professional Experience

After graduating from law school, the attorney worked at a number of firms to help him gain experience in different areas. One of these firms was Levi & Korsinsky LLP, a group heavily involved in the field of securities law. In the course of his work with the practice, he gained experience representing victims of securities fraud, consumer fraud, mutual fund abuse, and ERISA violations. He also worked to protect the rights of shareholders in scenarios where there was a change in control or a takeover.

Through his professional work and education, the attorney gained enough experience to form his own firm – Monteverde & Associates P.C. The firm works at the national level to take on class action lawsuits, with a focus on protecting investors from corporate misconduct. In this capacity, the attorney and his associates often represent clients who have incurred monetary losses due to corporate fraud.  The firm has taken on cases at all trial and appellate levels in the court system, including the U.S. Supreme Court.

Importance of Work

The importance of work conducted in the field of securities law cannot be understated. When there are acts of misconduct related to securities, shareholders stand to incur damages through no fault of their own. This is one of the very scenarios that the Securities Act was created to avoid. To fight back against these types of financial wrongdoings, attorneys in the field must not only be experienced and have a firm understanding of the law, but they must also have a strong moral compass that can help them determine when there has been a violation of shareholder rights.

It’s also valuable to note that the field of securities law is constantly changing as cases are tried, new legislation is passed, and new actions in the financial industry become commonplace. As such, a successful attorney in this area must stay up to date with many changes on a regular basis. Monteverde also proactively voices his opinions on changes in the field to help guide efforts in a positive direction. He accomplishes this through speaking engagements at legal conferences and writing articles in legal publications.

For anyone invested in financial markets, the field of securities law is very important to avoid incurring unnecessary damages. A firm understanding of the field and knowledge about the types of work conducted by attorneys in this area can save consumers and shareholders from a number of negative financial outcomes. The above information about Monteverde showcases one such attorney operating in the field today. Understanding the work that he conducts on a daily basis and seeing how that work can ripple into the field at large will leave you well placed to better understand how securities law can make a real impact in your own life.


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