Broker Misconduct Attorney

Did Your Financial Advisor Know Exactly What They Were Selling You?

Our Broker Misconduct Attorney Team Can Help You Assess Whether You Have Grounds For a Legal Claim

If you are an investor who has had the unexpected surprise of sustaining significant losses in an investment that proved to be fraudulent, you may have invested too much in, or was unsuitable for you given your risk tolerance level, you may be wondering how to recoup your losses. Do you go after the issuer of the investment? Does your broker have any liability in this matter?

At Shepherd Smith Edwards and Kantas, our Broker Misconduct Attorney team represents investors in pursuing the damages they are owed from the broker-dealers whose misconduct, negligence, or fraudulent behaviors led to or contributed to your portfolio losses. But first, we will need to get on a call together for a free, no-obligation case consultation to help you determine who or what caused the losses.

Your broker likely knew what financial product or security they were selling you. However, some of what will need to be determined: 

• Did this financial advisor conduct the proper due diligence to make sure this was a safe and appropriate investment for you or anyone else?
• Did they make an unsuitable investment recommendation?
• Did they apprise you of the risks you were taking?
• Did your stockbroker make sure you understood said risks?
• Did they properly monitor your account and the various assets in it?
• What type of investment was the cause of your losses?
• Did your financial advisor overconcentrate your account with a particular security or financial product and fail to properly diversify your portfolio?
• Were they deliberately running an investment scam and seeking to defraud customers?
• Did the broker-dealer of record properly supervise your account?

Remember, that not all investment losses warrant legal grounds for a broker fraud claim. However, there are many instances when an investor’s losses could and/or should have been prevented if only their financial advisor fulfilled their fiduciary duties to them. If you were the victim of broker misconduct or negligence, and we decide to work together, know that we have the knowledge, resources, and skills to represent clients in even the most complex kinds of investment loss recovery claims.

At Shepherd Smith Edwards and Kantas, we have dedicated our entire law practice to fighting for investors like you against US-based broker-dealers and investment advisers.

Call (800) 259-9010 today or contact us online.