Broker Misconduct Law Firm

Are You A Sophisticated Investor Who Suspects Your Portfolio Losses Were Due To Broker Fraud?

Our Broker Misconduct Law Firm Can Help You Explore Your Legal Options

The Broker Misconduct Law Firm, Shepherd Smith Edwards and Kantas ( represent all kinds of investors who have suffered investment losses caused by the wrongful, careless, or negligent actions of their brokers. This includes accredited investors, sophisticated investors, high-net-worth individual investors, and institutional investors.

Just because someone is an experienced investor does not make them invulnerable to becoming a victim of investment fraud. Also, just because you are an accredited investor or wealthy investor does not mean you are a sophisticated investor.

Some of the Differences Between Accredited Investors, High-Net-Worth Investors, and Sophisticated Investors

An accredited investor is someone who meets certain thresholds either in net worth (at least $1M) or income ($200K/year over the last two years or $300K if joint income with a spouse). Meeting such criteria qualifies them to get involved in certain kinds of riskier investments that retail investors may not be allowed to buy into. However, just because an investor fulfills the requirements of being an accredited investor does not mean they are an experienced investor. Also, just because someone is an accredited investor does not mean every investment that has this prerequisite is suitable for them.

Meanwhile, a sophisticated investor is someone that has both a high net worth and a certain level of experience in investing and the markets. Their investing experience, net worth, and high-risk tolerance level allow them access to certain investment opportunities that are deemed unsuitable or too risky for less experienced investors.

However, not all high-net-worth individual investors are sophisticated investors. Someone who is an HNWI may even be a novice investor.

Unfortunately, there are brokers who will unsuitably recommend investments to retail investors and conservative retirees that should only be marketed and sold to accredited investors. There are also financial advisors who may seek to involve high-net-worth investors that are sophisticated investors in risky investing strategies or in financial products that are best suited for more experienced investors.

Yet, as our seasoned broker misconduct lawyers have already noted, even sophisticated investors can fall victim to securities fraud or negligence. There are even brokerage firms that will try to shift the blame for serious portfolio losses onto unsophisticated investors by claiming that these clients knew what they are getting into and agreed to, for example, having their accounts overconcentrated with too many high-risk financial products.

Why Experienced Investors Are Represented by Our Seasoned Broker Misconduct Law Firm

For over 30 years, Shepherd Smith Edwards, and Kantas have been fighting for investors like you against broker-dealers all over the United States, including the largest Wall Street financial firms. We have the skills, knowledge, and resources to delve into even the most complex kinds of securities cases to determine who and/or what caused your portfolio losses. We know how to combat efforts by broker-dealers and their lawyers to escape liability for their wrongful and negligent actions.

We are one of the largest investment loss recovery firms in the United States. Know that when you retain our services you are hiring our entire team of highly adept broker misconduct lawyers, legal assistants, and consultants to fight for you.

We founded our securities law firm to exclusively represent investors against broker-dealers and investment advisers. We understand that serious investment losses can have dire consequences even when someone has a high net worth and/or is a sophisticated investor.

How Can You Reach Our Trusted Securities Fraud Law Firm?

The Broker Misconduct Law Firm Shepherd Smith Edwards and Kantas have helped thousands of investors to recoup many millions of dollars in damages through arbitration, mediation, and litigation.

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




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