California FINRA Attorneys

California FINRA Attorneys

With Our Securities Law Office in San Diego, Shepherd Smith Edwards and Kantas Represents California Investors Who Have Been The Victims of Broker Fraud or Negligence

If you have suffered investor losses caused by the wrongful or negligent actions of your brokerage firm and/or their registered representative, you may want to file a Financial Industry Regulatory Authority (FINRA) arbitration lawsuit for damages. At Shepherd Smith Edwards and Kantas ( our skilled California FINRA Attorneys are here to fight for investors like you.

With over a century’s worth of combined experience in securities law and the securities industry, our seasoned team of attorneys, legal staff, and consultants represent retail investors, retirees, high-net-worth investors, accredited investors, and institutional investors against their brokerage firms in arbitration, mediation, and litigation. When you work with us, you are retaining the legal services of not just one of our securities lawyers but our entire team.

Our knowledge and savvy regarding how to bring your claim through FINRA arbitration comes with decades of having gone up against not just the largest brokerage firms in California but also throughout the entire United States including Wall Street. Our efforts have resulted in full or partial financial recovery for over 90% of our clients related to financial product failures, brokerage firm negligence, stockbroker misconduct, and much more. This has included, when warranted, arbitration awards and settlements in the millions of dollars for a number of them.

FINRA Arbitration And Why You Need Knowledgeable California FINRA Attorneys By Your Side

When you hired a registered broker to handle your investments, you also signed an agreement that binds you and the broker-dealer to resolving any disputes in FINRA arbitration. This is the forum where your investor loss claim, through which you are suing for damages, can be brought. Visit FINRA Arbitration FAQs to learn more.

Although this venue is considered less complex than going to court, this is not the type of legal claim that you want to pursue without an experienced California FINRA arbitration law firm representing you. Keep in mind that your broker-dealer will likely have their own attorneys defending them. Not only that, but also identifying how you were the victim of broker fraud or negligence can be challenging unless you know what to look for. It can be even more difficult to prove.

Shepherd Smith Edwards and Kantas is here to help. In addition to determining whether you have grounds for a FINRA lawsuit, we can help you explore your legal options. Should we agree to work together, we will prepare your investor loss claim, conduct any necessary due diligence, and file your arbitration case for you. We will then represent you before the panel of arbitrators while protecting your best interests and legal rights.

Because a number of us used to work in the brokerage industry, we are familiar with the ways in which a brokerage firm or its financial advisors might seek to profit at great financial peril to their customers. This “insider” knowledge serves us well when fighting for our clients. Unsuitability, failure to supervise, overconcentration, broker negligence, churning, misrepresentations and omissions, and outright misappropriation and fraud are just some of the reasons we end up suing broker-dealers for investors. Hiring astute FINRA arbitration attorneys will maximize your chances for a full recovery.

Where Will Your California FINRA Arbitration Hearing Take Place?

Our FINRA lawyers represent US investors, as well as foreign nationals, in their broker fraud disputes against US-based brokerage firms. Although there are FINRA offices all over the US, typically your hearing will take place in one closest to your place of residence. (This means if you are a resident of Tijuana, Mexico, your hearing will likely take place in San Diego.) The proceeding might also be scheduled in the FINRA office where your brokerage account is located.

What Should You Do If You Suspect You Have Been The Victim of Securities Fraud?

  • DO NOT try to resolve this directly with your broker-dealer. This could ultimately prove detrimental to you and your investor loss claim.
  • Begin gathering key documentation that you believe may be relevant to your securities fraud case, including a timeline of events and key conversations you had with your financial advisor.
  • Contact Shepherd Smith Edwards and Kantas to request your free, no-obligation case consultation.

You Can Reach Our California FINRA Attorneys at (619) 550-4847

Shepherd Smith Edwards and Kantas 

1545 Hotel Cir S #150-1
San Diego, CA 92108

You can also call us at (800)-259-9010 

International via WhatsApp: (936)-251-0033 (text only)




Contact Information