Articles Posted in FINRA Attorneys

How Our Skilled UBS Structured Product Loss Attorneys Can Help Investors 

Brokerage Firm Negligence?: UBS Financial May Have Unsuitably Recommended Complex Risky Investments 

Over the years, Shepherd Smith Edwards and Kantas (investorlawyers.com) have represented clients against UBS Financial in pursuing damages caused by broker fraud and negligence. This has included the brokerage firm allegedly unsuitably recommending investments that are too high-risk for customers or misrepresenting said risks and other key information about certain financial products and investing strategies.

What To Know When Filing a FINRA Complaint Against Your Broker

The Difference Between A FINRA Lawsuit and a FINRA Complaint  

If you suspect that your financial advisor engaged in broker misconduct or negligence, then you may be considering filing a complaint with the Financial Industry Regulatory Authority Organization (FINRA). This non-profit organization, which regulates the US securities industry, investigates complaints brought against brokerage firms and their employees and, when warranted, issues disciplinary sanctions against them.

Why Investors With Colorado Bankers Life Insurance Annuity Losses Should Contact Our Experienced Securities Lawyers 

Shepherd Smith Edwards and Kantas Has Already Filed Dozens of Annuity Loss Lawsuits Related to Greg Lindberg-Owned Entities

If you are an investor who purchased annuities issued by Colorado Bankers Life Insurance Company or Bankers Life Insurance Company, you may be wondering how to recover your money, especially in light of a court’s order in late 2022 that placed both entities into liquidation. Both insurers are Global Growth entities and are owned by beleaguered insurance magnate Greg Lindberg.

California FINRA Attorneys

With Securities Law Offices 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 (investorlawyers.com) our skilled California FINRA Attorneys are here to fight for investors like you.

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