FINRA

Oregon FINRA Attorneys

Published on: February 28, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Represent Investors in Recouping Their Broker Fraud Losses

Suffering serious investment losses is never easy, especially when this could have been avoided were it not for the negligent or wrongful actions of your financial advisor. At Shepherd Smith Edwards and Kantas (investorlawyers.com) we represent Oregon investors against brokerage firms all over the United States in pursuing damages for the financial harm they have suffered because of broker misconduct.

To schedule your free, no-obligation case assessment, contact our Portland investment fraud and securities law firm at (971) 285-3075.

Houston FINRA Attorneys

Published on: February 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Headquartered in Houston, Shepherd Smith Edwards and Kantas Represents Texas Investors and Others in Suing Brokerage Firms

Since 1990, our Houston FINRA lawyers have represented investors throughout Texas who have suffered investment losses caused by financial advisor misconduct, fraud, or negligence. Led by Shepherd Smith Edwards and Kantas Senior Partners and securities attorneys Sam Edwards and Kirk Smith, our knowledgeable team of lawyers, paralegals, and legal assistants is focused exclusively on helping retail investors, high-net-worth investors, retirees, and institutional investors in recouping the damages they are owed by their broker-dealers.

For most investors, this means filing a securities fraud lawsuit against their brokerage firm and possibly even their stockbroker, in Financial Industry Regulatory Authority (FINRA) arbitration.

Broker Fraud Lawsuit

Published on: February 2, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Can You Sue Your Broker Over Your Investor Losses?

Filing A FINRA Lawsuit With the Help of Skilled Broker Fraud Lawsuit Attorneys

If you suffered investment losses that you believe were caused by the wrongful or negligent actions of your financial advisor, you may be able to pursue damages from them through Financial Industry Regulatory Authority (FINRA) arbitration. In this forum, you can submit your securities fraud lawsuit which will be heard by a panel of FINRA arbitrators.

Dallas FINRA Attorneys

Published on: February 2, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edward and Kantas Has Been Fighting For Texas Investors For Over 30 Years

Since 1990, our Dallas FINRA lawyers have been representing investors pursuing damages caused by broker fraud or negligence. With our unparalleled experience in securities litigation, Shepherd Smith Edwards and Kantas (investorlawyers.com) has helped thousands of Texas investors, as well as investors throughout the United States, in obtaining financial recovery from their brokerage firms through arbitration, mediation, and litigation.

For many of our clients, this has meant filing a FINRA lawsuit against their broker-dealer, and possibly, their financial advisor. Financial Industry Regulatory Authority (FINRA) arbitration is the forum where your legal case will likely be heard. The reason why you are limited from going to court is you more than likely signed a pre-arbitration clause in your contract with the brokerage firm in which you agreed to arbitrate any dispute you had with them.

Colorado Annuity Loss Lawyers

Published on: February 1, 2023 | by Shepherd Smith Edwards & Kantas, LLP

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

Shepherd Smith Edwards and Kantas Colorado Annuity Loss Lawyers 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.

Structured Product Loss Attorneys

Published on: January 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

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.

FINRA Complaint Lawyers

Published on: January 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

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.

California FINRA Attorneys

Published on: January 18, 2023 | by Shepherd Smith Edwards & Kantas, LLP

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

Why You Want To Work With Our Skilled FINRA Attorneys

Published on: December 30, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Recoup Your GPB Investor Losses in Securities Arbitration

If you are an investor who suffered losses in GPB Capital Holdings, you may be able to sue your broker-dealer for unsuitably recommending these private placements that allegedly were part of a more than $1.7B Ponzi scam. Unfortunately, over 17,000 investors, including many retail customers and older retirees, were purportedly persuaded by their broker-dealers that investing in one of the GPB Funds was a solid investment opportunity. Instead, they have suffered significant investment losses. Meanwhile, GPB Capital’s key executives are facing regulatory and criminal charges along with lawsuits brought by investors.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing GPB Capital investors in the Financial Industry Regulatory Authority (FINRA) arbitration against the broker-dealers that sold private placements in one or more of the GPB Funds to customers. Some of these brokerage firms have even been subject to related regulatory sanctions.

What Can Investors Expect During the FINRA Arbitration Process

Published on: December 30, 2022 | by Shepherd Smith Edwards & Kantas, LLP

The FINRA Arbitration Process

You’ve spoken with an experienced FINRA arbitration law firm that has determined your investor losses are due in part because of broker misconduct or negligence. You’ve decided to retain the services of skilled securities arbitration lawyers to help you sue your broker-dealer and maybe even their financial advisor for damages.

Like many investors, you may not be familiar with the FINRA arbitration process and want to know more about it and what to expect.