Representing Investors Whose Financial Advisors Prioritized Their Brokerage Firm’s Financial Interests When Making Investment Recommendations

Shepherd Smith Edwards and Kantas features dedicated Regulation Best Interest Investor Lawyers who represent clients when financial advisors prioritize firm profits over investor interests. Operating out of their Buffalo office, these New York attorneys help victims of SEC rule violations pursue financial recovery through FINRA arbitration claims.

At Shepherd Smith Edwards and Kantas (investorlawyers.com), we represent New York investors who suffered serious losses after their financial advisor violated Securities and Exchange Commission (SEC) Regulation Best Interest (Reg BI). This rule, which has been in effect since the end of June 2020, prohibits brokers from placing their own financial interests over the interests of their customers when working with them.