Articles Posted in Securities Firm Arbitration

How Can A Skilled SEC Attorney Help You Pursue Damages From Your Broker-Dealer?

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

If you believe that you could be the victim of securities fraud, you may want to explore your legal options with a knowledgeable Securities and Exchange Commission (SEC) lawyer who can help you assess the cause of your losses and determine whether you have grounds for a lawsuit against your broker-dealer or investment adviser.

Lexington KY Securities Lawyers

Helping Kentucky Investors in Recovering Portfolio Losses Caused By Investment Adviser and Broker Fraud

In the Bluegrass State, Shepherd Smith Edwards and Kantas ( represent novice investors, sophisticated investors, retirees, older investors, high-net-worth investors, and institutional investors who have suffered losses due to financial advisor misconduct or negligence. We have been exclusively fighting for investors for over 30 years.

Shepherd Smith Edwards and Kantas Opens Securities Fraud Law Firm Branch in Lexington, KY

Representing Kentucky Investors Against Brokerage Firms Throughout the United States

Our seasoned securities litigation attorneys at Shepherd Smith Edwards and Kantas ( are pleased to announce that we now have a law office in Lexington. While we’ve represented investors throughout Kentucky for over 30 years, local clients can come to our new location conveniently located on E. Reynolds Road.

What Can You Expect When You Hire Our Seasoned Securities Litigation Lawyers?

With over 30 years representing investors, Shepherd Smith Edwards and Kantas ( offer unparalleled experience in securities litigation while providing personalized attention to each of our clients. We work with retail investors, retirees, accredited investors, wealthy investors, and institutional investors that have suffered significant investment losses due to broker negligence or misconduct in pursuing damages from their broker-dealers. Our SEC fraud attorneys have gone up against the largest brokerage firms on Wall Street to secure settlements and win arbitration awards for our clients.

When you retain our services, you gain the insight, skills, and experience of not just one attorney, but of an entire team of knowledgeable securities arbitration lawyers along with skilled staff, including paralegals, legal secretaries, consultants, and assistants. Many of us have previous experience working in other areas of the securities industry, including as account managers and brokers at large Wall Street firms. It is because of what we witnessed in terms of unsavory broker-dealer misconduct and negligence, and how these behaviors harmed investors, that we are now fighting on the side of clients like you. Not only that, but unlike many other securities fraud law firms for which representing investors is just one area of their business, this is our sole area of practice and we’ve been here doing this for a very long time.

Our Seasoned Securities Lawyers Continue to Fight For GWG L Bond Investors

Resignations of GWG Holdings CEO and CFO Are Latest Upset To Hit Beleaguered Alternative Asset Firm

GWG Holdings, Inc. CEO/President Murray T. Holland and CFO/Treasurer Timothy L. Evans recently resigned as the company’s executives. The two men stepped down in mid-November 2022 after an internal review found that other ex-board members’ worries about one investment were allegedly disregarded. Holland and Evans, however, remain on the alternative asset firm’s board.

Shepherd Smith Edwards and Kantas Continues To Represent Northstar Financial Services (Bermuda) Investors With Brokerage Firm Arbitration Claims

Our expert Northstar Financial Services (Bermuda) Brokerage Firm Arbitration attorneys at Shepherd Smith Edwards and Kantas are continuing to investigate claims by investors seeking to recover losses they sustained in this obscure, offshore entity. Many of these claimants are retail customers and retirees. All of them are foreign nationals from Asia, Latin America, South America, or Central America who sought a safe haven for their assets in the United States. Instead, their broker-dealers unsuitably recommended Northstar (Bermuda) products, which lack the kinds of protections that come with US-based investments.

Broker Negligence May Have Caused Investors From All Over The World To Be Unsuitably Recommended Northstar (Bermuda) Products 

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