Chicago Overconcentration Attorneys

Our Chicago Overconcentration Attorneys Has More Than 100 Years of Collective Experience Representing Investors

Any time you invest, there is always some risk involved. However, that doesn’t mean you should up the chance of loss by excessively concentrating your portfolio with too many of the same investments. At Shepherd Smith Edwards and Kantas, our Chicago overconcentration lawyers represent Illinois investors against brokers and investment advisers.

Overconcentration Can Be Too Risky For Many Illinois Investors 

With excessive concentration, a significant amount of an investor’s funds—or perhaps even all of it—may have been placed in a single investment, market segment, or asset class. For certain sophisticated investors and institutional investors, this can be a deliberate investing strategy and choice.

Such investors understand and are willing to take on the risk of loss for the possibility of greater returns. Yet for most investors, especially retail investors, conservative retirees, and inexperienced investors, a failure to properly diversify mostly serves to increase the risk of loss, which can prove financially devastating.

The Financial Industry Regulatory Authority (FINRA) cites different types of investment concentration:

Intentional concentration: When overconcentration is a conscious, deliberate strategy.

Illiquid investment concentration: Many of the investors we represent have sustained losses in non-traded real estate investment trusts, private placements, and other kinds of illiquid investments that are hard to sell or get rid of.

Asset correlation concentration: It may appear as if your investments are better diversified because they are not the same investment or asset type. However, if these different kinds of investments have similar traits that can lead to the same kind of risk exposure, overconcentration may still be at play.

Asset performance concentration: When an investment does so well, it ends up taking up more of an investor’s portfolio than it did previously.

Concentration in company stock: When an employee invests too much of their retirement funds in their employer company’s stock.

Excessive concentration can be so risky because, when all of an investor’s eggs are in the same metaphorical basket, if something happens, such as the investment proves fraudulent, the market takes a dive, or some kind of global crisis hits, serious losses can decimate an investor’s portfolio.

Shepherd Smith Edwards and Kantas Chicago Overconcentration Attorneys (investorlawyers.com) represents Chicago investors and Illinois investors in pursuing their overconcentration losses that were caused, even if just in part by unsuitable recommendations, misrepresentations and omissions, due diligence failures, breach of contract, unauthorized trading, selling away, negligence, gross negligence, broker fraud, and a failure to supervise.

What Should You Do If You Suspect That Have An Illinois Excessive Concentration Claim?

Contact our Chicago Overconcentration Attorneys to request your free case assessment. Remember, however, not all portfolio losses are a result of broker misconduct or negligence.

With more than a combined a century’s worth of collective experience in securities law and the securities industry, we know how to assess whether what happened warrants grounds for pursuing damages from your financial adviser and/or their firm. This is not the kind of investment loss recovery claim you want to make without savvy Illinois securities lawyers by your side.

Before we came together to become one of the most well-respected and experienced securities firms in the US, many of us were former brokers. We left that industry because of a lot of the bad behaviors that we witnessed from other financial advisers that we knew were hurting rather than helping investors.

It is why we do what we do now, providing retail investors, retirees, accredited investors, institutional investors, and high-net-worth investors with top-notch quality securities representation and personalized attention. Read our reviews from past clients to find out about their experiences working with us.

If we decide to work together, our securities firm would conduct a thorough investigation into the cause of your losses, file your investment loss recovery claim in FINRA arbitration, and represent you in any negotiations and/or before the panel of FINRA arbitrators. More than 90% of our clients over the decades have received full or partial financial recovery through our dedicated efforts.

Contact our Chicago Overconcentration Attorneys

In Cook County, DeKalb County, DuPage County, Kane County, Kankakee County, Kendall County, Lake County, McHenry County, Will County, and the rest of Illinois, call (312) 462-4176 or (800) 259-9010. You can also reach us online.

141 W Jackson Blvd #3550A
Chicago, IL 60604