Dallas Overconcentration Law Firm

Dallas Overconcentration Law Firm. What Should You Do If Your Broker Failed To Diversify Your Portfolio?

From our Dallas securities law offices, Shepherd Smith Edwards and Kantas Dallas Overconcentration Law Firm (investorlawyers.com) is proud to represent Texas clients who have fallen victim to overconcentration losses in their brokerage account. This is not the kind of investment recovery claim you want to make without experienced legal representation advocating for you.

Our Dallas Overconcentration Law Firm has been working with investors throughout the Lone Star State for more than 30 years. Many of us are former brokers who left that industry after we recognized the many unsavory practices and behaviors that were causing unnecessary losses for retail investors, retirees, accredited investors, high-net-worth investors, ultra-high-net-worth investors, and institutional investors. We now use our insider knowledge as ex-financial advisors to protect our clients and try to make them financially whole again.

Why Is Proper Diversification Necessary To Avoid Overconcentration? 

Excessive concentration is what happens when an investor’s portfolio has too much of one investment, asset class, or investments within the same industry beyond what is considered prudent. A failure to diversify a brokerage account with the right mix of investments can expose the customer to serious losses, especially if there is no buffer of other unaffected investments to protect the client’s assets.

Our Dallas, TX overconcentration attorneys know how to identify when a failure to diversify has contributed to causing your portfolio losses.

 A few examples of excessive concentration in a brokerage account, according to the Financial Industry Regulatory Authority (FINRA): 

 Intentional concentration: The investor has made the choice to heavily invest in one kind of asset type while understanding the risk. Overconcentration in this instance is a deliberate investing strategy, and it can be a suitable choice when employed by an institutional investor or a sophisticated, wealthy investor.

Asset performance concentration: An investment does so well that it begins to take up a larger portion of the investor’s portfolio to the point that overconcentration happens.

Correlated asset concentration: An investor may have different kinds of investments in their portfolio, but they are all in the same industry or sector. This means if that sector or industry takes a hit, all of these investments could drop in value, resulting in significant losses.

Illiquid investment concentration: Too many of the investments in the customer’s account are illiquid, risky investments that cannot easily be resold. It should also be noted that illiquid investments are unsuitable for most retail investors and unsophisticated investors.

How Can Our Dallas Overconcentration Law Firm Help?

Your first step is to contact Shepherd Smith Edwards and Kantas today to request your free, no-obligation case assessment. Overconcentration can sometimes be hard to detect unless you know what to look for. With our collective over a century’s worth of experience in securities law and the securities industry, our Texas excessive concentration law firm knows how to assess whether your portfolio losses warrant grounds for suing your brokerage firm.

Should we decide to work together, you will benefit from our team approach. Unlike many securities law firms, we are not a one-person shop. We have excessive concentration attorneys, a lot of support staff, and expert consultants who will work on your case. We are available to each of our clients, and you will not get lost in the shuffle.

Our Dallas securities firm makes it a point to get to know each client and the nuances of their case. Our personalized approach, along with our vast experience in handling even the most complex securities claims, allows us to maximize an investor’s chances for a full recovery.

Over the decades, we have represented clients in over 1000 matters in arbitration, mediation, and litigation. We are committed to helping investors in getting back their losses caused by broker misconduct or negligence. More than 90% of our clients have secured full or partial financial recovery. That equates to thousands of investors collectively getting back millions of dollars in awards or settlements.

Contact Our Dallas Overconcentration Law Firm Today:

Call (214) 613-5306 or (800) 259-9010

Our Dallas Overconcentration Law Firm:

Founders Square
900 Jackson St #440-A
Dallas, TX 75202