Denver FINRA Attorneys

Representing Colorado Investors In Their Securities Fraud Lawsuits Against Brokerage Firms

With our securities law office conveniently located in Denver’s North Capitol Hill close to the Central Business District, Shepherd Smith Edwards and Kantas ( represent investors throughout the region in their FINRA arbitration claims against the brokerage firms and financial advisors responsible for their investment losses. Contact us today to request your free, initial no obligation case assessment.

Entrusting a broker-dealer to save and grow your portfolio is a big decision, and it can be devastating to know that the financial fiduciaries you placed your faith in engaged in negligent or wrongful actions that caused you to lose money. It is why our skilled Denver FINRA lawyers are here to help.

For over 30 years, we have helped Colorado retirees, retail investors, older investors, high-net-worth individual investors, and institutional investors in pursuing and securing damages for their investment losses caused by broker misconduct or negligence. More than 90% of the clients that have worked with us have achieved full or financial recovery.

Why Should You Work With Seasoned Denver FINRA Attorneys?

These days, when an investor decides to work with a financial advisor they are usually required by the broker-dealer to sign a pre-dispute arbitration clause in which they agree to refrain from suing the firm in civil court. Instead, they must resolve any dispute through the Financial Industry Regulatory Authority (FINRA)’s arbitration forum.

Although less costly and not as time-consuming as going to court, make no mistake these are serious proceedings and one in which the outcome of your FINRA lawsuit, whether in your favor or not, is likely final with very limited options to appeal. This is just one of the reasons why you want a savvy FINRA arbitration law firm fighting for you.

Not only are there specific strategies and approaches needed to maximize your chances for a full financial recovery, but also you want to work with a securities law firm that knows how the FINRA arbitration forum works and has secured successful outcomes, including substantial awards for investors, in the past. Over the years, our Denver, CO FINRA law firm has recovered many millions of dollars for thousands of investors through arbitration, mediation, and litigation. We even have a second securities law office in Ridgway, Western Colorado to better serve all of our clients in this state.

A Few Key Facts To Know When Considering FINRA Arbitration

  • Filing a FINRA lawsuit is not the same as submitting an investor complaint to FINRA. The latter will allow you to make the self-regulatory organization aware of potentially fraudulent activities by your broker-dealer or broker. However, it is by submitting your statement of claim, in which you detail the specifics of your investor losses and request that your case be heard by a panel of arbitrators, that you can sue your broker-dealer for damages.
  • Keep in mind that your brokerage firm will have its own team of lawyers representing them. This is yet another reason why having your own dedicated FINRA attorneys fighting for you and protecting your legal rights is essential.
  • As we mentioned earlier, the ruling by the FINRA arbitration panel will likely conclude your investor loss case. You cannot afford to prepare your own statement of claim or attempt to prove liability on your own (or with inexperienced legal representation that has not done this before).

Visit FINRA Arbitration FAQs to find out more.

What Distinguishes Our Trusted Denver FINRA Attorneys?

Unlike many local securities fraud firms consisting of just one attorney and an assistant, when you work with Shepherd Smith Edwards and Kantas, you are retaining our entire team of knowledgeable securities lawyers, investor fraud experts, paralegals, and consultants. We have over a century’s worth of combined experience in the securities industry and securities law. This includes representing investors that have suffered losses due to financial product failures, broker negligence, investment fraud, and much more against broker-dealers throughout the United States.

Because some of us used to be former brokers—this is one of the primary reasons we left that side of the industry to establish a securities law firm dedicated to advocating for investors—we are aware of the unsavory behaviors and unethical conduct that can be perpetuated by bad or negligent brokers. This insider knowledge is one of the many tools available to us when we help clients pursue damages.

Call our Denver FINRA Attorneys at (720) 439-2827 or you can reach us toll-free at (800) 259-9010 today.

1700 Lincoln St #2710
Denver, CO 80203

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