How To Avoid Investment Fraud

Investor Losses Caused By Investment Fraud Are Not Your Fault 

One of the more common questions that investors ask us is whether there is anything they could have done to protect themselves from becoming the victim of investment fraud. But many times, financial advisor misconduct can be hard to identify let alone stop—unless you know what to look for.

Retail customers, retirees, and even sophisticated investors will usually hire financial professionals that they believe they can trust. Unfortunately, there are brokers and investment advisers who will willfully violate that good faith.

If you are the victim of investment fraud please know that this is NOT your fault.

Here are a few common signs that could be red flags warning that allegedly fraudulent actions may be at play:

  • The financial adviser guarantees you high returns while promising zero risk of loss.
  • You are being pressured to invest/buy NOW or risk losing out on this supposedly lucrative opportunity.
  • You find yourself subject to aggressive sales tactics and pressure.
  • You are contacted unsolicited by someone claiming to have an exciting new investment opportunity.
  • You are finding it difficult to receive clear information about your investment, you are not receiving account statements, or whenever you ask for more information your financial advisor gives vague or confusing responses.
  • Your financial adviser is an unregistered broker or investment adviser.
  • You were sold an unregistered investment.
  • The investment opportunity sounds too good to be true.

If any of this happens, please contact the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), or the state regulator.

If you have suffered substantial investment losses and a broker or investment adviser was involved, Shepherd Smith Edwards and Kantas ( will be happy to speak to you during a free, no-obligation case assessment.

Unfortunately, there are financial professionals out there who will purposely engage in securities fraud or, due to their ignorance, inexperience, or due diligence failures, they may inadvertently involve their client in a Ponzi scam or another type of scheme. You may be able to sue your broker-dealer or investment adviser.

How Can Our Skilled Investment Fraud Attorneys Help? 

If you suspect that your portfolio losses were caused by investment fraud and you worked with a registered broker or investment adviser, our trusted investor lawyers can help you determine whether you have grounds for a securities claim for damages. If we agree to work together, we will conduct a thorough investigation into your losses, prepare and submit your securities lawsuit against your broker-dealer or RIA, and fight for your financial recovery while protecting your legal rights.

With over 30 years of representing investors, including retail investors, retirees, older investors, wealthy investors, and institutional investors, Shepherd Smith Edwards and Kantas have helped many of our clients to recover awards and settlements through mediation, litigation, and arbitration. More than 90% of those we have represented have achieved full or partial recovery. We provide quality and experienced securities law representation along with personalized attention and care.

Call (800) 259-9010 today to speak with one of our knowledgeable investment loss recovery lawyers.











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