Kentucky Financial Advisor Fraud Law Firm

Kentucky Financial Advisor Fraud Law Firm

From Our Lexington, Kentucky Financial Advisor Fraud Law Firm We Provide Zealous Advocacy and Solid Representation to Investors 

Whether you are a retail investor, a retiree, a high-net-worth individual investor, or an institutional investor, if you are someone who suspects you have been the victim of financial advisor fraud Shepherd Smith Edwards and Kantas ( would like to talk to you. Our Lexington financial advisor misconduct attorneys represent Kentucky investors against the broker-dealers, investment advisers, and their registered representatives that caused your investment losses.

If you live in the Bluegrass State, please contact us today to schedule your free, no-obligation case consultation. We want to discuss your portfolio losses that may have been a result of: 

  • Unsuitability is what happens when your broker makes an investment recommendation that is inappropriate given your age, risk tolerance level, financial goals, or other key information about you.
  • Concentration of too much of your money on one particular financial product or kind of investment.
  • Breach of contract.
  • Breach of any fiduciary duty that your financial advisor owes you.
  • Broker or investment adviser fraud.
  • Failure by a financial firm to properly supervise your account and their registered representative.
  • Excessive use of margin at the recommendation of your financial advisor.
  • Unauthorized trading without your getting permission.
  • Excessive trading, which is also known as churning.
  • Selling away could have involved selling you financial products or other investments that were never approved or vetted by the broker-dealer.
  • Making misrepresentations and omissions by not accurately portraying an investment, failing to make sure you fully understood a particular financial product, or neglecting to properly apprise you of the risks.
  • Financial advisor theft.
  • Elder financial abuse or senior investor fraud.
  • Negligence.
  • Much more.

Proving that you were the victim of financial advisor fraud is not easy, which is why this is not something you should do without a capable Kentucky securities law firm by your side. Shepherd Smith Edwards and Kantas have been exclusively fighting for investors who have investment loss recovery claims against brokerage firms and investment advisers for over 30 years. We are dedicated to helping make our clients financially whole again. With over a combined century’s worth of experience in securities fraud and securities law, should we decide to work together we have the skills and knowledge to represent you.

What Should You Know About Filing a Lexington, Kentucky Financial Advisor Fraud Law Firm?

If it was a broker that caused your investment losses then you will likely have to sue them in Financial Industry Regulatory Authority arbitration. Different from the court system, specific strategies are required to maximize your chances of winning the damages you are owed in this legal venue.

Our savvy Kentucky financial advisor fraud attorneys have represented clients in more than 1000 matters in arbitration, mediation, and federal and state courts. Over the last three decades, we have helped thousands to collectively recover many millions of dollars.

Many investors wonder, “Why not just talk to my financial advisor directly? Surely, they have my best interests at heart and will make sure I get my money back.” Quite frankly, that approach hardly ever works. Most brokerage firms and investment advisers would rather stonewall your efforts than admit to liability and open themselves up to further litigation once investment loss recovery is involved.

Because we are recognized in Kentucky and nationally for the seasoned securities law representation that we provide our clients, when the other side’s legal team finds out they have to deal with us, they know to take the investor’s claim seriously.

How To Contact Our Trusted Lexington, Kentucky Financial Advisor Fraud Law Firm?

In Fayette County, Jefferson County, Kenton County, Boone County, Warren County, and the rest of the state, call (859) 810-0266 or (800) 259-9010. Allow us to help you explore your legal options.

Kentucky Financial Advisor Fraud Law Firm Office:

3216 E Reynolds Rd #C
Lexington, KY 40517

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