Kentucky FINRA Attorneys

Kentucky FINRA Attorneys From Our Lexington Securities Law Office, We Represent Investors Against US Brokerage Firms

If you are a Kentucky investor who has suffered serious portfolio losses that you suspect may have been due to the wrongful or negligent actions of your financial advisor, it is important that you speak with a skilled Kentucky FINRA Attorneys right away. At Shepherd Smith Edward and Kantas ( we can help you explore your legal options.

With our securities law firm conveniently located in Lexington, we work with investors throughout the state. We represent clients not just against Kentucky-based brokerage firms but also against broker-dealers all over the United States.

Why Might You Need The Help of a Savvy Kentucky FINRA Attorneys? 

Getting involved in a disagreement with the brokerage firm that you hired to manage your funds can prove challenging. One reason for this is that broker-dealers will seldom admit to wrongdoing or negligence. More often, you can expect them to deny that they did anything wrong or even try to place the blame elsewhere.

It also is not uncommon for brokerage firms to try to block your allegations by engaging in delay tactics should you try to bring up your concerns directly with them. This could end up hurting your investor loss claim in the long run, which is why you want to consult with our Lexington FINRA lawsuit attorneys first.

Shepherd Smith Edwards and Kantas can help you determine whether you have grounds for a claim against your broker-dealer. This conversation would happen during a free, no obligation case consultation.

Should we agree to work together, we can represent you in all matters involving your investment loss claim. This includes dealing with the financial firm and their opposing counsel, gathering the necessary evidence to prove you were the victim of broker conduct or negligence, filing your statement of claim, and representing you before the panel of FINRA arbitrators.

Why Would You Need To Go Through FINRA Arbitration Rather Than Court? 

In the US, investors that work with registered broker-dealers are generally required to sign a pre-dispute arbitration clause in which you consent to resolve any disputes through that type of forum instead of the court system. This usually means FINRA arbitration where a panel of up to three arbitrators will issue a ruling and decide whether to grant you an award for damages. Visit FINRA arbitration FAQs for more information.

Because the decision from a FINRA arbitration panel will likely be final with very little room, if any at all, for an appeal, it is important that you hire trusted Kentucky FINRA lawyers from the start. Making your investor fraud case before an arbitration panel is not the same as arguing your lawsuit before a judge and a jury. You want securities representation that not only has experience in this type of legal setting but also a record of successful outcomes for their clients.

What Distinguishes Our Dedicated Kentucky FINRA Attorneys

At Shepherd Smith Edwards and Kantas, our securities fraud practice is focused exclusively on representing investors. More than 90% of our clients have received full or financial recovery through arbitration, litigation, and mediation. Not only that, but we have been fighting against US brokerage firms for over 30 years.

When you hire us, you aren’t just retaining the services of one Lexington securities attorney. You will work with our entire team of skilled financial advisor negligence lawyers, legal assistants, fraud analysts, and others. We have over a century’s worth of combined experience in the securities industry and securities law.

We have represented thousands of investors, including retail investors, retirees, wealthy individuals, and even large municipalities and states, and collectively recovered many millions of dollars on their behalf. With us, you can trust that you will receive seasoned securities law representation along with customized personal attention. Read what some of our past clients have to say about working with us here.

How Can You Reach Our Lexington Kentucky FINRA Lawyers? 

In Fayette County, Jefferson County, Hardin County, Lincoln County, Kenton County, and throughout the state of Kentucky, call (859) 810-0266 or (800) 259-9010 the SSEK team of Kentucky FINRA Attorneys, today. You can also contact us online.

216 E Reynolds Rd #C
Lexington, KY 40517


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