Lexington KY Securities Lawyers

Lexington KY Securities Lawyers

Helping Kentucky Investors in Recovering Portfolio Losses Caused By Investment Adviser and Broker Fraud

In the Bluegrass State, Shepherd Smith Edwards and Kantas (investorlawyers.com) represent novice investors, sophisticated investors, retirees, older investors, high-net-worth investors, and institutional investors who have suffered losses due to financial advisor misconduct or negligence. We have been exclusively fighting for investors for over 30 years.

How Do You Know If You Were The Victim of Securities Fraud?

Any time you invest you are always taking on some risk, and investment losses and gains are a normal part of the process. However, there are certain portfolio losses that could have been avoided were it not for the careless or reckless actions of your broker or investment adviser. When this happens, you may be able to sue for financial recovery. If you live in or have a brokerage account in the Lexington-Fayette metro area or anywhere in the state, our Kentucky securities attorneys can help you explore your legal options.

At Shepherd Smith Edwards and Kantas, we represent investors seeking to recoup damages related to:

Financial product failures

Stockbroker fraud




Investment adviser misappropriation

Misrepresentations and omissions

Elder financial abuse

Breach of fiduciary duty

Failure to supervise


And much more.

Determining whether you were the victim of securities fraud can be challenging, which is why you need skilled Lexington broker negligence attorneys to help you discern the cause of your investment losses. And while reporting your concerns to the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), or the Securities Division of the Kentucky Department of Financial Institutions (DFI), may trigger a regulatory investigation against your broker-dealer or investment adviser, if you want to maximize your chances for a full financial recovery, you will need to file a securities claim against the firm.

Why You Need Savvy Lexington Securities Litigation Lawyers Representing You 

A securities fraud lawsuit is not the type of legal claim you want to pursue without a seasoned Kentucky investment fraud law firm by your side. Keep in mind that brokerage firms and investment advisers usually will have their own team of attorneys on retainer ready to defend against any allegations of fraud or negligence. Most financial firms are unwilling to admit to any kind of wrongdoing even after they have settled or been ordered to pay damages. You want a securities law firm that will not only fight for you but also will protect your legal rights.

Depending on whether your investor losses involve a broker-dealer or investment adviser, you will either have to sue in arbitration or go into litigation. However, FINRA arbitration, which is typically where arbitration claims are brought, is not the same as going to court. Both require specific legal strategies and approaches to increase your chances for a successful case outcome. You want to work with knowledgeable Lexington investment loss recovery lawyers that are familiar with the venue where you need to go and know how to properly advocate for you.

Our Kentucky investment fraud lawyers have a combined over a century’s worth of experience in securities law and the securities industry. Some of our securities attorneys are former brokers who left that business because they saw how easy it was for investors to fall prey to bad financial advisors. It is why we are now dedicated to representing investors.

In the decades that we’ve been a securities law firm, we have handled all kinds of investment loss claims and are well-versed in identifying how broker misconduct or negligence may have played a role. We have gone up against broker-dealers all over the United States, including the biggest Wall Street firms, to collectively recover many millions of dollars on behalf of thousands of investors who suffered losses in:

Why Hire Our Lexington KY Securities Lawyers?

At Shepherd Smith Edwards and Kantas, we take a team approach, which means that should you retain us, you will have all of us working on your securities lawsuit. We provide each client with customized, personalized, and quality securities law services. More than 90% of the investors we have represented have received full or partial financial recovery.

How to schedule your free, no-obligation case assessment:

In Bourbon County, Fayette County, Clark County, Jessamine County, Woodford County, Scott County, and throughout Kentucky, call (859) 810-0266 or (800) 259-9010 or contact us online.

Lexington Securities Law Office

216 E Reynolds Rd #C

Lexington, KY 40517





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