New York Broker Fraud Attorneys

New York Broker Fraud Attorneys

Our Buffalo Securities Lawyers Help NY Investors In Pursuing Damages From Brokerage Firms 

Whether you live in Manhattan or elsewhere in The Empire State, Shepherd Smith Edwards and Kantas ( represents retail investors, retirees, older investors, high-net-worth investors, and institutional investors in suing their US broker-dealer for misconduct or negligence. With over a combined century’s worth of experience in securities law and the securities industry, our seasoned New York stockbroker fraud attorneys, legal assistants, and consultants are here to fight for you.

Even if your brokerage firm had no idea that your financial advisor was engaging in actions that caused you to suffer portfolio loss, you still may be able to hold both the broker and the firm liable. But first, you will need to file a solid securities fraud lawsuit.

To find out whether you have grounds for an investor loss claim, contact our Buffalo broker misconduct attorneys today.

How Do You Know Whether You Should Sue Your Financial Advisor?

It is not uncommon when investing for there to be losses and gains. As a matter of fact, you are always taking on some risk—even if it’s just a little bit—and returns are never guaranteed. Market ups and downs is also a common reason that investors can lose money, and when this happens that doesn’t always mean your broker was responsible.

However, if your registered representative did any of the following and you sustained serious investment losses, you may be able to sue for damages:

  • Unsuitablyplaced you in high-risk private real estate investment trusts (REITs) even though you are an older senior who made it clear from the start that you didn’t want to take on any risks. In certain instances this may also qualify as elder financial abuse by a stockbroker.
  • Failed to diversify your portfolio—also known as overconcentration—so that when your oil and gas investments failed during the pandemic, you suffered more losses than you would have if only your assets had been better allocated among different kinds of financial products.
  • Did not conduct the proper due diligence and invested your money in a Ponzi scam.
  • Failed to apprise you that a particular investment, such as your GWG L bond, was in trouble—this is also known as broker misrepresentations and omissions—and continued to keep your money in this high-risk junk bond, which may be a breach of fiduciary duty.

These are just some examples of what could be considered stockbroker fraud. However, you should know that broker negligence, inexperience, or ignorance may also be grounds for an FINRA lawsuit if an investor lost a lot of money as a result.

Why Speak With Our Skilled Buffalo, New York Stockbroker Negligence Law Firm?

For more than three decades, our securities law practice has been dedicated exclusively to fighting for investors. We have the knowledge, resources, and savvy to pursue the most complex investment product loss claims against the largest Wall Street firms.

When you hire Shepherd Smith Edwards and Kantas, you are retaining our entire securities law firm to work with you. Over the years, we have developed a well-earned reputation among investors, our peers in the industry, and even opposing counsel. They recognize us as trusted New York broker fraud attorneys who will provide quality and experienced legal representation.

We have worked with thousands of investors in arbitration, mediation, and litigation to collectively secure many millions of dollars for our clients. We understand how emotionally and financially devastating suffering significant investment losses can be especially when the financial fiduciary you trusted played a part. Should we agree to work together, our Buffalo, NY broker fraud attorneys will be with you every step of the way until the conclusion of your case.

How To Contact Our New York Brokerage Firm Arbitration Law Attorneys:

More than 90% of our clients have received full or partial financial recovery from their broker-dealers with our help. Call (716) 261-3529 or (800) 259-9010


Our Buffalo Broker Fraud Law Office:

Sheridan Meadows Corporate Park South
6225 Sheridan Dr #308-B
Buffalo, NY 14221


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