New York Financial Advisor Fraud Lawyers 

New York Financial Advisor Fraud Lawyers 

From Our Buffalo Law Offices, Shepherd Smith Edwards and Kantas Is Dedicated To Fighting For NY Investors

Choosing a broker or investment adviser to manage your money is an important decision to make, and one would hope that any financial professional would take the responsibility seriously. Unfortunately, financial advisor fraud happens way too often and this can lead to serious losses for victims.

At Shepherd Smith Edwards and Kantas ( we represent investors against brokerage firms and investment advisers on Wall Street, all over New York, and throughout the US. With more than a century’s worth of combined experience in securities law and the securities industry, more than 90% of our clients have received full or partial financial recovery because of our dedication and hard work.

It can be devastating to discover that your investment losses might have been avoided were it not for your financial advisor’s actions. Although there are red flags to look out for—here are some examples:

  • You are promised “guaranteed” returns without any risk.
  • You are subjected to high-pressure sales tactics to “act now.”
  • The financial professional is not a registered representative or has a long record of customer complaints listed in their CRD.
  • Your broker asks you to give them direct access to your funds or write a check directly to them in their name.

It can be hard for investors to know whether they are about to become the victim of broker misconduct or even negligence, such as:

  • Broker theft or misappropriation.
  • Some types of Ponzi or affinity scams run by your financial advisor or a third party.
  • Unauthorized trading in your account.
  • Excessive trading in your account, which is also known as churning.
  • Selling away.
  • Unregistered securities sales.
  • Misrepresentations and omissions.
  • Conflicts of interest that your financial advisor did not disclose.
  • Breach of fiduciary duty.
  • Overconcentration.
  • Elder financial abuse.
  • Breach of contract.
  • Gross negligence.
  • Unsuitable investment recommendations.
  • Much more.

Even if your financial advisor’s broker-dealer was unaware of any fraudulent activity on the part of their registered representative, you still may be able to sue the firm.

Why You Need Savvy New York Financial Advisor Misconduct Attorneys Representing You

Our seasoned Buffalo, NY financial advisor fraud law firm has been in business for more than three decades. We work with clients of all investing experience levels and net worths. This includes retail investors, retirees, seniors, accredited investors, high-net-worth individual investors, ultra-high-net-worth investors, and institutional investors (pension funds, corporations, small businesses, retirement plans, nonprofits, municipalities, and others). Always, our main focus is to fight for the damages our clients are owed by the broker-dealer or investment adviser responsible.

Many of us used to work in the brokerage industry in senior roles at some of the largest Wall Street firms. We ended up leaving because we saw a lot of bad behavior, and we didn’t like how many investors were taken advantage of. It is why we chose to become investment loss recovery lawyers.

If we decide to work together, you won’t just work with one of our attorneys, you will be supported by our entire New York securities law firm. This means personal and dedicated attention from legal professionals who are determined for opposing counsel and whoever is ruling on your case—likely a FINRA arbitration panel—to know that you are more than just a name and a bunch of facts on a legal document. You are someone whose life (or business) has been devastated by the financial harm you have suffered and you are owed financial recovery.

We have helped thousands of investors to recoup many millions of dollars through mediation, negotiation, litigation, and arbitration. With law offices all over the United States, Shepherd Smith Edwards has become one of the most well-respected financial advisor fraud law firms in the country.

How To Contact Our Trusted New York Financial Advisor Fraud Lawyers:

Call (716) 261-3529 or (800) 259-9010. You can also contact us online.

Our Buffalo New York Financial Advisor Fraud Lawyers Office: 
Sheridan Meadows Corporate Park South
6225 Sheridan Dr #308-B
Buffalo, NY 14221





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