New York FINRA Lawyer

Our FINRA Lawyers Continue To Investigate Investor Losses Involving Ex-RBC Capital Markets Broker Brian Wurdemann

Working With A Trusted Broker Fraud Law Firm Can Maximize Your Chances For Financial Recovery

For the past two years, Shepherd Smith Edwards and Kantas ( has been looking into claims of losses involving investors who worked with former RBC Capital Markets financial advisor Brian Wurdemann. The ex-New York broker was permanently barred by the Financial Industry Regulatory Authority (FINRA) last year and then suspended by the self-regulatory organization earlier this year.

With nine customer disputes on Wurdemann’s CRD, including one still pending for $1.8M, our skilled New York FINRA attorneys are continuing to offer free case evaluations to investors who believe that Wurdemann engaged in some type of alleged broker misconduct, such as unauthorized trading, misrepresentations and omissions, or unsuitable investment recommendations.

If you too suffered significant investment losses while working with Brian Wurdemann, contact our seasoned FINRA lawsuit lawyers today. You may have grounds for suing this ex-New York broker or the brokerage firm where he was registered at the time. They may have failed to properly supervise him, which could have enabled your portfolio losses to occur.

For example, in February 2020, a FINRA arbitration panel ordered Wurdeman, Morgan Stanley and UBS Financial Services to pay $175K to a couple for their investment losses. Allegations included breach of fiduciary duty, failure to supervise, fraudulent practices, breach of contract, fraud, negligence, and misrepresentations involving a margin account and the Pioneer Municipal Bond Fund.

How Can Our Skilled FINRA Law Firm Help?

If you have a dispute against your broker and their financial firm, you will likely have to go to FINRA arbitration to make your case. This is a very specific type of legal forum and one where you will need the help of savvy FINRA attorneys if you want to give yourself the best chance possible for getting back your portfolio losses.

Shepherd Smith Edward and Kantas New York FINRA Lawyer Team has helped thousands of investors to collectively recover many millions of dollars in arbitration, mediation, and litigation. We have spent more than 30 years exclusively representing investors against brokerage firms and investment advisers, and we remain committed to protecting our client’s right to financial recovery.


When you work with us, you are retaining the knowledge and experience of our entire team of seasoned securities lawyers, legal assistants, consultants, and others who will be dedicated to seeing your FINRA lawsuit to its conclusion. More than 90% of the investors we have represented have received full or partial financial recovery with our help.

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