San Diego CA Broker Fraud Attorneys

Working With Southern California Investors To Recoup Their Losses Caused by Stockbroker Misconduct 

The team of San Diego CA Broker Fraud Attorneys at Shepherd Smith Edward and Kantas (, know that trusting a financial advisor to manage, grow, and keep your money safe is a big step. We also understand how devastating it can be to have that trust breached causing you to suffer significant investment losses.

Our San Diego broker fraud lawyers represent investors in Southern California, as well as other investors with brokerage accounts in that region, in pursuing damages caused by the wrongful or negligent actions of their registered representatives.

What Is Broker Fraud?

While it is easy to think that stockbroker fraud only refers to when a financial advisor purposely commits a fraudulent act, such as stealing an investor’s money or running some type of financial scam, this phrase can encompass so much more.

Examples of stockbroker fraud that may lead to a San Diego broker misconduct lawsuit should serious investor losses result: 

Unsuitability: This typically involves a broker recommending a financial product or investing strategy that is inappropriate for a customer given their risk tolerance level, investing goals, age, and other key factors. Unsuitability is one of the most common reasons cited in stockbroker fraud lawsuits.

Misrepresentations and omissions: When a broker provides a customer with misleading/misrepresented material facts about an investment or leaves out certain key information about a financial product or investing strategy.

Churning: A broker excessively trades in a customer’s account, which costs the investor money while earning the financial advisor more commissions.

Selling away: A broker sells a security to a customer even though it has not been approved or offered by their broker-dealer. Selling away can increase an investor’s exposure to potentially fraudulent financial products.

Overconcentration: When a financial advisor places too much of a client’s funds in one particular investment. This may increase the risk of loss should that investment fail or prove fraudulent.

Negligence: When a broker-dealer neglects to provide a client with the standard of care they are owed. No malintent has to be involved. It may even have been an accidental error or due to inexperience on the part of the financial advisor.

How Can Our Trusted San Diego CA Broker Fraud Attorneys Help? 

If you are an investor who is wondering whether broker fraud contributed to your losses, the sooner you speak with our seasoned San Diego broker negligence law firm the better. Not only can we help you determine the cause of your losses, but also we can tell you if this warrant is grounds for an investor fraud lawsuit against your financial advisor and their firm.

At Shepherd Smith Edwards and Kantas, we have over a combined century’s worth of experience in the securities industry and securities law. Not only that but a number of us used to be former stockbrokers. However, after seeing some of the unsavory practices that can occur in that industry to cause harm to investors, we left that business and are now dedicated exclusively to fighting for investors and protecting your legal rights.

If you do have grounds for a San Diego broker fraud claim, and we decided to work together, you won’t be assigned just one securities attorney, you will work with our entire team of savvy securities lawyers, legal assistants, and consultants. Over the years, our experienced Southern California stockbroker negligence attorneys have represented thousands of investors in arbitration, mediation, and litigation. We are familiar with the legal strategies that are the most effective with each, and we are committed to making sure that each client receives personalized attention and unparalleled securities representation.

Unfortunately, broker fraud happens way too often and investors end up losing significant amounts of money as a result.

How Can You Contact Our Dedicated Southern California Broker Fraud Lawyers in San Diego? 


We represent investors, including retail investors, retirees, elderly investors, accredited investors, high-net-worth individual investors, institutional investors, and others. We also represent Latin American investors and other international investors with brokerage accounts in Southern California. Call (619) 550-4847 or (800) 259-9010 or contact us online. Habla Español.

San Diego CA Broker Fraud Attorneys

1545 Hotel Cir S #150-1
San Diego, CA 92108


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