We Represent Investors Throughout the SF Bay Area and Surrounding Regions Against Brokerage Firms

Shepherd Smith Edwards and Kantas represents Bay Area investors seeking to recover losses caused by broker negligence or misconduct in failed financial products. Their experienced team helps clients navigate complex FINRA arbitration to hold brokerage firms accountable and seek full financial compensation.

If you suffered investment losses in a failed financial product that was sold to you by your stockbroker, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. From our San Francisco, CA securities law office, we represent retail investors, retirees, accredited investors, high-net-worth investors, ultra-high-net-worth investors, and institutional investors against broker-dealers.

What Is Financial Product Failure?

This is the term used when referring to an investment that has lost a lot of its value, did not perform as promised, collapsed entirely, or is now defunct. Granted, there is no guarantee of success with any investment. However, poor management, market downturns, industry changes, economic crises, a bad business model, or investment fraud can cause a product to fail.

What Are Some Signs That A Financial Product May Be Failing?

• Withdrawals or redemptions for the investment are suspended.
• You are told there is now a new benchmark for a financial product after it did not meet the original benchmark.
• Quarterly financial reports by the issuer of the investment are starting to come out late or not at all.
• The issuer is not submitting mandatory regulatory reports.
• Your financial product’s share price has dropped significantly from what you originally paid.
• Outside parties are making tender offers that will drastically reduce the price of your shares.
• Key leadership has left or been booted out.
• There are rumors of financial problems impacting the investment or the issuer.

What Does Broker Negligence Have To Do With Financial Product Failure?

While your stockbroker may have nothing to do with why an investment failed, you may be able to hold them liable for your losses if they:

• Made an unsuitable recommendation of a financial product that was too risky or inappropriate for you given your investor profile, age, or risk tolerance level.
• Failed to conduct the proper due diligence into this investment to make sure it was viable and safe.
• Neglected to properly monitor your account or respond to red flags indicating the investment was in trouble and causing you losses.
• Overconcentrated your brokerage account with this investment.
• Failed to properly apprise you of the actual risks you were taking on.
• Disregarded your best interests when they marketed and sold this financial product to you.

 Why Is It Important That You Hire Skilled San Francisco Financial Product Failure Lawyers To Represent You?

• Suing a brokerage firm for financial recovery can be a very difficult process and you want to work with a trusted San Francisco Bay Area securities law firm that knows how to maximize your chances for a full recovery.
• Proving that your broker-dealer owes you damages for a failed financial product can be tough. Shepherd Smith Edwards and Kantas has more than a 100 years’ worth of collective experience in securities law and the securities industry. We know how to identify and gather evidence showing broker misconduct or negligence unnecessarily exposed you to a bad investment.
• Your broker-dealer will have their own legal representation fighting for them. You want savvy SF Bay Area financial product failure attorneys that will advocate for your best interests while protecting your legal rights.
• Investor claims against brokers are usually filed in Financial Industry Regulatory Authority (FINRA) arbitration. Our knowledgeable FINRA lawyers know what strategies work best in this legal forum and how to maximize your chances for a full financial recovery.

 

What Damages Might You Be Entitled To From Your Broker in Your Failed Financial Product Case?

Depending on the specifics of your losses and what caused them, as well as the quality of your securities representation, you may be entitled to receive:

Compensatory damages: the actual money you lost, the amount you invested, or funds you could have earned if the investment didn’t fail.

Interest and other costs: pre-judgment interest, filing fees, hearing costs, or attorney fees.

Punitive damages: If an egregious and deliberate act of broker misconduct was involved, your broker-dealer may have to pay this as punishment.

A FINRA arbitration panel will rule on your failed financial product case and whether your losses warrant grounds for an award against your brokerage firm. Remember that the ruling by the panel is usually final. It is one more reason why you need quality San Francisco, California financial product failure attorneys on your side.

Talk To Shepherd Smith Edwards and Kantas San Francisco Financial Product Failure Lawyers About Your Portfolio Losses Today

Call Phone: (415) 287-0877 or (800) 259-9010 or contact us online to schedule your free case consultation.

Northern California Securities Law Office

1 Embarcadero Ctr #500
San Francisco, CA 94111