San Francisco FINRA Attorneys

San Francisco FINRA Attorneys

 Representing Northern California Investors In Their Arbitration Cases Against Brokerage Firms

For over 30 years, our San Francisco FINRA lawyers have been representing investors in The Golden State against broker-dealers and their financial advisors all over the United States. We have securities law offices conveniently located in San Francisco and San Diego, and we work with retail investors, retirees, elderly investors, accredited investors, high-net-worth individual investors, and institutional investors throughout California.

While there is always some risk whenever you invest, when your portfolio losses are caused even in part by the wrongful or careless actions of your financial advisor and/or their brokerage firm, you may be able to sue them for financial recovery. This is not the kind of legal claim that you want to pursue without established San Francisco FINRA lawyers representing you.

Financial Industry Regulatory Authority (FINRA) arbitration is where such disputes between broker-dealers and their clients are brought. Different from going to court, there are distinct strategies and approaches required to maximize your chances for a successful case outcome in arbitration.

Shepherd Smith Edwards and Kantas ( has the skills, savvy, and resources to take on even the most complex kinds of broker misconduct claims against the largest firms on Wall Street. With over a combined 100 years of experience in the securities industry and securities law, we have helped thousands of clients to collectively recover many millions of dollars in settlements and awards.

A Few Key Facts To Know About Going After Your Brokerage Firm 

  • Broker-dealers generally won’t readily admit to broker fraud or negligence and it is not advisable that you try to deal with them directly and on your own. Many brokerage firms may even try to sabotage your attempts at holding them accountable, which could seriously damage your claim in the long run. Your best chance for getting your money back is to hire a reputable FINRA law firm to represent you.


  • It is when you retain the services of skilled SF securities arbitration lawyers that many broker-dealers will finally realize that they have to take your claim seriously. You want seasoned legal representation that knows how to protect your right to financial recovery while building the strongest case possible for why you are owed damages.


  • Legal grounds for suing your financial advisor in FINRA arbitration can include unsuitability, misrepresentations and omissions, churning, unauthorized trading, selling away, misappropriation, failure to diversify, failure to supervise, due diligence failures, breach of fiduciary duty, and much more.

Visit FINRA Arbitration FAQs to find out more.

Many investors are reluctant to hire a well-respected San Francisco FINRA law firm because they worry about the cost. Rest assured that because we work on a contingency basis, you will only ever pay us for our legal services if we recover damages for you and that is where the money will come out of.

Why Hire Our San Francisco FINRA Attorneys?

Shepherd Smith Edwards and Kantas is dedicated exclusively to representing investors in seeking financial recovery for their portfolio losses. This is the only type of law that we practice. Not only that, but we never just assign one attorney to a client’s case. If we decide to work together you will have our entire Northern California FINRA law firm, as well as any consultants and expert witnesses required, working on your lawsuit. When needed, we will even partner with FINRA attorneys closer to where a client resides at cost to us. You can trust that you and your claim will always be in capable hands.

By now, we have represented thousands of investors in nearly every kind of investment loss case imaginable. More than 90% of our clients have received full or partial financial recovery.

How To Contact Our San Francisco FINRA Attorneys:

Call (415) 287-0877 or (800) 259-9010 to request your free, no-obligation case assessment.

1 Embarcadero Ctr #500
San Francisco, CA 94111


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