Securities Litigation Lawyers

What Can You Expect When You Hire Our Seasoned Securities Litigation Lawyers?

With over 30 years representing investors, Shepherd Smith Edwards and Kantas ( offer unparalleled experience in securities litigation while providing personalized attention to each of our clients. We work with retail investors, retirees, accredited investors, wealthy investors, and institutional investors that have suffered significant investment losses due to broker negligence or misconduct in pursuing damages from their broker-dealers. Our SEC fraud attorneys have gone up against the largest brokerage firms on Wall Street to secure settlements and win arbitration awards for our clients.

When you retain our services, you gain the insight, skills, and experience of not just one attorney, but of an entire team of knowledgeable securities arbitration lawyers along with skilled staff, including paralegals, legal secretaries, consultants, and assistants. Many of us have previous experience working in other areas of the securities industry, including as account managers and brokers at large Wall Street firms. It is because of what we witnessed in terms of unsavory broker-dealer misconduct and negligence, and how these behaviors harmed investors, that we are now fighting on the side of clients like you. Not only that, but unlike many other securities fraud law firms for which representing investors is just one area of their business, this is our sole area of practice and we’ve been here doing this for a very long time.

What Are The Steps To Determine Whether You Have Grounds for A Securities Lawsuit Against Your Broker?

It is important to note that not all investment losses warrant financial recovery. Financial losses are a known risk whenever you invest and it doesn’t necessarily mean that any wrongdoing was involved.

However, stockbroker misconduct, broker-dealer negligence, and securities fraud do happen and they can be hard to identify let alone prove unless you have seasoned SEC litigation lawyers helping you.

**Many investors, especially sophisticated investors, fall into the trap of thinking that this is a matter that they can handle on their own by dealing directly with their broker-dealer. We strongly caution against this. It is not unheard of for brokerage firms to respond to complaints by asking you to send them a letter while claiming that they will get back to you. Many will drag out the process and set you on a road that leads to nowhere. Brokerage firms are not going to admit to liability unless they are forced to do so. Not only that, but they can use any letter or other paperwork that you send them against you later on.

  1. What you can do is contact our savvy brokerage firm arbitration law firm and request your free, no-obligation case assessment so that we can tell you whether the reasons for your investor losses warrant filing a securities lawsuit against your broker-dealer and their registered representative.
  2. Should we agree to work together, with thorough due diligence and, if necessary, the help of legal experts, we can prepare your investor loss claim and file your securities lawsuit with Financial Industry Regulatory Authority (FINRA) arbitration. This is the forum where you agreed to resolve any disputes with your brokerage firm and why you need seasoned FINRA lawyers advocating for you.
    At Shepherd Smith Edwards and Kantas, we take the time to get to know each of their clients and the nuances surrounding their claims. We want the panel of FINRA arbitrators to know who you are, what your background is, and the devastating impact your investor losses have had on your life. We want them to understand how high the stakes are for you and why it is important that you are compensated for the harm that you have suffered.
  3. We will then represent your investor loss claim before the panel of arbitrators and against your brokerage firm’s own legal team.

What Happens When an Investor Wins in FINRA Arbitration?

The arbitration panel has 30 days to make a ruling. If you are awarded damages, then your broker-dealer has 30 days to pay you. If the brokerage firm is delinquent on this payment, then FINRA will suspend the license of the broker-dealer and/or their financial advisor until you receive your settlement. Visit our FINRA Arbitration FAQs page for more information.

Shepherd Smith Edwards and Kantas work on a contingency fee basis. This means you only pay us legal fees if you recover on your claim. Over the years, we have collectively recovered many millions of dollars for thousands of clients. More than 90% of the investors we have worked with have received full or partial financial recovery with our help.

Our SEC litigation lawyers represent US investors and foreign nationals that wish to file a securities arbitration claim against a US-based broker-dealer. (If you aren’t fluent in English, there are members of our firm who speak other languages, including Spanish, and we use interpreters when necessary.)

You can contact Shepherd Smith Edwards and Kantas online, or, in the US call (800) 259-9010 today. International via WhatsApp (text only): 936-251-0033


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