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Articles Tagged with Broker Misconduct Attorney

Broker Misconduct Attorney

Published on: May 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Does Your Financial Advisor Know Exactly What He Or She Is Selling? How Due Diligence Failures and Negligence Can Lead To Investor Losses. Our Broker Misconduct Attorney Can Help!

Often, people will hire a financial advisor because they want expert help making investments, managing their portfolios, keeping their assets safe, saving for retirement, or growing their money.

Stockbrokers are professionals who buy and sell stocks and securities for retail investors, accredited investors, wealthy investors, and institutional investors. In return, they are paid a commission or a fee.

Broker Misconduct Attorney

Published on: February 7, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Financial Advisor Know Exactly What They Were Selling You?

Our Broker Misconduct Attorney Team Can Help You Assess Whether You Have Grounds For a Legal Claim

If you are an investor who has had the unexpected surprise of sustaining significant losses in an investment that proved to be fraudulent, you may have invested too much in, or was unsuitable for you given your risk tolerance level, you may be wondering how to recoup your losses. Do you go after the issuer of the investment? Does your broker have any liability in this matter?