FINRA Law Firm

Securities Arbitration Attorneys

Published on: March 25, 2024 | by Shepherd Smith Edwards & Kantas, LLP

What Should You Expect When Filing A FINRA Lawsuit? Our Securities Arbitration Attorneys Represent Investors In Suing Their Brokers

If you are an investor who is pursuing damages from your financial advisor, then you will likely have to file your claim in Financial Industry Regulatory Authority (FINRA) arbitration. It is similar to court in that you will have to submit initial pleadings specifying your allegations, is entitled to discovery to build evidence supporting your case, and—if a settlement isn’t reached first—there will be a final evidentiary hearing where both sides will present evidence and examine/cross-examine witnesses. However, unlike a court case, a panel of arbitrators, not a jury or judge, would issue the ruling and you will have virtually no ability to appeal the decision if it is not in your favor.

These are just some of the reasons why it is so important that you are properly represented by Securities Arbitration Attorneys. At Shepherd Smith Edwards and Kantas (investorlawyers.com), we work with investors against their brokers who engaged in unsuitable investment recommendations, excessive trading, concentration, misrepresentations and omissions, negligence, and more. We understand the difference between a court case and an arbitration claim and the specific strategies and approaches needed to maximize your chances for full financial recovery in each legal forum. s

FINRA Law Firm

Published on: December 11, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Serious Investment Losses While Working With Ex-Western International Securities Broker Christopher Kennedy?

Shepherd Smith Edwards and Kantas Represents Investors Who Have Been The Victims of Financial Advisor Fraud

The Financial Industry Regulatory Authority (FINRA) recently barred former Western International Securities broker Christopher Booth Kennedy. The ex-financial advisor has been accused of different kinds of stockbroker misconduct, including excessive trading, unauthorized trading, improper options trading, unsuitability, misrepresentations, breach of fiduciary duty, breach of contract, and negligence.

Why Working With A Skilled FINRA Law Firm Can Increase Your Ability to Recover Losses

Published on: November 8, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Why Working With A Skilled FINRA Law Firm Can Increase Your Chances of Recovering Your GWG L Bond Losses

Our Seasoned Brokerage Firm Negligence Attorneys Continue To File Investor Loss Claims For L Bond Investors

While broker-dealers all over the United States earned high commissions and fees from selling GWG L Bonds to clients, including to retail investors and retirees for whom these risky life-settlement-backed bonds were unsuitable, many of these customers are continuing to grapple with their investment losses. Now, with GWG Holdings, Inc., which issued $1.6B of these high-yield junk bonds, in bankruptcy proceedings, investors’ best bet for recouping their losses is by filing a Financial Industry Regulatory (FINRA) arbitration claim against their brokerage firm.