Western Colorado FINRA Attorneys

Shepherd Smith Edwards and Kantas Represents Investors Against Brokerage Firms

With our securities law office located in Ridgway, our trusted FINRA lawyers represent investors throughout the Western Colorado Slope, including Telluride, Steamboat Springs, Grand Junction, Cortez, Gunnison, and Moffat in recouping damages from their brokerage firms and financial advisors. Unfortunately, investment losses caused by stockbroker negligence or misconduct happen way too often, which is why Shepherd Smith Edwards and Kantas (investorlawyers.com) has dedicated its entire law practice to helping retail investors, retirees, elderly investors, wealthy investors, institutional investors, and others to pursue financial recovery through arbitration, litigation, and mediation.

What Is FINRA Arbitration and How Might Our Experienced Western Colorado FINRA Attorneys Help?

Financial Industry Regulatory Authority (FINRA) arbitration is likely where you will need to go to resolve your broker dispute. The reason for this is that US-based brokerage firms typically require that clients sign a pre-dispute clause in their agreement to work together stating that such disagreements must go to FINRA arbitration and not the courts.

While less costly and expensive than court, FINRA arbitration has its own set of rules and requires specific strategies and preparations to maximize an investor’s chances for financial recovery. This is why you want seasoned FINRA lawyers representing you. Not only that but the broker-dealer you have filed a FINRA complaint against will very likely have a team of attorneys representing them.

Visit FINRA arbitration FAQs for more information.

A broker negligence claim is not something you want to pursue on your own. It is also not advisable to try resolving this issue directly with a brokerage firm. You will be hard-pressed to find a broker-dealer that will willingly admit to wrongdoing or mistakes. If anything they may try to delay your claim or blame you or other factors, such as market turmoil, for your investor losses. At Shepherd Smith Edwards and Kantas, we protect our clients and their legal right to financial recovery.

Why Work With Our Experienced Colorado FINRA Lawsuit Lawyers?

When you hire us, you are not just retaining a one-person local law firm, you are bringing in our entire team of skilled securities lawyers, legal assistants, fraud analysts, and others to work on your investment loss claim. Over the last three decades, we have helped thousands of investors to collectively recover many millions of dollars, including, when warranted, up to seven-figure awards and settlements against broker-dealers all over the US. We have successfully gone up against the largest Wall Street firms to advocate for investors.

Some of us used to work as financial advisors and we witnessed firsthand the harmful tactics and bad behavior that can happen in the industry. This is just one of the reasons that we are now fighting on the side of investors.

Our Western Colorado FINRA Attorneys represent investors who have been the victims of the following:

  • Financial product failures
  • Unsuitable investment recommendations
  • Misrepresentations and omissions
  • Broker negligence
  • Broker fraud
  • Failure to supervise
  • And much more

The award issued by a FINRA arbitration panel is usually final with very limited, if any, opportunity to appeal. You want knowledgeable Ridgway, CO FINRA lawyers working on your claim from the start.

Often, it can be hard to pinpoint broker fraud or negligence. You may have more grounds for an investor loss case than you realize.

For example, what appears on the surface to be an unsuitable investment recommendation case may also involve alleged overconcentration or excessive trading. You may even be entitled to more damages than you think.

At Shepherd Smith Edwards and Kantas, we have the skills, manpower, and resources to build a solid investor loss claim on each client’s behalf. Those who work with us receive quality securities law representation and personalized attention.

Our team has over a century’s worth of combined experience in securities law and the securities industry. We have been highly rated by Super Lawyers, Lawyers of Distinction, Martindale Hubbell, and others. More than 90% of the investors we have worked with have received full or partial financial recovery.

In Western Colorado, call (970) 239-7085 or (800) 259-9010 today and ask for your free, no-obligation case consultation with our Western Colorado FINRA Attorneys.

241 S Elizabeth St #500
Ridgway, CO 81432



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