Why You Should Hire Experienced Investor Lawyers to Represent You

What Should You Do If You Suspect That You Were The Victim of Investment Fraud or Negligence by Your Broker? 

Our Investor Lawyers At Shepherd Smith Edwards and Kantas May Be Able To Help 

If you are an investor who lost money because your financial advisor committed broker fraud or was in breach of their fiduciary duty, you may be able to obtain compensation for your losses. Our seasoned Investor Lawyers at Shepherd Smith Edwards and Kantas (investorlawyers.com) have spent decades working with retail customers, retirees, and wealthy investors in pursuing damages from brokerage firms and their financial advisors.

How Do You Know Whether Financial Advisor Fraud or Negligence Was Involved? 

This will be difficult to determine without the help of expert investment fraud lawyers. One reason for this is that not all financial losses are a result of broker misconduct or negligence. Some investment losses are, in fact, normal. However, there will be instances when you should definitely pursue damages from your broker-dealer.

You want to work with skilled financial advisor negligence attorneys who know how to thoroughly examine your portfolio, the activity in your account, your investing goals, any information your broker gave you, what happened to your investments, and the total losses you sustained.

Remember, that broker negligence doesn’t have to be intentional. If your financial advisor did not provide you with the appropriate or standard level of care to which you are entitled, and you lost money, this may be enough to pursue damages.

Why You Should Hire an Experienced Investor Lawyer to Represent You

At Shepherd Smith Edwards and Kantas, our knowledgeable investor law firm will conduct a thorough investigation of your losses. This includes gathering key documents and other evidence to prove why you are entitled to financial recovery. We know the right financial experts who can assess how much in damages you suffered and testify for you.

We will submit a Statement of Claim with the Financial Industry Regulatory Authority (FINRA) that details how your financial advisor and/or their brokerage firm violated their breach of fiduciary duty to you and caused you to lose money. This Statement will also specify the extent of your investment losses and the number of damages you are pursuing.

Shepherd Smith Edwards and Kantas will use our decades of experience in the securities industry and the arbitration process to zealously represent you and your investment losses claim before a panel of FINRA arbitrators.

Why Go The FINRA Arbitration Route Rather Than File a Securities Fraud Lawsuit in Court?

Broker-dealers require all clients to sign an agreement in which they consent to resolve any disputes between them in front of a FINRA arbitration panel. This is why it is important that you work with adept FINRA lawyers who know how the arbitration process works and what it takes to build a solid and convincing claim. Your arbitration panel’s ruling will be final so you don’t want to take any chances by trying to represent yourself or hiring an inexperienced legal team. You also DON’T want to resolve this type of problem directly with your broker-dealer, which will likely be reluctant to admit liability.

It is a fact that investors increase their chances for full financial recovery when they work with accomplished securities lawyers by their side.

What If You Are an Investor Who Lives Outside the United States? 

If you worked with a US-based broker-dealer, you would still have to go through FINRA arbitration. Typically, the venue for the proceedings will be the FINRA office closest to you. For example, if you are a Mexico resident, then your securities arbitration case will probably be heard by a panel of arbitrators in San Diego, California

What Will It Cost You To Work With Knowledgeable Brokerage Firm Negligence Attorneys?

Shepherd Smith Edwards and Kantas work on a contingency basis. You only pay us for our legal services if we recover damages for you. This won’t come out of your own pocket. Instead, it will be a percentage of the amount recovered from your broker-dealer.

Contact us at (800) 259-9010 today so that we can help you determine whether you have grounds for a broker-dealer negligence claim.


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