Justia Lawyer Rating
Super Lawyers - Rising Stars Kirk G. Smith
Super Lawyers Samuel B. Edwards
Super Lawyers William S. Shephard
Texas Bar Today Top 10 Blog Post
Avvo Rating. Samuel Edwards. Top Attorney
Lawyers Of Distinction 2018
Highly Recommended

Houston Broker and Investment Fraud Lawyers

With a job market spanning multiple industries and its low cost of living, Houston is often highly ranked among the best places to live and work in the United States. This Texas city is also the most diverse metropolis in the country boasting large African American, Asian American, and Latino American communities, as well as a growing international population.

Houston’s melting pot of cultures is reflected in its robust food scene along with the many yearly events held here including:

  • The Houston Livestock Show and Rodeo
  • The Houston LGBTQ + Pride Celebration
  • The Bayou City Art Festival, and much more.

It is also the home to the Houston Rockets (NBA), Houston Astros (MLB), Houston Dynamo (MLS), and Houston Texans (NFL).

For 30 years, our experienced Houston investment fraud attorneys at Shepherd Smith and Edwards and Kantas (SSEK Law Firm) have represented investors throughout Texas that have lost money because a broker or investment advisor was negligent or engaged in fraud. We have collectively recovered tens of millions of dollars on behalf of thousands of clients, and we continue to fight for retail investors, retirees, institutional investors, and high net worth individual investors every day.

SSEK Law Firm’s main office is in Downtown Houston. Call (713) 227-2400 to request your free, no-obligation case assessment.

Securities Fraud Involving Financial Professionals is not Uncommon

Unfortunately, every year there are many investors that suffer investment losses because their stockbroker or investment advisor mismanaged their portfolio or gave them bad investing advice. Unsuitable investment recommendations and negligence are two of the most common reasons why customers file Financial Industry Regulatory Authority (FINRA) arbitration claims to recover their losses and other damages.

While FINRA oversees the licensing and regulation of brokerage firms nationwide, and the Securities and Exchange Commission (SEC) is the federal entity tasked with protecting investors, it is the Texas State Securities Board that is in charge of enforcing the state’s securities laws.

If you want to maximize your chances of financial recovery from a negligent broker-dealer, it is important that you work with an expert legal team. Our Houston securities fraud attorneys know how to successfully pursue your claim through arbitration, mediation, or litigation.

Misrepresentations and Omissions

Brokers and investment advisors are obligated to only make investment recommendations that are in a customer’s best interests.

This means that they must conduct the proper due diligence before marketing a security or investment product to you and ensure that no misrepresentations or omissions are made about an investment or trading strategy in phone conversations, emails, or offering documents.

Any financial advice provided must be in alignment with your investing goals while respecting the level of risk that you can tolerate. A failure to fulfill any of these requirements is a breach of fiduciary duty and financial advisors and their firms can be held liable.

Suing your stockbroker for negligence or fraud, and then proving your allegations before a panel of arbitrators, can be challenging. This is why you need a team of skilled investment fraud lawyers, consultants, and others advocating for you while protecting your rights. Broker-dealers will have their own team fighting for them, which makes having your own securities law representation even more important.

At SSEK Law Firm, our Houston law firm know how to determine when broker fraud or negligence has occurred. Should we agree to work together, we will conduct a thorough investigation of your investment losses, submit a proper claim with all of the facts and evidence, and argue your securities case for you.

Oil and Gas Investment Fraud: Why Texas Investors Should Be Careful-

With a robust energy industry, oil and gas offerings are aplenty in Houston, Texas. These securities and investment products tend to be high risk and extremely vulnerable to market volatility.

They are typically not suitable for many conservative investors, seniors, and other retail investors. This was recently evident when COVID-19 caused the prices of oil and gas to plunge. SSEK Law Firm represents investors who have suffered losses related to the energy sector in Texas and elsewhere in the United States.

Texas Securities Law Firm

If you are an investor in Harris County, Waller County, Liberty County, Chambers County, Montgomery County, Fort Bend County, Galveston County, Brazoria County, and the surrounding areas, speak with one of our savvy Houston investment fraud attorneys by calling (713) 227-2400 or you can contact us online.

Client Reviews
"I am going to miss conversations with you, Sam Edwards. You’ve been a wonderful lawyer and a friend. I loved learning legal jargon from you. But, even more, it is your self respect and commitment to your position that I admire and your persistent patience-your equanimity. With great appreciation, thank you!" M.B.
"My experience with Ryan Cook has been very positive. Through every step of the litigation he explained what to expect to happen. When I spoke with him later he reviewed the process. He was very patient and I never felt rushed. I have already told friends how wonderful he is." L.R.
"I want you to know that I very much appreciate your expertise, hard work and guidance that led to a satisfactory resolution with Raymond James. From our first meeting, I felt "heard" and that my situation and story were respected. Every subsequent interaction I had with any of you - in person, via email or by phone - only corroborated that feeling. What great work you do on behalf of people like me who have been wronged, yet don't know how to navigate the appeals/mediation/arbitration process as you do. I will be forever grateful." M.L.
"Good positive experience, guided us through a difficult process and was pleased with the outcome. Everyone I dealt with were exceptional." A.G.
"Good intelligent attorneys who never miss a beat. I set my expectations high and they delivered above and beyond. Do not miss the opportunity to let SSE&K represent you. Top notch, efficient and effective firm." S.M.
Contact Us
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  2. 2 No Recovery, No Fee
  3. 3 Over 100 Years Experience

Fill out the contact form or call us at (800) 259-9010 to schedule your free consultation.