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Super Lawyers - Rising Stars Kirk G. Smith
Super Lawyers Samuel B. Edwards
Super Lawyers William S. Shephard
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Lawyers Of Distinction 2018

Investor Claims

Are You a Victim of Investment Fraud?

As a consumer, you sought the best and most professionally sound advice from your financial advisor or broker. However, you did not get what was promised and now your life has been negatively impacted.

Millions of Americans across the United States have fallen victim to broker misconduct and other instances of investor claims including negligence, churning and misrepresentation. Victims of investment fraud and broker misconduct are entitled to receive damages to compensate for any losses that occurred.

Investor Claims: How to Know if You are Entitled to Make One?

If you have experienced any of the circumstances mentioned below you owe it to yourself, at a minimum, to seek a free consultation with SSEK Law Firm.

The Financial Advisor Contacted You Via a Mailer or Telephone

It’s not uncommon for advisors in the financial industry to hold seminars touting their expertise. At these meetings, representations were made regarding sound financial plans for your savings, retirement or children/grandchildren’s college plans.

What you received turned out to be markedly different than what was presented to you. Along the way, you were lulled into believing all was well, when in fact, it was not. Now your plans are ruined.

You Were Referred by a Colleague, Friend or Relative

You heeded the good-faith advice of someone trusted. Whether a colleague, friend or relative. Or worse, the financial advisor may be a colleague, friend or relative.

If you were referred by someone you know, it is not their fault. But if you were wronged, you should act. It’s not a slight against confidants if you take action against the broker they recommended. In some instances, the decision to pursue legal remedies may be further complicated by direct familiar relationships or friendships.

In such situations, most of the time the advisor in question did their best but was simply negligent. In most of these instances, the advisor was led astray by his own employer with faulty information and/or products.

You have the right to file investor claims via the FINRA arbitration process for a host of actions discussed herein:

  • Investments
  • Broker Misconduct
  • Brokerage Firm Misconduct

Shepherd Smith Edwards & Kantas, LLP (SSEK Law Firm) have an expert team of securities and investment fraud attorneys that are devoted to representing investors who have been wronged and victimized by stockbrokers and financial institutions.

We represent investors victimized by broker misconduct, negligence on behalf of financial institutions, churning, misrepresentation and many other investor claims that you may have fallen victim to. Speak with our securities fraud lawyers today.


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.
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