Our Practice Areas Breach of Fiduciary Duty Churning Failure to Supervise Financial Product Failures Institutional Investor Claims Investment Loss Recovery Misrepresentation Non-Traded REITS Omissions Overconcentration Professional Trader Claims Unsuitability Do You Need to Recover Your Losses?

A whistleblower who will let authorities know about misrepresentations done by the company has protections under state law and under federal law. Watch Video What is the difference between sophisticated and accredited investors?

This entails tactics such as unauthorized trading, misrepresentation, pressuring sales tactics, and more. There Are a Few Common Types of Stockbroker Fraud: Omissions or misrepresentation: Occurs when a brokerage firm or broker misrepresents facts or does not disclose facts to ...

Our San Francisco Securities Lawyers Represent Investors In Northern California Over Their Portfolio Losses Involving Financial Product Failures Investment Loss Recovery Retirement Investment Losses Elder Financial Abuse Institutional Investor Claims Professional Trader Claims Unsuitability Misrepresentations and Omissions Overconcentration Breach of

Often the misrepresentations or omissions disguise the risk associated with a particular investment. A broker has a duty to fairly disclose all of the risks associated with an investment.

Consequently, the law firm Shepherd Smith Edwards and Kantas is investigating and representing investors in FINRA arbitration claims against broker-dealers for unsuitable recommendations, misrepresentations, and prioritizing high commission fees over client interests.

These experienced securities lawyers assist clients in recovering damages for overconcentration, misrepresentation of risks, and near-total loss of principal resulting from high-risk DST investments.

Unfortunately, broker misrepresentations and omissions remains a serious problem that can cause investors to suffer portfolio losses. Continue Reading ›

Shepherd Smith Edwards and Kantas Represents Illinois Investors Against Broker-Dealers and Their Financial Advisors Shepherd Smith Edwards and Kantas is a Chicago-based securities law firm that represents Illinois investors seeking financial recovery after suffering losses due to broker misrepresentations, omissions, ...

Our CLO Fund Recovery Lawyers Are Here To Help Priority Income Fund investors facing significant losses due to plunging NAVs, illiquidity, and high risk can evaluate potential broker misconduct by asking targeted questions about suitability and risk misrepresentation.