Western Colorado Investment Advisor and Broker Fraud Attorneys
The Colorado Western Slope comprises every area in the state located west of the Continental Divide. Telluride, Aspen, Vail, Durango, and Boulder are just a few of the places that have turned this region into a popular vacation and recreation destination.
The fresh air, clean water, local food and wine scene, and artist and maker communities are some of the many draws for its residents, who make up just 10% of the state’s total population. Tourism, ranching, fruit farming, mining, and energy extraction power Western Colorado’s economy.
Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) represent investors throughout the Colorado Western Slope in their securities fraud claims against the broker-dealers and the registered representatives responsible for their financial losses.
Our seasoned Western Colorado investment advisor and broker fraud attorneys have been fighting for retail investors, retirees, institutional investors, and high net worth individual investors for more than 30 years.
Contact us today at our Ridgway, Colorado broker fraud law office at (970) 239-7085 so that we can help you explore your legal options.Investors Suffer Losses Due to Stockbroker Fraud and Negligence
The Colorado Division of Securities is there to protect investors, enforce securities laws, and make sure securities professionals are properly licensed in the state.
Along with the federal government’s Securities and Exchange Commission (SEC) and the self-regulatory organization, Financial Industry Regulatory Authority (FINRA), one would hope that all of these regulators would be able to prevent securities fraud and broker negligence from happening to Colorado investors.
Unfortunately, investment fraud happens every day in the United States. In many cases, the party responsible is a financial advisor entrusted to manage, grow, or preserve their customers’ money. Instead, their improper or careless actions caused investors to suffer significant losses.Common Types of Broker Misconduct or Negligence
- Making inadequate and unsuitable investment recommendations
- Churning, which involves excessively trading in a customer’s accounts to earn commissions
- Making misrepresentations and omissions
- Registration violations
- Making unauthorized trades without the investor’s permission
- Failure to execute trades
- Breach of contract
- Breach of fiduciary duty
- Failure to supervise
It is important that you work with skilled Western Colorado securities fraud attorneys who will properly make your claim and know how to either negotiate a settlement on your behalf or prove your case before a panel of FINRA arbitrators.Fighting For Investors and Retirees in Western Colorado
For many retirees, seniors, inexperienced investors, and conservative investors, their priorities are often preservation and growth of funds but without taking on too much risk, if any at all.
Unfortunately, there are brokers and investment advisors who will still make unsuitable investment recommendations or overconcentrate retail investors’ portfolios in exchange-traded funds (ETFs), private placements, non-traded real estate investment trusts (non-traded REITs), oil and gas investments, or other volatile or illiquid securities that are not in these customers’ best interests.
SSEK Law Firm knows the devastation that significant financial losses can wreak on the lives of retail investors. We have never been afraid to go after even the largest broker-dealers if this means helping our clients become financially whole again.
Wealthy investors, also known as high net worth individual investors, can also suffer significant losses because of stockbroker fraud or negligence. The same goes for nonprofits, municipalities, retirement plans, business entities, and other institutional clients.
Our Western Colorado institutional investment fraud attorneys have the experience, skills, and resources to handle even the most complex claims against brokerage firms and their registered representatives.Helping Thousands of Investors to Financially Recover
Since 1990, SSEK Law Firm has achieved some form of financial recovery for most of our clients, which have numbered in the thousands. Through arbitration, litigation, negotiation, and mediation, we have secured many millions of dollars in compensation, damages, and costs on their behalf.
In Grand Junction, Moffat, Telluride, Cortez, Vale, Palisade, Gunnison, Steamboat Springs and everywhere else in the region, our Western Colorado investment fraud lawyers would like to offer you a free, no-obligation case consultation. Contact us online or call (970) 239-7085.
We also represent Colorado investors in the rest of the state. Call our Denver broker fraud arbitration and litigation attorneys at (720) 439-2827.