Denver Broker Fraud Attorneys
We Represent Colorado Investors Who Have Suffered Losses Due To Financial Advisor Misconduct
For over 30 years, our trusted Denver Broker Fraud Attorneys have been helping investors from all walks of life to recoup their losses from the broker-dealers responsible. Unfortunately, financial advisor misconduct does happen more often than you would think. It is one of the reasons our own seasoned securities lawyers, many of whom used to be former brokers, left that industry and now choose to exclusively fight for investors while protecting their right to financial recovery.
If you are a Colorado retiree, a retail investor, a senior investor, a high-net-worth individual investor, or an institutional investor, Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you explore your legal options.
How Do You Know If You’ve Been The Victim of Broker Fraud?
Honestly, it can be tough to know for certain whether your investment losses were due to the wrongful or negligent actions of your financial advisor unless you have seasoned broker-dealer negligence lawyers working with you. Investing always comes with some risk—and if you are being told to invest in something that supposedly carries “no risk” while guaranteeing returns, run the other way because such promises are red flag indicators of possible fraud.
Market turmoil or adverse events can also lead to investment losses.
However, if your broker in any of the following and this contributed to you suffering significant portfolio losses, you may, in fact, be the victim of some type of stockbroker fraud.
- Made unsuitable investment recommendations that were too high-risk given your financial goals, risk tolerance level, or age.
- Did not give you a full picture of said risks.
- Invested too much of your money in one particular kind of investment (this is called overconcentration).
- Engaged in unauthorized trades in your account.
- Excessively traded in your account so they could earn more commissions (this is also known as churning).
Other common examples of broker misconduct include selling away, failure to supervise, misappropriation, due diligence failures, and much more.
What Should You Do If You Are an Investor in the Rocky Mountain Region Who Lost Money Because of Suspected Financial Advisor Misconduct?
Do NOT try to seek financial resolution directly with your broker-dealer. It is rare, if at all, that a financial firm will easily admit to wrongdoing or negligence. Some have even been known to try to undermine your claim or place the blame elsewhere, including on you.
If you can, gather any documentation, including communication exchanges you may have had with your financial advisor. Try to note down what may have been said between the two of you about your investing wishes, any financial recommendations that were made, and what they told you about them.
Contact our Denver broker fraud law office to schedule your free, no obligation case assessment.
What To Expect From Working With Our Denver, CO Financial Advisor Misconduct Attorneys?
Quality securities law representation: Our Colorado securities attorneys, legal assistants, consultants and other team members have over a combined 100 years’ worth of experience working in securities law and the securities industry. We have spent decades fighting for investors in arbitration, mediation, and litigation. We represent those who have suffered losses in all kinds of investments—from mutual funds and stocks to structured products, alternative investments, and securities involving complex options trading strategies. Shepherd Smith Edwards and Kantas has sued the largest Wall Street brokerage firms on behalf of investors and won.
Personalized attention: When you work with us, you are retaining our entire law firm and not just one overworked attorney. You can count on knowing that we will make sure that your broker fraud case receives the attention it deserves. By the time we’ve thoroughly investigated your losses, conducted our thorough discovery, filed your investor loss lawsuit, and presented your claim before the FINRA arbitration panel—because that is likely where your lawsuit will go if a settlement isn’t reached first—even the panelists will understand who you are and the devastating impact that broker fraud has had on your finances and your life.
Over the years, more than 90% of the investors we have represented have obtained full or partial financial recovery with our help. This equates to thousands of investors collectively getting back many millions of dollars from broker-dealers and investment advisors.
How To Contact Our Stockbroker Fraud Attorneys
Call (720) 439-2827 or (800) 259-9010 today.
Denver Broker Misconduct Law Firm:
1700 Lincoln St #2710
Denver, CO 80203