Broker Misconduct Attorneys

How Can You Avoid Investment Fraud?

Our Savvy Broker Misconduct Attorneys Help Investors Recover Damages

According to the US Securities and Exchange Commission (SEC), there are preemptive measures you can take to minimize your chances of becoming the victim of investment fraud, such as:

• Conducting your research into the investment opportunity being marketed to you.
• Looking up the professional you are thinking about working with You want to make sure this financial advisor is a registered representative with a brokerage firm or investment adviser and is licensed to sell securities in your state. It is also important that you find out whether they have a history of regulatory violations or previous claims brought by customers alleging broker fraud or negligence.
• Not succumbing to pressure sales tactics to invest now, because, supposedly, you will lose out on this “hot” opportunity otherwise.
• Staying away from investment opportunities that promise you high returns along with no risk. There is always a risk and no returns are ever a “guarantee.”
• Being suspicious of unsolicited investment opportunities that came to you by phone, email, or social media.
• Continuing to monitor the activity in your brokerage account even when you are working with a financial professional.

Unfortunately, even with these measures, investment fraud can still happen. The perpetrator may be the financial advisor you entrusted to manage your portfolio. Or, even if outright misappropriation wasn’t involved, broker negligence can still lead to serious investment losses.

Shepherd Smith Edwards and Kantas Broker Misconduct Attorneys can help you explore your legal options to help you determine whether your investor losses warrant grounds for a broker fraud lawsuit. Whether due to outright theft or broker misconduct, including unsuitability, churning, unauthorized trading, failure to conduct due diligence, misrepresentations, omissions, or some other action (or lack of action) by your financial advisor, you may be able to sue for damages.

Why Not Just Report The Investment Fraud Involving Your Broker To the SEC or FINRA?

While it is important to notify regulators about what happened—and perhaps even the authorities if criminal actions were involved—if you want to maximize your chances for a full recovery, your best chance for that is to file a securities fraud lawsuit against your broker-dealer.

For over 30 years, our savvy Broker Misconduct Attorneys have been representing investors against the broker-dealers responsible for their losses. We have collectively recovered many millions of dollars for thousands of clients.

When you hire Shepherd Smith Edwards and Kantas Broker Misconduct Attorneys, you can count on receiving seasoned quality securities law representation and personalized attention. Call (800) 259-9010 today to schedule your free, no-obligation case assessment.