FINRA

FINRA Arbitrator Lawyers

Published on: May 7, 2024 | by Shepherd Smith Edwards & Kantas, LLP

GWG L Bonds Unsuitable For “Perhaps Anyone” Declares FINRA Arbitrator. Investor Awarded Almost $100K Against Greenberg Financial Group

The FINRA arbitrator who ordered brokerage firm Greenberg Financial Group and its longtime financial advisor David Michael Sherwood to pay $102K (including damages, fees, and interest) to a claimant called GWG L Bonds “not a suitable investment for the {client} or perhaps anyone.” These high-risk junk bonds, issued by GWG Holdings, were marketed and sold by approximately 40 regional brokers to retail investors, including retirees and seniors, all over the United States.

GWG, which filed for Chapter 11 bankruptcy protection in 2022, is accused of operating a more than $1.6B Ponzi scam. Meanwhile, L Bond investors, who thought they were buying into safe life settlement bonds, have found themselves with significant losses.

Annuity Loss Attorneys

Published on: August 1, 2023 | by Shepherd Smith Edwards & Kantas, LLP

I’m A CB Life Annuity Investor. Can I Sue My Citizens Securities Broker For My Losses?

Brokerage Firm Allegedly Sold Colorado Bankers Life Insurance Annuities To Retirees and Seniors

If you are one of the tens of thousands of investors whose funds have been frozen in a CB Life annuity from Colorado Bankers Life Insurance, you may be able to sue your broker-dealer for your losses. Dozens of brokerage firms are believed to have sold this financial product to investors, many of them older investors and retirees. The insurer remains in rehabilitation.

Illinois FINRA Attorneys

Published on: May 1, 2023 | by Shepherd Smith Edwards & Kantas, LLP

From Our Chicago Securities Law Offices, our Illinois FINRA Attorneys Represent Investors Against Broker-Dealers

For more than 30 years, Shepherd Smith Edwards, and Kantas (investorlawyers.com) have been fighting for investors throughout Illinois in helping them to pursue the damages they are owed from the brokerage firms that caused their investment losses. This includes representing them in FINRA arbitration, which is where such claims against broker-dealers and their registered representatives are usually brought.

Our trusted Illinois FINRA law firm knows how devastating it can be to suffer serious portfolio losses, which is why we are here to help. We work with retail investors, retirees, senior investors, accredited investors, high-net-worth individual investors, ultra-high-net-worth individual investors, and institutional investors that were the victims of broker misconduct or negligence.

New York FINRA Attorneys

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

New York FINRA Attorneys Representing Investors Against The Largest Broker-Dealers on Wall Street

Shepherd Smith Edwards and Kantas (investorlawyers.com) represent New York investors and others against broker-dealers all over the state, including the biggest Wall Street firms. In addition to our Buffalo securities law office, we have branch offices throughout the United States.

If you live in the Empire States and would like to explore your legal options, contact our seasoned Buffalo FINRA attorneys today to request your free, no-obligation case consultation.

Kentucky FINRA Attorneys

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Kentucky FINRA Attorneys From Our Lexington Securities Law Office, We Represent Investors Against US Brokerage Firms

If you are a Kentucky investor who has suffered serious portfolio losses that you suspect may have been due to the wrongful or negligent actions of your financial advisor, it is important that you speak with a skilled Kentucky FINRA Attorneys right away. At Shepherd Smith Edward and Kantas (investorlawyers.com) we can help you explore your legal options.

With our securities law firm conveniently located in Lexington, we work with investors throughout the state. We represent clients not just against Kentucky-based brokerage firms but also against broker-dealers all over the United States.

Western Colorado FINRA Attorneys

Published on: February 28, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Represents Investors Against Brokerage Firms

With our securities law office located in Ridgway, our trusted FINRA lawyers represent investors throughout the Western Colorado Slope, including Telluride, Steamboat Springs, Grand Junction, Cortez, Gunnison, and Moffat in recouping damages from their brokerage firms and financial advisors. Unfortunately, investment losses caused by stockbroker negligence or misconduct happen way too often, which is why Shepherd Smith Edwards and Kantas (investorlawyers.com) has dedicated its entire law practice to helping retail investors, retirees, elderly investors, wealthy investors, institutional investors, and others to pursue financial recovery through arbitration, litigation, and mediation.

What Is FINRA Arbitration and How Might Our Experienced Western Colorado FINRA Attorneys Help?

Oregon FINRA Attorneys

Published on: February 28, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Represent Investors in Recouping Their Broker Fraud Losses

Suffering serious investment losses is never easy, especially when this could have been avoided were it not for the negligent or wrongful actions of your financial advisor. At Shepherd Smith Edwards and Kantas (investorlawyers.com) we represent Oregon investors against brokerage firms all over the United States in pursuing damages for the financial harm they have suffered because of broker misconduct.

To schedule your free, no-obligation case assessment, contact our Portland investment fraud and securities law firm at (971) 285-3075.

Houston FINRA Attorneys

Published on: February 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Headquartered in Houston, Shepherd Smith Edwards and Kantas Represents Texas Investors and Others in Suing Brokerage Firms

Since 1990, our Houston FINRA lawyers have represented investors throughout Texas who have suffered investment losses caused by financial advisor misconduct, fraud, or negligence. Led by Shepherd Smith Edwards and Kantas Senior Partners and securities attorneys Sam Edwards and Kirk Smith, our knowledgeable team of lawyers, paralegals, and legal assistants is focused exclusively on helping retail investors, high-net-worth investors, retirees, and institutional investors in recouping the damages they are owed by their broker-dealers.

For most investors, this means filing a securities fraud lawsuit against their brokerage firm and possibly even their stockbroker, in Financial Industry Regulatory Authority (FINRA) arbitration.

Broker Fraud Lawsuit

Published on: February 2, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Can You Sue Your Broker Over Your Investor Losses?

Filing A FINRA Lawsuit With the Help of Skilled Broker Fraud Lawsuit Attorneys

If you suffered investment losses that you believe were caused by the wrongful or negligent actions of your financial advisor, you may be able to pursue damages from them through Financial Industry Regulatory Authority (FINRA) arbitration. In this forum, you can submit your securities fraud lawsuit which will be heard by a panel of FINRA arbitrators.

Dallas FINRA Attorneys

Published on: February 2, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edward and Kantas Has Been Fighting For Texas Investors For Over 30 Years

Since 1990, our Dallas FINRA lawyers have been representing investors pursuing damages caused by broker fraud or negligence. With our unparalleled experience in securities litigation, Shepherd Smith Edwards and Kantas (investorlawyers.com) has helped thousands of Texas investors, as well as investors throughout the United States, in obtaining financial recovery from their brokerage firms through arbitration, mediation, and litigation.

For many of our clients, this has meant filing a FINRA lawsuit against their broker-dealer, and possibly, their financial advisor. Financial Industry Regulatory Authority (FINRA) arbitration is the forum where your legal case will likely be heard. The reason why you are limited from going to court is you more than likely signed a pre-arbitration clause in your contract with the brokerage firm in which you agreed to arbitrate any dispute you had with them.