FINRA Arbitration

Broker-Dealer Negligence Law Firm

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

Can I Sue My Stockbroker For My Investment Losses?

A Seasoned Broker Fraud Attorney Can Help You Explore Your Legal Options

That depends. Anytime you invest you are taking on some risk. It is not uncommon to make losses and gains on your investment over time, especially depending on what is going on with the markets, and no one is necessarily at fault. However, if your financial advisor engaged in some type of broker misconduct or was negligent and this played a part in your portfolio losses, you may be able to sue them for damages in FINRA arbitration.

Brokerage Firm Arbitration Lawyers

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

When A Brokerage Firm Violates Investors’ Best Interests Through Alleged Misconduct

FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions

The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest (Reg BI). The self-regulatory organization (SRO) contends that between January 2018 and December 2021, the broker-dealer and its co-owner Thomas Diamante made purported misrepresentations and omissions related to the sale of private placement offerings of pre-IPO securities and also allegedly engaged in churning and committed supervisory failures. This excessive trading allegedly impacted multiple customer accounts, resulting in costs of over $350K and losses greater than $465K.

REIT Investor Loss Attorneys

Published on: May 30, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Peakstone Realty Trust Investors May Have Reason To Be Wary

Our Skilled REIT Investor Loss Attorneys Can Help You Explore Your Legal Options

With Peakstone Realty Trust (NYSE: PKST), formerly Griffin Realty Trust, recently joining the New York Stock Exchange, and the dramatic reduction to the net asset value that its stock traded at, investors may have reason for concern. While its trading shares briefly went up since the debut—starting at $8/share and at one point closing at $40.45/share, but eventually dropping to under $20.00 a share. However, previous to all of that, its most recent reported net asset value (NAV) was $66.87/share after a reverse stock split that occurred in March. Many investors paid more than the reported NAV.

Houston Broker Fraud Attorneys

Published on: May 30, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Houston Broker Fraud Attorneys

Representing Investors in Greater Houston and the Surrounding Areas Against Brokerage Firms

For over 30 years, our experienced Houston, TX broker misconduct lawyers have been fighting for investors throughout the state against the largest brokerage firms in the United States. Losing the money that you’ve invested is never easy and it is even more devastating when it is because of the wrongful or negligent actions of the financial advisor you entrusted to take care of your funds.

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.

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.

Mississippi FINRA Attorneys

Published on: February 7, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Has A Securities Law Firm in Gulfport and Represents Mississippi Investors Against Brokerage Firms

If you are a Mississippi investor who is wondering whether your broker-dealer and their financial advisor played a part in causing your portfolio losses, you will want to speak with our knowledgeable Gulfport FINRA lawyers. We can help you determine whether you have grounds for filing a securities lawsuit against the firm.

Your broker-dealer and financial advisor should be registered with the Financial Industry Regulatory Authority (FINRA), which has a forum where you would likely go to resolve your dispute. The reason for this is that when you agreed to the contract to work with your broker you also probably signed a clause in which you consented to resolve any disagreements through FINRA arbitration.

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.