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.

GWG Investor Loss Attorneys

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

Our GWG Investor Loss Attorneys May Be Able To Help You

Investors File FINRA Lawsuit Seeking Up to $5M from NI Advisors

Shepherd Smith Edwards and Kantas (investorlawyers.com) is continuing to sue the brokerage firms that sold GWG L Bonds to investors. Most recently, this involved two securities fraud claims submitted in Financial Industry Regulatory Authority (FINRA) arbitration on behalf of:

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.

Colorado Annuity Loss Lawyers

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

Why Investors With Colorado Bankers Life Insurance Annuity Losses Should Contact Our Experienced Securities Lawyers

Shepherd Smith Edwards and Kantas Colorado Annuity Loss Lawyers Has Already Filed Dozens of Annuity Loss Lawsuits Related to Greg Lindberg-Owned Entities

If you are an investor who purchased annuities issued by Colorado Bankers Life Insurance Company or Bankers Life Insurance Company, you may be wondering how to recover your money, especially in light of a court’s order in late 2022 that placed both entities into liquidation. Both insurers are Global Growth entities and are owned by beleaguered insurance magnate Greg Lindberg.

Structured Product Loss Attorneys

Published on: January 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

How Our Skilled UBS Structured Product Loss Attorneys Can Help Investors

Brokerage Firm Negligence?: UBS Financial May Have Unsuitably Recommended Complex Risky Investments

Over the years, Shepherd Smith Edwards and Kantas (investorlawyers.com) have represented clients against UBS Financial in pursuing damages caused by broker fraud and negligence. This has included the brokerage firm allegedly unsuitably recommending investments that are too high-risk for customers or misrepresenting said risks and other key information about certain financial products and investing strategies.

FINRA Complaint Lawyers

Published on: January 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

What To Know When Filing a FINRA Complaint Against Your Broker

The Difference Between A FINRA Lawsuit and a FINRA Complaint

If you suspect that your financial advisor engaged in broker misconduct or negligence, then you may be considering filing a complaint with the Financial Industry Regulatory Authority Organization (FINRA). This non-profit organization, which regulates the US securities industry, investigates complaints brought against brokerage firms and their employees and, when warranted, issues disciplinary sanctions against them.

Colorado Trusted FINRA Lawyers

Published on: January 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Why Investors With Colorado Bankers Life Insurance Annuity Losses Should Contact Our Experienced Securities Lawyers

Shepherd Smith Edwards and Kantas Has Already Filed Dozens of Annuity Loss Lawsuits Related to Greg Lindberg-Owned Entities

If you are an investor who purchased annuities issued by Colorado Bankers Life Insurance Company or Bankers Life Insurance Company, you may be wondering how to recover your money, especially in light of a court’s order in late 2022 that placed both entities into liquidation. Both insurers are Global Growth entities and are owned by beleaguered insurance magnate Greg Lindberg.

California FINRA Attorneys

Published on: January 18, 2023 | by Shepherd Smith Edwards & Kantas, LLP

California FINRA Attorneys

With Our Securities Law Office in San Diego, Shepherd Smith Edwards and Kantas Represents California Investors Who Have Been The Victims of Broker Fraud or Negligence

If you have suffered investor losses caused by the wrongful or negligent actions of your brokerage firm and/or their registered representative, you may want to file a Financial Industry Regulatory Authority (FINRA) arbitration lawsuit for damages. At Shepherd Smith Edwards and Kantas (investorlawyers.com) our skilled California FINRA Attorneys are here to fight for investors like you.

Kentucky Securities Fraud Law Firm

Published on: January 10, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Opens Securities Fraud Law Firm Branch in Lexington, KY

Representing Kentucky Investors Against Brokerage Firms Throughout the United States

Our seasoned securities litigation attorneys at Shepherd Smith Edwards and Kantas (investorlawyers.com) are pleased to announce that we now have a law office in Lexington. While we’ve represented investors throughout Kentucky for over 30 years, local clients can come to our new location conveniently located on E. Reynolds Road.

Why You Want To Work With Our Skilled FINRA Attorneys

Published on: December 30, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Recoup Your GPB Investor Losses in Securities Arbitration

If you are an investor who suffered losses in GPB Capital Holdings, you may be able to sue your broker-dealer for unsuitably recommending these private placements that allegedly were part of a more than $1.7B Ponzi scam. Unfortunately, over 17,000 investors, including many retail customers and older retirees, were purportedly persuaded by their broker-dealers that investing in one of the GPB Funds was a solid investment opportunity. Instead, they have suffered significant investment losses. Meanwhile, GPB Capital’s key executives are facing regulatory and criminal charges along with lawsuits brought by investors.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing GPB Capital investors in the Financial Industry Regulatory Authority (FINRA) arbitration against the broker-dealers that sold private placements in one or more of the GPB Funds to customers. Some of these brokerage firms have even been subject to related regulatory sanctions.