Overconcentration

Kentucky Overconcentration Lawyers

Published on: April 13, 2025 | by Shepherd Smith Edwards & Kantas, LLP

From Our Lexington, Kentucky Overconcentration Lawyers, We Represent Investors Whose Financial Advisors Excessively Concentrated Their Accounts

For more than 30 years, Shepherd Smith Edwards and Kantas Kentucky Overconcentration Lawyers (investorlawyers.com) have represented Kentucky investors who have sustained losses in their investment accounts because of overconcentration. This is a serious problem that occurs all too often and may have been avoided were it not for financial advisor misconduct or negligence. Contact our Lexington excessive concentration law firm to schedule your free, initial case assessment.

Overconcentration Can Lead To Serious Losses For Kentucky Investors

Mississippi Overconcentration Lawyers

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

SSEK Mississippi Overconcentration Lawyers Are Representing Magnolia State Investors Against Brokers and Investment Advisers

From our Gulfport, MS securities law offices, Shepherd Smith Edwards and Kantas (investorlawyers.com) represents Mississippi investors who sustained losses because of excessive concentration in their brokerage accounts. Overconcentration is a common problem that may have been avoided were it not for the poor, careless, or fraudulent decisions made by a financial advisor.

If you suspect that your losses may be due to a failure to diversify, you could have grounds for pursuing a Mississippi concentration claim against your broker-dealer. To explore your legal options, contact our Gulfport, MS overconcentration attorneys to set up your free, no obligation case assessment.

New Orleans Overconcentration Law Firm

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

The SSEK New Orleans Overconcentration Law Firm is Representing Louisiana Investors Who Were The Victims of Broker Negligence or Fraud

Shepherd Smith Edwards and Kantas (investorlawyers.com) are proud to represent investors from Bayou State who have been the victims of excessive concentration by their financial advisors. From our Metairie, LA securities law offices, we offer robust securities representation and personalized attention to retail investors, retirees, accredited investors, seniors, high-net-worth investors, ultra-high-net-worth investors, and institutional investors.

Why Overconcentration Is Unsuitable For Most Investors

Oregon Overconcentration Law Firm

Published on: February 12, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Portland, Oregon Overconcentration Law Firm. Our Broker-Dealer Attorneys Represent Oregon Investors Who Suffered Losses Because of a Failure To Diversify

From our Portland, OR securities law offices, the Shepherd Smith Edwards and Kantas Oregon Overconcentration Law Firm (investorlawyers.com) represent investors in Oregon who sustained portfolio losses because their stockbroker excessively concentrated their accounts. This is also known as overconcentration and it can lead to serious losses.

What Is Overconcentration As It Relates To Broker Misconduct?

Overconcentration Attorneys

Published on: July 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You The Victim of Overconcentration by Your Broker? Shepherd Smith Edwards and Kantas Overconcentration Attorneys Want To Talk To You

As an investor, you are always taking on a certain degree of risk. What you invest in is as important as whether or not your portfolio is properly diversified. This means making sure you aren’t placing all of your money in just one product or asset class especially if it is a high-risk one. As a matter of fact, according to market experts, diversification is considered a solid investing strategy and it can minimize the risk and magnitude of your losses if certain investments do poorly.

If you have hired a broker to manage your portfolio, it would be wonderful to think that they would automatically and properly diversify your assets according to your financial goals, risk tolerance level, age, investing experience, and other key factors. Unfortunately, that doesn’t always happen and many investors end up losing money because their financial adviser overconcentrated their account.

Overconcentration Attorneys

Published on: June 19, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Portfolio Losses Because Of A Failure To Diversify?

Our Skilled Overconcentration Attorneys Help Investors Pursue Financial Recovery

Financial advisors should know the importance of properly allocating an investor’s funds among different kinds of financial products, asset classes, or market sectors. Seeing as all investments come with some risk, proper diversification increases protection from serious losses because should one investment plunge in value, the hope is that the returns generated by the other financial products in the portfolio can help offset the overall impact on an investor’s money. In other words, to use a popular phrase, “Don’t put all of your eggs in one basket.”

RBC Capital Markets to Pay $1M Over Unsuitable High-Yield Bond Concentration in Customer Accounts

Published on: December 27, 2021 | by Shepherd Smith Edwards & Kantas, LLP

RBC Capital Markets Settlement With FINRA Includes a Fine and Restitution

RBC Capital Markets has reached an agreement with FINRA in which the broker-dealer will pay $1M to resolve allegations of overconcentration in customers’ accounts involving high-yield bonds. Without denying or admitting to the self-regulatory organization’s (SRO’s) findings, RBC consented to a censure, a $550K fine, and more than $456K in restitution.

According to FINRA, the brokerage firm did not identify over 100 client accounts with conservative profiles that should have been reviewed for a possible unsuitable concentration of high-yield bonds.