Kentucky Broker Fraud Attorneys

Kentucky Broker Fraud Attorneys

Our Lexington, KY Securities Law Firm Is Here To Help Investors Recoup

To suffer investment losses can be devastating. When those losses were caused even in part by a financial advisor that you entrusted to keep your assets safe, the sense of betrayal and perhaps even the wondering of what you could have done to protect yourself may arise.

It is important to know that none of this is your fault. As fiduciaries, your broker-dealer and their registered representative owed you certain obligations. When broker misconduct or negligence breaches those duties and you end up losing money because of this, you may have grounds for filing a lawsuit seeking damages from your broker-dealer.

At Shepherd Smith Edwards and Kantas (investorlawyers.com), we represent Kentucky investors throughout the Bluegrass State in pursuing financial recovery from the brokerage firms and financial advisors responsible. This is not the type of lawsuit that you want to pursue without experienced securities law representation.

Contact our Lexington, Kentucky broker-dealer negligence attorneys so that we can help you explore your legal options.

What Is Stockbroker Fraud?

While the term can refer to a financial advisor purposely seeking to defraud their client and steal their money, broker fraud may also involve financial advisor misconduct or negligence whether on purpose or due to the carelessness, ignorance, or inexperience of the registered representative. Here are common examples:

Unsuitability
Churning
Overconcentration
Failure to diversify
Unauthorized trading
Failure to supervise
Misrepresentations
Omissions
Breach of fiduciary duty
Elder financial abuse
Breach of contract
Failure to conduct proper due diligence

It can be hard to know whether broker misconduct was a factor in your investor losses, which is why you should consult with our seasoned Lexington, KY financial advisor fraud attorneys. Not only can we evaluate whether you do have legal grounds for filing a FINRA lawsuit against your brokerage firm, but also, should we agree to work together, we will provide you with quality securities law representation that will maximize your chances of a full financial recovery.

Why Not “Save” On Legal Fees and Try To Resolve Your Broker Negligence Dispute With Your Broker-Dealer?

It is not advisable that you try to settle any broker misconduct claims directly with a brokerage firm. You would be hard-pressed to find one that will readily admit to wrongdoing because usually, they will want to protect themselves from liability. (Also, who knows how many other customers might come forward if they too were financially harmed for the same reason.) Some broker-dealers may even try to string you along until they’ve wasted enough of your time that it becomes too late for you to file your securities fraud lawsuit.

With the help of our savvy Kentucky broker-dealer fraud lawyers, your right to financial recovery will be protected. With over 30 years exclusively representing investors against financial firms, we have the resources and skills to file a solid investor loss claim on your behalf and fight for you whether in arbitration, mediation, or litigation. Not only that but as Shepherd Smith Edwards and Kantas Senior Partner and Kentucky broker misconduct attorney Kirk Smith noted, “Most of the members of our staff and consultants used to work at investment and brokerage firms and many of them were also licensed representatives and/or supervisors. Collectively, the majority of us have worked for dozens of securities firms. This includes nearly every major Wall Street brokerage firm.” We harness our knowledge as former insiders to benefit our clients now.

As for legal fees, you should know that we work on a contingency basis. This means that you will only ever pay us legal fees if we recover funds for you and this money will never come out of your own pocket. Instead, it will be a percentage of the amount recovered. If there is no recovery then you pay us nothing.

More than 90% of the investors we have represented have received full or partial financial recovery when they hired our Lexington, KY securities law firm.

How To Contact Our Kentucky Broker Fraud Attorneys:

To schedule your free, no-obligation case assessment call (859) 810-0266 or (800) 259-9010.

Our Lexington, Kentucky Broker Fraud Attorneys Office:

216 E Reynolds Road, #C
Lexington, KY 40517