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I Am An Investor. The Broker I Suspect Defrauded Me Is Under Investigation by the SEC. Should I Still Sue? Find Out The Answer To That Question From Our Knowledgeable SEC Securities Fraud Lawyers

Shepherd Smith Edwards and Kantas SEC Securities Fraud Lawyers (investorlawyers.com) represent investors who sustained losses because of financial advisor fraud or misconduct. True, there are instances in which the broker under scrutiny might also be also under investigation by the US Securities and Exchange Commission (SEC) over the same or similar allegations of wrongdoing. As an investor, you might think this is all that is needed to hold the stockbroker liable for the financial harm that you suffered. However, that is not necessarily true.

One reason is there is no guarantee even with an SEC investigation that the broker will be found to have done anything wrong; or, even that happens, that you will end up getting all of your money back. Not only that, but the Commission has been known to reach settlements in enforcement actions with financial advisors that did not include any restitution. Also, with regulatory cases resulting in restitution, the victims who were harmed may not necessarily recoup all of their losses.