FAQs

Below are answers to a few frequently asked questions with regard to bringing a law suit against your broker and his or her firm, and the services of Shepherd Smith Edwards & Kantas LTD LLP.

Disclaimer: Any words or data on this site shall NOT be deemed legal advice or direction. It is for informational purposes only.

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Common questions about stockbroker fraud, stockbroker mediation, arbitration and more.

• How Do I Know If My Broker Acted Negligently?
• What are CRD Numbers and Why are They Important?
• What is Stockbroker Fraud?
• My Broker May Have Misrepresented My Investment, What do I Have to do to Prove It?

Browse common questions about investment fraud.

• What are Some of the Common Signs of Investment Fraud?
• How Can I Recover Investment Losses?
• What are the Types of Investment Fraud?

Browse common questions about securities fraud losses.

• What is the Securities and Exchange Commission (SEC)?
• What is FINRA?
• What is Fiduciary Duty?
• What is a Hedge Fund?

Browse common questions about the arbitration process.

• How Much Will It Cost to File a Statement of Claim in an Arbitration Proceeding?
• Who Conducts the Arbitration Proceedings?
• Where is the Arbitration Proceeding Held?
• How Does Shepherd, Smith, Edwards & Kantas LTD LLP Set Its Fee?
• Can I Work Out a Legal Issue With the Brokerage Firm Without Involving Attorneys?
• I Live Outside the United States. Do I File in My Country or Where the Brokerage Firm is Located?
• Is It Worth all the Time and Trouble?
• What Happens After Winning an Arbitration Case?
• What is a Predispute Arbitration Clause?
• What Other Costs are Involved?
• What are My Odds of “Winning” a Case?
• How Does Arbitration Work?
• How Do I Sue My Broker Through FINRA Arbitration?

We offer a free, no obligation case consultation.