Houston FINRA Attorneys

Since 1990, our Houston FINRA lawyers have represented investors throughout Texas who have suffered investment losses caused by financial advisor misconduct, fraud, or negligence. Led by Shepherd Smith Edwards and Kantas Senior Partners and securities attorneys Sam Edwards and Kirk Smith, our knowledgeable team of lawyers, paralegals, and legal assistants are focused exclusively on helping retail investors, high-net-worth investors, retirees, and institutional investors in recouping the damages they are owed by their broker-dealers.

For most investors, this means filing a securities fraud lawsuit against their brokerage firm and possibly even their stockbroker, in Financial Industry Regulatory Authority (FINRA) arbitration.

This is the forum in which disputes between brokerage firms and their customers are usually handled. You may not even realize this, but the agreement you signed when you decided to work with your registered financial advisor most likely included a pre-dispute arbitration clause. This means that you agreed to bring any potential claims against your broker to arbitration and not go to court.

Although less arduous, time consuming, and costly than the court system, the arbitration process has its own complexities, which is why you want experienced Houston FINRA attorneys representing you. Also, unlike in court where your case would be presided over by a judge and decided by a jury, in FINRA arbitration, a panel of up to three arbitrators will issue the ruling.

Visit FINRA Arbitration FAQs to find out more.

Once the arbitration panel issues a decision it is usually final, and you will have virtually no ability to appeal an outcome that is not in your favor. This is all the more reason why you want a securities law firm that is well-versed in the workings of these types of proceedings by your side from the start. Not only that, but in FINRA arbitration, discovery and motion practices are more limited, so it is very important that you retain legal representation that knows how to find the evidence you need to prove that you were the victim of broker fraud or negligence.

At Shepherd Smith Edwards and Kantas (investorlawyers.com), we have a combined over a century’s worth of experience working in the securities industry and securities law. We have represented thousands of investors throughout Texas, the United States, and also international clients with disputes against US-based brokerage firms. In addition to having successfully secured settlements and won awards for our clients in FINRA arbitration, we have done the same for investors through the American Arbitration Association, private arbitration, mediation, and litigation.

Most brokerage firms will never admit to wrongdoing or negligence unless they are forced to, and they will usually have a team of expensive attorneys fighting for their best interests so that they don’t have to be held liable for the harm suffered by their customers. This is yet another good reason for why you need dedicated broker fraud lawyers protecting you rather than trying to handle this matter alone directly with your brokerage firm or going through the arbitration process without seasoned legal representation.

When you retain Shepherd Smith Edwards and Kantas, you are bringing in a whole team of practiced securities lawyers, associate attorneys, support staff, and consultants to handle your claim. Brokerage firms know that we mean business when it comes to advocating for clients and proving that they are entitled to damages. Because a number of us used to be former brokers, we know the inner workings of that industry and some of the unsavory practices that have ensued. Over the years, more than 90% of the investors that we have represented have received full or partial financial recovery in awards and settlements.

Because our Houston FINRA lawsuit lawyers work on a contingency basis, we are only paid legal fees if we obtain financial recovery for you and these fees will not come out of your own pocket.

To schedule your free, no obligation case consultation, call our main securities law office at:

1010 Lamar Street #900
Houston, Tx 77002
(713) 227-2400

Or toll-free: (800) 259-9010