Portland Office

Martindale Hubbell Client Review

Office Hours: 8 AM to 6 PM (Pacific Daylight Time / GMT-7)

Our savvy Portland securities lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) represent Oregon investors in their investment fraud claims against the financial firms and registered representatives. For 30 years, SSEK Law Firm has helped thousands of investors, recovering many millions of dollars for them.

Call our Portland office at (971) 285-3075 today to request your free case consultation.

In order to do business in the state of Oregon, a brokerage firm must obtain a license to operate in the state. The Division of Financial Regulation not only grants these licenses, but also regulates broker-dealers, their registered representatives, and the products that they sell.

Unfortunately, having a state regulator or even federal regulators, such as the US Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA), oversee broker-dealers is not enough to prevent stockbroker fraud or negligence. There is also no guarantee that these regulators can get your money back.

This is why it is so important that you work with our skilled securities attorneys in Portland who know how to pursue and prove your investor claim in FINRA arbitration, mediation, or litigation.

While theft or misappropriation most commonly comes to mind when people think of broker fraud, there are other ways in which a brokerage firm or its registered representatives can cause investors to suffer unnecessary losses. One of these ways is by making misrepresentations and omissions, which typically involves leaving out or misrepresenting key material facts about an investment.

A failure to properly disclose material information can cause an investor to buy a security or agree to an investing strategy that, unbeknownst to them, is too high-risk for their investment portfolio. Unfortunately, many Oregon investors have lost money because a stockbroker or investment advisor made misrepresentations or omissions.

Brokers and financial advisors have a duty to only recommend securities or trades that are in the best interests of a customer's financial goals, portfolio, life circumstances, and risk tolerance level. Unfortunately, many Oregon brokers and broker-dealers continue to make unsuitable investment recommendations to customers.

Essentially, a recommendation is unsuitable if it is not appropriate for the investor or their portfolio. Unsuitability may also refer to:

• Excessive trading in a customer's account in order to earn commissions
• Overconcentration of an investor's portfolio in too much of one type of investment
• Unauthorized trading

Often, securities fraud and broker negligence are enabled by a firm's failure to supervise its registered representatives and their activities. Our knowledgeable Portland securities lawyers have successfully gone up against some of the largest firms on Wall Street to recover damages and other losses for investors.

Working with our investment fraud attorneys will maximize your chances of getting back your losses caused by broker negligence or fraud. SSEK Law Firm represents retail investors, inexperienced investors, seniors, retirees, high net worth individual investors, sophisticated investors, and institutional investors in the following areas:

• Multnomah County
• Washington County
• Clackamas County
• Hood River County
• Crook County
• Grant County
• Douglas County
• And the rest of the state

Our team of securities lawyers, consultants, and others have over a century's worth of experience combined in securities law and the securities industry. Call our Portland office at (971) 285-3075 or fill out the contact form below: