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Shepherd Smith, Edwards & Kantas: Investment Losses During Recent Market Crisis May Be Recoverable

April 02, 2020

HOUSTON, April 02, 2020 (GLOBE NEWSWIRE) -- As investors throughout the US and Latin America are grappling with financial losses as markets remain volatile in the wake of the novel coronavirus (COVID-19), Shepherd, Smith, Edwards & Kantas (SSEK Law Firm) is investigating claims from investors regarding their financial losses related to the unsuitable investments in their investment portfolios.  While market response may not be in a stockbroker’s control, there may be other factors at play contributing to investment losses, including fraud or negligence.  Investor complaints where recovery may be possible generally include claims of: 

  • Unsuitable investment recommendations
  • Failure to execute trades and orders
  • Poor investment advice
  • Failure to recommend the sale of a stock
  • Unauthorized trading
  • Failure to supervise
  • Overconcentration
  • Churning
  • Investment in riskier investments than originally disclosed
  • Trades made for the purposes of earning commissions for broker instead of client’s best interests
  • Sale of unregistered securities
  • Employment of an overly aggressive strategy for client’s portfolio or investment goals
  • Breach of contract
  • Selling away
  • Misrepresentations and omissions
  • Failure to take the necessary steps to safeguard investments during COVID-19

For investors who suspect they’ve been a victim of broker fraud, here are some steps you can take:

  1. Reach out to your stockbroker and/or broker-dealer to talk about your concerns. Notify your brokerage firm as soon as possible if you believe fraud or negligence may be at play.
  2. Begin compiling all documents and information related to the suspected fraud.
  3. Contact an experienced investment fraud law firm immediately for help in determining whether you have grounds for a case.  An investor fraud complaint is not the type of case that you want to pursue without experienced legal help.  The chance of financial recovery is much stronger if you have an experienced attorney representing you.  Keep in mind that filing an individual fraud or negligence claim, rather than going in on a class action securities fraud case if that is an option, may give you the best chance of maximizing your recovery.

Even as SSEK Law Firm takes the necessary steps to help “flatten the curve” and protect its team and clients from COVID-19, its investment fraud lawyers continue to offer free consultations to investors throughout the US and Latin America to discuss legal options.

Contact Info – 800-259-9010

Luis Acevedo:  lacevedo@sseklaw.com

Patty Ayala:  payala@sseklaw.com

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