Brokerage Firms

Our law firm represents institutional and individual investors nationwide in claims against financial and securities brokerage firms.

Since 1990, Shepherd Smith Edwards & Kantas LTD LLP has represented thousands of institutional and individual investors nationwide in claims against hundreds of financial firms.  Our attorneys, staff and consultants have over 100 years of combined legal experience and, collectively, also worked more than 100 years in the securities industry.  We are therefore uniquely qualified to represent clients in all localities in claims against financial firms.  For a free consultation to discuss whether we can assist you to recover investment losses contact us.

On behalf of our clients, our lawyers have filed claims against financial firms for fraud,  negligence and a variety of other wrongful actions.  After an attorney has assessed a client's experiences at a financial firm and decided that action is warranted, a claim is then filed in arbitration or in court.  Each lawyer has a team to work closely with our clients and guide them through the process. 

Listed below are some of the hundreds of investment firms we have filed claims agianst on behalf of our clients.  Through each of these is provided a firm profile and additional information about that firm.  Also available is access to an alphabetical listing of every firm licensed to sell securities in the U.S.

AIG SunAmerica

AG Edwards & Sons

Ameriprise Financial - American Express Financial Advisors


AXA Advisors - AXA Financial

Banc of America Securities - Bank of America
Bear Stearns - Bear Stearns Clearing Corporation

Brookstreet Securities Corporation
  (Brookstreet en espanol)
Citigroup - CitiCorp - Smith Barney

Deutsche Bank - Alex Brown

Edward Jones - Edward D. Jones


Farmers Financial Solutions - Farmers Insurance

GunnAllen Financial, Inc.


H&R Block Financial Advisors           

Jefferies & Company

JP Morgan Chase - Banc One Securities


Linsco/Private Ledger (LPL) - LPL Financial Services

MetLife Securities, Inc.

Merrill Lynch - Merrill Lynch Pierce Fenner and Smith

Morgan Keegan & Co. - Regions Financial Corp.

Morgan Stanley - Dean Witter

Oppenhiemer & Company - CIBC Oppenheimer

Pacific Life Securities Subsidiaries

Raymond James & Associates - Raymond James Financial Services

RBC Dain Rauscher

Southwest Securities - SWS Group, Inc.


Securities America

UBS - UBS/PaineWebber

Wachovia Securities - Prudential Securities


Wedbush Morgan Securities


ADDITIONAL INVESTMENT FIRMS ( A - M )

ADDITIONAL INVESTMENT FIRMS ( N - Z )

Available below alphabetically is a list of  the name and address of each firm licensed by the National Association of Securities Dealers, Inc. (NASD) to sell securities in the United States, as of January 1, 2007.

A  -  B  -  C  -  D  -  E  -  F  -  G  -  H  -  I  -  J  -  K  -  L  -  M  

N
  -  O  -  P  -  Q  -  R  -  S  -  T  -  U  -  V  -  W  -  X  -  Y  -  Z

             

Contact Us

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