Shepherd Smith Edwards & Kantas LTD LLP

We have also served many international clients, partitularly from Latin America. FINRA Rules governing the jurisdiction of U.S. based brokerage firms require that international clients with brokerage accounts at FINRA registered firms must file all claims for relief in arbitration cases at locations within the United States.
Over the years, legal commentary and analysis by current and/or former...

Most of our attorneys also worked as licensed securities brokers at major brokerage firms, some serving as vice president and/or in supervision and compliance at those firms. Most of the members of our staff and consultants also worked at investment and brokerage firms and many of them were also licensed representatives and/or supervisors. Collectively, the members of our team have worked for...