Recovering Funds From Investment Professionals Lost Through Mismanagement or Other Wrongdoing

Legal Area:        Securities Financial Regulation Business Consumer Litigation Trial
Total Credit Hours:        1.50
Ethics Credit Included:        0.00
Registration Fee:        $35.00
Course Materials:        textaudiovideo
Session END DATE:        10/31/2019

** available any time of day and in time increments convenient to you through end date above **

Investment losses can have a huge impact on clients. Many do not recognize there are options for recovering investment losses when those losses are the result of mismanagement or other wrongdoing., together with the Houston Bar Association, are pleased to present a special online CLE program designed to cover the different types of investment professionals, the different forums where clients can bring an action and the various causes of action that can be asserted in investment loss cases, including the standard of care for the different types of financial professionals. This course features streaming video and audio (as well as downloadable MP3 audio) presentations from a live CLE seminar on this topic that was originally conducted by the Houston Bar Association on May 4, 2017. You can access this presentation on demand at any time during the course of the seminar session.

Some of the subjects for this course include:

    • Introduction

    • Securities Laws and Other Important Laws for Investors

    • Types of Defendants / Respondents in Investment Disputes

    • Regulators

    • Types of Investments

    • Causes of Actions Due to Broker Misconduct

    • Forums

    • Life of a FINRA Claim

    The speaker for this course is Samuel B. Edwards, who is an attorney with the firm of Shepherd Smith Edwards & Kantas LTD LLP.  Sam Edwards is a partner is SSEK and has developed a wide-ranging practice representing individuals and institutions from the United States and almost every continent in the world in investment and financial disputes. Over the last decade, that representation has included hundreds of clients who range from retirees that have lost their life savings, to community banks and credit unions who have been defrauded by Wall Street in investment schemes or bad products, to states and municipalities defrauded by investment banks.


    Georgetown University Law Center, LL.M, with Distinction – Masters in Securities Law and Financial Regulation
    University of Houston Law Center, J.D., with honors
    University of Texas, B.A.

    Honors and Awards

    Super Lawyer and Rising Star- Samuel Edwards was selected as a Super Lawyer by his peers from 2013-2014. He was also selected as a Rising Star from 2008-2011. Super Lawyers and Rising Star recognitions are a Thomson Reuters service. Thomas B. Chetwood S.J. Prize – For graduate in Masters in Securities Law and Financial Regulation with the highest grade point average – Georgetown University Law Center. An extensive biography for Mr. Edwards may be found on his firm's website.


    This course is approved for credit by the MCLE Committees of the STATE BAR OF TEXAS and the STATE BAR OF CALIFORNIA (MCLE Provider #8648).
    These are not self-study credits, but rather 'participatory' credits as you would receive for attending a traditional, live CLE seminar.

    In addition, regular CLE credits for this seminar may also be available in a number of other states through CLE Reciprocity, such as FLORIDA, or as an "Approved Jurisdiction", such as TENNESSEE. * Please check with the Tennessee State Bar for accreditation information. *

    If you are new to and you would like to register for this course, please click this link to see some brief instructions on how to 'SIGNUP' as a new user and register for this (or any other) seminar. If you were given a Discount Code for this course, be sure to enter it on the Shopping Cart page once you have added this course to your shopping cart and click the 'Update' button.

    PLEASE REMEMBER-- All of our online CLE courses are covered by our 'Full Satisfaction' guarantee. If for any reason you are dissatisfied with this or any other seminar, we will gladly issue you a prompt refund. Thus, you have nothing to lose in trying one of our convenient online CLE seminars. If you have never participated in an online seminar before, we think you'll be pleasantly surprised!


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