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Samuel B. Edwards
  • Arbitration & Mediation, Stockbroker & Investment Fraud, Securities Law
  • California, Michigan, Texas
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Sam Edwards is a partner at 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.

The cases Mr. Edwards has worked on include claims for unsuitable investment recommendations, churning, misrepresentations and outright fraud. The investments involved have varied from simple stocks and bonds to more complicated annuities, options and futures to even extremely complex derivatives such as structured products, CMOs, IOs, Inverse IOs, CDOs, CLOs, synthetic CDOs, Credit Default Swaps and hedge funds. Mr. Edwards has represented clients before FINRA (previously NASD and the NYSE), AAA and JAMS arbitration panels, as well as state and federal courts all around the country.

Mr. Edwards is an active member of the Public Investors Arbitration Bar Association (“PIABA”), working with attorneys across the nation to protect investor rights. He is currently a member of the PIABA Board of Directors and was the previous editor and chief of the PIABA Bar Journal where he is also a regular contributing author. Along with the PIABA Bar Journal, Mr. Edwards’ articles have been published in the Practicing Law Institute’s handbooks for securities and a number of other resources. Mr. Edwards is also a frequent lecturer on all issues related investment disputes and securities law, helping to train attorneys nationwide to represent wronged investors.

Practice Areas
  • Arbitration & Mediation
  • Stockbroker & Investment Fraud
  • Securities Law
Additional Practice Area
  • Broker Misconduct
  • Free Consultation
  • Contingent Fees
Jurisdictions Admitted to Practice
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  • English: Spoken, Written
Professional Experience
Shepherd Smith Edwards & Kantas, LLP
USA Securities Fraud site
Georgetown University Law Center
LL.M. (2015) | Masters in Securities Law and Financial Regulation
Honors: With distinction, Thomas B. Chetwood S.J. Prize
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University of Houston - Main Campus
Honors: Cum Laude
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University of Texas - Austin
B.A. (1998)
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Super Lawyer
Super Lawyers
Rising Star
Super Lawyers
2008-2011, 2013-2104
Professional Associations
Michigan State Bar # P72583
- Current
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California State Bar # 237500
- Current
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Public Investors Arbitration Bar Association
Executive Vice President/President Elect
- Current
Activities: Board of Directors Former Editor-in-Chief of the PIABA Bar Journal
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State Bar of Texas
- Current
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Speaking Engagements
Handling Motions to Vacate, Eligibily Motions and Statutes of Limitations in FINRA Arbitration Cases and Related Court Proceedings, PIABA Annual Meeting, Austin, Texas
Legal Answers
3 Questions Answered

Q. I am looking for several TOP lawyers/firms with extensive experience relative to Brokerage firm Fraud.
A: Brokerage firm fraud is the focus of our lawfirm. You can read more about us at Please feel free to reach out to me at (800) 259-9010 or
Q. If someone passes away with a mortgage can their children just give the house back to the bank and walk away?
A: Generally, yes, you can turn the house back over to the bank. The bank would typically have you sign a deed in lieu of foreclosure form. However, that is often not the best option. There are investors who specialize in buying properties "subject to" an existing mortgage and they will take over the payment, fix up and sell the house. That could save issues related to the bank trying to come back and obtain from the estate any deficit from what the bank obtains in a sale versus what is owed. Might even find a nice investor to work with you for living arrangements, etc., as needed, if there is reasonable equity in the house.
Q. Is it legal to create contracts regarding loans to someone for the purpose to use that money to trade stocks?
A: There is nothing inherently illegal or unenforceable for a contract concerning trading stocks. However, there are a lot more questions that would need to be answered in order to know for sure, including what state you are in. There may be a requirement for the person doing the investing to be a Registered Investment Advisor, depending on the state and the number of people the person is doing this for (most states have a de minimus exception to registration). Even if the contract is unenforceable, it still would not typically allow the person taking the money to invest to just ignore it. The money would still have to be repaid, regardless of the legality or enforceability of the full agreement.
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Contact & Map
Shepherd Smith Edwards & Kantas, LLP
Main Office
1010 Lamar St
Houston, TX 77002
Telephone: (713) 227-2400
Fax: (713) 227-7215
Shepherd Smith Edwards & Kantas, LLP
San Francisco Office
By Appointment Only
1 Embarcadero Center
San Francisco, CA 94111
Telephone: (415) 623-2002
Shepherd Smith Edwards & Kantas, LLP
Los Angeles Office
By Appointment Only
1800 Century Park E
Los Angeles, CA 90067
Telephone: (310) 789-5822
Shepherd Smith Edwards & Kantas, LLP
New York Office
By Appointment Only
14 Wall St
20th Floor
New York, NY 10005
Telephone: (212) 618-1330
Shepherd Smith Edwards & Kantas, LLP
Detroit Area Office
By Appointment Only
100 W Big Beaver Rd
Troy, CA 48084
Telephone: (248) 526-3319