Investor Lawyers Blog

Elderly New York Investor Files Six-Figure Easterly ROCMuni Fund Lawsuit Against Osaic Wealth

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Law Firm Is Representing This Claimant In FINRA Arbitration

A Brooklyn widow in her eighties is suing Osaic Wealth for up to $500,000 in damages for losses she suffered in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this New York Claimant. We are also representing other investors against the broker-dealers that unsuitably recommended this high-risk, speculative investment.

This Claimant had an account with Osaic that was supposed to provide for her income each month. Unfortunately, by the end of May 2025, her Osaic Wealth broker Sergio Kindler had concentrated two-thirds of her account into the Easterly ROCMuni Fund.

ATTENTION: Easterly ROCMuni High Income Fund Investors Who Have Sustained Serious Losses

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Easterly ROCMuni Fund Fraud Lawyers Are Representing Claimants Against US Broker-Dealers

If you are an investor who suffered serious losses in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX), Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. Already, we are representing a number of claimants in their six- and seven-figure investment loss recovery lawsuits against the brokerage firms that marketed and sold this high-risk, speculative junk bond.

The Easterly ROCMuni Fund is purportedly primarily invested in tax-exempt debt securities and illiquid bonds that have little to no financial history to support issuance. This makes it more of a junk bond than a municipal bond, especially given that the majority of the investments in the Fund are junk or below investment grade.

Texas Couple Files $5,000,000 Structured Product Lawsuit Against Merrill Lynch

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Houston Securities Law Firm Is Representing These Investors In FINRA Arbitration

Due to what we believe was a blatant commission grab by Merrill Lynch, Pierce, Fenner & Smith and its broker Philip Wayne Jones, two Texas investors have suffered extreme portfolio losses involving complex structured notes and the purported churning of mutual funds. Now, they are suing the brokerage firm for more than $5,000,000. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing these claimants in their investment loss recovery claim.

Our clients, a married couple with limited investing experience, entrusted their money to Merrill Lynch and this Houston financial advisor. Philip Jones, who has been with the brokerage firm as a broker and investment adviser for over 30 years, is not a Respondent in this structured product lawsuit.

Our SF Bay Area Broker Fraud Attorneys Help Investors Pursue Claims Against Broker-Dealers

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our San Francisco Overconcentration Law Firm Helps Investors Pursue Claims Against Broker-Dealers

If you are a California investor whose portfolio has too many of one investment or the same kinds of investments, you may have an overconcentrated account that could make you vulnerable to suffering serious losses. At Shepherd Smith Edwards and Kantas (investorlawyers.com), our San Francisco, CA excessive concentration law firm is here to help.

What Is Overconcentration and Why Is It Usually An Inappropriate Investing Strategy?

SSEK Represents Delaware Statutory Trust (DST) Investors In Recouping Their Portfolio Losses

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Delaware Statutory Trust Fraud Attorneys Represent Delaware Statutory Trust (DST) Investors In Recouping Their Portfolio Losses From Brokerage Firms

Contact Us Today To Schedule Your Free Case Consultation

If you are an investor who has suffered losses in a Delaware Statutory Trust (DST), Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. A Delaware Statutory Trust is an alternative investment that is unsuitable for most retail investors and even some wealthy investors. They should only be sold to accredited investors.

Easterly ROCMuni Fund Investor Sues Stifel, Nicolaus & Co

Published on: September 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Easterly ROCMuni Fund Investor in Paducah, KY, Who Worked With Stifel Broker Adam Chustz, Sues Stifel, Nicolaus & Co. For Up To $5,000,000

Shepherd Smith Edwards and Kantas Is Representing This Claimant and Many Other Easterly Fund Investors

Our seasoned securities law firm is representing another former customer of Stifel, Nicolaus & Co. (“Stifel”) broker Adam Michael Chustz (“Chustz”) over massive losses sustained in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX). The claimant, an elderly widow with little investing experience, is suing the broker-dealer for up to $5,000,000 in damages in FINRA arbitration.

Investor Sues Emerson Equity Over Inspired Healthcare Capital Losses

Published on: September 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Investor Sues Emerson Equity And Its Brokers, Under The Moniker “The Sherer Group” Over Inspired Healthcare Capital Losses. Shepherd Smith Edwards and Kantas Inspired Healthcare Capital Fraud Lawyers are Representing This Retiree in His 7-Figure Investment Loss Lawsuit

Another investor is suing Emerson Equity and its brokers Timothy John Sherer, Ryan Jonathan Sherer, Dominic Julio Baldini, Patrick Wang Lam, and Zhi Ying Guan over losses sustained in the beleaguered Inspired Healthcare Capital (IHC). The alternative investment firm is under regulatory investigation by the US Securities and Exchange Commission (SEC).

In his FINRA arbitration claim, this retiree is requesting up to $1,000,000 in damages. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this claimant. We are also representing other IHC investors against Emerson Equity and these same brokers, including a couple that are pursuing up to $5,000,000 in damages.

Broker Dealer Negligence Lawyers

Published on: August 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Investigates Webull Financial After Unauthorized Third Party Allegedly Ran Pump and Dump Scam Involving TLIH Shares In Customers’ Accounts

Our Broker Fraud Law Firm Is Representing Webull Financial Customers

Shepherd Smith Edwards and Kantas Broker Dealer Negligence Lawyers (investorlawyers.com) are offering free case consultations to Webull Financial customers who sustained losses in Ten-League International Holdings Limited (TLIH).

High Income Fund Loss Attorneys

Published on: August 26, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Easterly ROCMuni Fund Investor in Paducah, KY Sues Stifel For Up TO $500K

Too Risky Junk Bond Fund Investment Leads To Serious Losses For This Claimant

Shepherd Smith Edwards and Kantas High Income Fund Loss Attorneys (investorlawyers.com) have filed another six-figure FINRA lawsuit against Stifel, Nicolaus & Co. on behalf of a Paducah investor who also worked with Kentucky broker Adam Michael Chustz. The Claimant sustained losses in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX). He is seeking up to $500,000 in damages from the broker-dealer.

Alternative Investment Loss Law Firm

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Portfolio Losses In the Inspired Healthcare Liquidity Fund? Contact Our Alternative Investment Loss Law Firm Today

At Shepherd Smith Edwards and Kantas (investorlawyers.com), we are continuing to investigate investor losses involving the Inspired Healthcare Liquidity Fund and other Inspired Healthcare Capital (IHC) investments. Acquiring and operating senior living and healthcare facilities, Inspired Healthcare Capital is a private equity and alternative investment sponsor. It recently stopped investor distributions and suspended investment offerings. The SEC is investigating.

If you are a San Francisco Bay Area, California investor, or an investor anywhere in the United States, and your broker sold you any of these Regulation D private placement offerings, contact us today to schedule your free, initial case consultation.