Close

Articles Posted in Broker Fraud

Updated:

Ex-Kestra Financial Broker Involved in Investor Fraud Claims and Accused of Unauthorized Trading

Barred Kestra Investment Services Stockbroker Accused of Unauthorized Trading Our investor fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are currently speaking with former customers of ex-Kestra Investment Services broker, James Blake Daughtry. He was recently barred by the Financial Industry Regulatory Authority (FINRA). The self-regulatory organization…

Updated:

Some Brokers Are Taking Advantage Of Investors During The COVID -19 Coronavirus

Watch Out for Brokers Looking to Make High Commissions During COVID-19 With the market crashing in the wake of the Coronavirus (COVID-19), many investors are suffering from massive losses in their portfolio and are looking to their brokers for investment advice. Unfortunately, not all stockbrokers work with their customers’ best…

Updated:

Broker Fraud and Investment Losses During The Time of The Coronavirus

Investment Losses During Recent Market Crisis May Be Recoverable  Investors throughout the United States are grappling with financial investment losses as markets continue to remain volatile in the wake of Coronavirus (COVID-19). The recent oil price drops, the rise in unemployment as businesses are forced to shutter and lay off…

Updated:

Experts Say: Expect More FINRA Arbitration Cases Following Coronavirus and Market Volatility

Investment Losses During COVID-19 Pandemic May Have Been Caused By Fraud Or Negligence According to experts, George Friedman and Rick Ryder, fears about the novel coronavirus (COVID-19) and the resulting market turbulence will lead to a rise in investor fraud claims and FINRA arbitration cases. Friedman is the Securities Arbitration…

Updated:

SSEK Investigates Investment Loss Claims Involving Wells Fargo Broker Jeffrey Eiler

Wells Fargo Stockbroker Accused Of Overconcentration & Unsuitable Investments  Wells Fargo Clearing Services broker, Jeffrey Eiler, has been the subject of 12 customer investment loss disputes, most of which were settled and a few that were denied. If you are an investor who lost money while Eiler was your registered…

Updated:

Shepherd Smith Edwards and Kantas Investigates UIT Claims Involving Ex-Raymond James Broker

Ex-Raymond James Broker Named In $500K UIT Investment Fraud Claim  Our stockbroker fraud lawyers are investigating claims involving Ameriprise (AMP) and former Raymond James broker, E. Kyle Davis. Contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) today if you believe that you may have fallen victim to investment fraud. …

Updated:

Christopher Shaw, Founder and President of CJS Wealth Management, is the Subject of a FINRA Complaint Involving GPB Capital Recommendations

Elderly Investor Claims $250K in GPB Fraud Losses In yet another GPB private placement fraud case, our broker fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm) have filed a claim on behalf of an investor.  This time, the respondents are Pruco Securities and Kalos Capital, which the…

Updated:

Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-First Allied Securities Broker Masood Azad

Ex-Broker and First Allied Securities Accused in $1M Investor Fraud Case Masood Husain Azad, a former Texas-based broker, is now the subject of an over $1M investor fraud claim. Also known as Mike Azad, he was fired by First Allied Securities in 2017. Now, First Allied Securities is a respondent…

Updated:

Ex-Morgan Stanley Broker Elias Hafen Sentenced To Prison For Investment Fraud

Ex-Morgan Stanley Broker Sentenced To 30 Months Please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) if Elias Herbert Hafen, a former Morgan Stanley (MS) and Wells Fargo (WFC) broker, was your financial representative when you suffered substantial investment losses that you think may be due to fraud. Hafen…

Updated:

Rogue Broker Named in Over 50 Complaints Found Guilty of Mail & Wire Fraud

Rogue Broker Convicted & Faces Decades In Prison A jury has convicted Anthony Diaz, a barred rogue stockbroker who was fired by several brokerage firms and has been the subject of more than four dozen customer complaints, of 11 counts of wire fraud and mail fraud. Each criminal court comes…

Contact Us
Live Chat