When Your Financial Advisor Fails To Act In Your Best Interests Your registered broker-dealer owes you a fiduciary obligation to act in your best interests. Unfortunately, this doesn’t always happen. Instead, your financial advisor might have unsuitably recommended an investment or trading strategy that was too risky for your risk…
Customers Were Sold Private Equity Shares By Ex-Georgia Broker and Southport Capital Investment Adviser John Woods A Financial Industry Regulatory Authority (FINRA) arbitration panel in Atlanta has ordered Oppenheimer & Co. to pay several investors $36.7M in the wake of losses sustained in the alleged $110M Horizon Private Equity III…
You May Be The Victim of a $58M Ponzi Scam More than one year after the US Securities and Exchange Commission (SEC) filed a civil lawsuit against deeproot Funds and its owner Robert J. Mueller accusing them of running an alleged $58M Ponzi Scam that defrauded nearly 300 investors, these…
Shepherd, Smith, Edwards, and Kantas Has Been Fighting For Investors for Over 30 Years If you are an investor looking to pursue financial recovery for your investment losses caused by unsuitable investment recommendations, misrepresentations and omissions, unauthorized trading, or other grounds, there is a very good chance that you signed…
Our Houston Securities Attorneys and Investment Fraud Attorneys Can Help You Explore Your Legal Options Beginning August 26, 2022, the Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Doug Marshall McKelvey. The decision comes after the ex-Texas financial advisor refused to provide the information requested by the…
What You Should Know if You Invested in GWG L Bonds If you are someone whose financial advisor recommended that you invest in GWG Holdings L Bonds, by now you likely know that the alternative asset firm has filed for Chapter 11 bankruptcy protection despite owing you and thousands of…
Third Yield Enhancement Strategy Investors Award for Seasoned Securities Fraud Law Firm Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) is thrilled to announce that on September 1, 2022, a Financial Industry Regulatory Authority (FINRA) arbitration panel ordered UBS Financial Services (UBS) to pay $468,126 to two customers…
Our Skyloft Austin Investment Loss Lawyers Represent Investors in Recouping Their Losses If you are a Skyloft Austin investor, you may be grappling with the losses you suffered in this real estate private placement deal that you were led to believe would earn you regular dividends while also providing you…
Why You Should Contact A Seasoned Retirement Loss Attorney Right Away Unfortunately, retirees and older investors are especially vulnerable to significant investment losses. This is why it is so important that your broker only markets products or investment strategies to you that are suitable for you given your investing profile,…
State Securities Regulator Seeks to Ban Former Capital Planning Group Investment Adviser Massachusetts securities regulator William Galvin has fined MassMutual broker-dealer subsidiary MML Investors Services $250K for its alleged failure to supervise its former registered representative Charles Jonathan Evan. The ex-Wellesley, MA broker is also a former registered investment adviser…