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Articles Posted in Current Investigations

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$200K Investor Claim Against Arni Diamond, Of The Diamond Group, Alleges Unsuitable Alternative Investment Recommendations

Diamond and Other Kalos Capital Brokers Are Accused of Broker Fraud  Arni Diamond, who is now a registered representative with Dempsey Lord Smith,  is currently the subject of a pending $200K broker fraud claim accusing him of making unsuitable alternative investment recommendations reportedly while he was a Kalos Capital broker. …

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National Securities Broker Michael Burkoff Accused of Unsuitable Investment Recommendations Involving Structured Products

National Securities Broker Investigated Over Unsuitable Investment Recommendations Our broker fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law firm) are looking into claims by investors who suspect that National Securities stockbroker Michael Burkoff recommended investments that were unsuitable for them. Burkoff is a registered representative with National Securities.…

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Trial of EX-GPB Capital Holdings CCO Michael Cohn is Delayed Over COVID-19 Concerns

Cohn, Also A Former SEC Examiner, Is Charged With Obstruction The criminal trial of Michael Cohn, the ex-GPB Capital Holdings chief compliance officer, has been postponed after he expressed concern that his pre-existing health conditions placed him at a higher risk of contracting the coronavirus (COVID-19).  Cohn is charged by…

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David Lerner Associates May Have Sold Spirit of America Energy Fund, Energy Resources 12, and Energy 11 Investments to Conservative Investors and Retirees

Broker-Dealer Comes Under Scrutiny Over Energy, Gas, and Oil Investment Recommendations  If you are a retail or conservative investor, a retiree, or any other investor unwilling or unable to take on too much risk and a David Lerner Associates broker sold you oil, gas, and energy investments, our investment fraud…

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Frontier Communications Bonds Purchased From FMSBonds May Have Grounds for FINRA Arbitration Claim

FMSBonds May Not Have Apprised Frontier Communications Investors Of The Risks  If you purchased Frontier Communications bonds from FMSBonds, also known as First Miami Securities, or any other bonds that have turned out riskier than what was represented to you, please contact our broker fraud lawyers at Shepherd Smith Edwards…

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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…

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Shepherd Smith Edwards and Kantas Investigates UBS YES Strategy Claims

UBS YES Strategy Losses May Be Grounds For A Claim Our investment fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are continuing to offer free, no-obligation case consultations to investors that lost money in the UBS Yield Enhancement Strategy (YES). SSEK Law Firm represents clients throughout the…

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Wells Fargo Settles Inadequate Supervision of Non-Traditional ETFs Claim for $35M

Wells Fargo Sold Non-Traditional ETFs to Retail Investors  If you were an investor who suffered losses in non-traditional exchange-traded funds (ETFs) that you feel were unsuitable for you yet were recommended by a Wells Fargo investment advisor or broker, our ETF fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK…

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Shepherd Smith Edwards & Kantas Files GPB Capital Private Placement Fraud Case Against International Assets Advisory

Texas-Based Broker Sold GPB Private Placements To Retiree Couple  Once again, Shepherd Smith Edwards and Kantas (SSEK Law Firm) has filed an investor fraud claim against a broker-dealer after its financial advisor sold investments in GPB Capital Holding’s funds to customers.  This time, the brokerage firm is International Assets Advisory…

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SSEK Investigates Woodbury Financial Broker Daryl Serizawa Over GPB Capital Private Placements

Woodbury Financial Services Representative Accused Of GPB Private Placements Sales If you are an investor who was sold GPB Capital private placements by Woodbury Financial Services broker Daryl Serizawa, our broker fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) want to talk to you.  Serizawa is one…

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