Barred Brokers May Still Pose A Risk To Investors Many Find Ways To Keep Working As Financial Advisors Despite Industry Expulsion According to a Financial Advisor IQ article, hundreds of brokers who have been barred by the Financial Industry Regulatory Authority (FINRA) continue to find ways to stay in business even…
Commonwealth Financial Network Ordered To Pay $93.3M Over Mutual Fund Revenue Sharing SEC Alleged Breach of Fiduciary Duty When Firm Recommended Mutual Fund Shares That Paid It Fees Earlier this year, Commonwealth Financial Network was ordered to pay $93.3M in a breach of fiduciary duty lawsuit filed by the US Securities…
Oregon Alternative Investment Lawyers Our Portland, OR Investor Loss Recovery Law Firm Works Is Here To Fight For You For over 30 years, Shepherd Smith Edwards and Kantas Oregon Alternative Investment Lawyers (investorlawyers.com) has helped clients to recoup the losses they sustained in alternative investments that may have been unsuitably…
Did Aegis Capital Cause Investors To Lose At Least $5B? Broker-Dealer Accused of Underwriting Questionable Stock Offerings Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate allegations that Aegis Capital may have cost investors billions of dollars in its role as the underwriter of stocks of small companies that…
Spanish Investors Sue Insigneo Securities For Up to $500K Following Northstar (Bermuda) Losses. Our Northstar Fraud Law Firm Are Representing These Claimants And Many Others Shepherd Smith Edwards and Kantas Northstar Fraud Law Firm (investorlawyers.com) is representing two Spanish citizens in their Northstar (Bermuda) investment loss recovery claim against Insigneo Securities. The…
Did Your Broker Unsuitably Recommend Hatteras Investment Partners Funds? Shepherd Smith Edwards and Kantas Investment Loss Recovery Lawyers Are Investigating Broker-Dealers For Negligence If you suffered losses in a Hatteras Investment Partners Fund, Shepherd Smith Edwards and Kantas Investment Loss Recovery Lawyers (investorlawyers.com) want to talk to you. We have reason…
Stifel Nicolaus Ordered To More Than $14M in Damages, Including $9M in Punitive Damages, Over Structured Note Losses Claimants Are Former Clients of Stifel Stockbroker Chuck Roberts A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Stifel, Nicolaus & Co. to pay over $14M to a Florida couple. That is almost…
Are You An Investor Who Lost Money From Aegis Capital Corp. Underwritten Stocks? Our Seasoned Broker Fraud Lawyers Are Investigating Loss Claims That May Be in The Billions If you sustained losses in stock that were underwritten and/or sold by Aegis Capital Corp., Shepherd Smith Edward and Kantas Seasoned Broker Fraud…
Are You An Investor Who Suffered Losses in Autocallable Structured Notes? Contact Our Skilled Structured Product Fraud Attorneys For A Free Case Assessment If you sustained losses in an autocallable structured note that was marketed and sold to you by a financial advisor, you may have grounds for a claim for…
Did Brokerage Firms Unsuitably Recommend LRT Leesburg DST To Investors? Our Delaware Statutory Trust Attorneys Loss Attorneys Are Investigating If you are an investor who lost money in LRT Leesburg DST, which was recommended to you by a financial advisor, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. Our Delaware Statutory…