Merrill Lynch and Harvest Volatility Management To Pay $9.3M Over CYES Strategy SEC Alleges That Investors Ended Up Losing Money and Paid Higher Fees According to the US Securities and Exchange Commission (SEC), Merrill Lynch and Harvest Volatility Management have consented to pay a combined $9.3M penalties and disgorgement to…
SEC Files Lawsuit Against Ex-Moloney Securities Broker Robert Vance Over GWG L Bond Sales. Our GWG Bond Loss Law Firm Is Representing Investors Who Worked With This Former California Financial Advisor If you sustained losses in GWG Holdings L Bonds that were allegedly unsuitably recommended to you by ex-stockbroker Robert Morgan Vance, contact…
Dallas Non-Traded REIT Fraud Law Firm. We Work With Texas Investors Against Negligent and Bad Brokers Who Unsuitably Sell Alternative Investments From our securities law offices in Dallas and Houston, Shepherd Smith Edwards and Kantas (investorlawyers.com) works with investors throughout Texas in pursuing the damages they are owed because a financial advisor may…
Houston, TX Alternative Investment Loss Law Firm We Represent Texas Investors Who Have Suffered Losses Because of Unsuitable Recommendations and Other Kinds of Broker Fraud From our Houston, Texas securities law office, Shepherd Smith Edwards and Kantas represents investors who have sustained losses in alternative investments that were unsuitably marketed and sold…
Houston Retirees File $5,000,000 Lawsuit Against Fidelity Shepherd Smith Edwards & Kantas, LLP (investorlawyers.com) Options Strategy Loss Lawyer teams are representing more Fidelity customers wrongfully convinced to use options to hedge their concentrated position. This is at least the third similar case SSEK has been retained to work on for…
From Our Tampa, FL Securities Law Office, Our Florida Non-Traded REIT Attorneys Represent Investors Against Negligent Brokers Please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today if you are an investor who lost money in a non-traded real estate investment trust (non-traded REIT) that was recommended to you by your financial advisor.…
Did Your Broker-Dealer’s Negligence Enable Elder Financial Abuse? Elderly Senior Sues Charles Schwab For Allegedly Failing To Protect Her From Scammers A 91-year-old woman is suing Charles Schwab & Co., both the brokerage and the affiliated bank, in court. The plaintiff contends that Schwab allegedly did not protect her, a…
Are You An Investor Who Suffered Losses Because of Broker-Dealer Supervisory Failures? FINRA Orders Wells Fargo Clearing To Pay Over $3M Following Allegedly Unsuitable Short-Term Trades Shepherd Smith Edwards and Kantas Failure To Supervise Investor Attorneys (investorlawyers.com) represent clients who have sustained losses because a broker-dealer’s failure to supervise their registered…
Elderly Retiree Sues LPL Financial For Six-Figure REIT Losses. Our Seasoned REIT Fraud Attorney Team is representing Arkansas Widow A novice retiree investor is seeking up to $500K in damages from LPL Financial for losses she sustained in illiquid real estate investment trusts (REITs). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this…
Florida Investor Sues TD Ameritrade For $5 Million in Losses. Our Skilled Margin Abuse Law Firm Are Representing This Claimant A Fort Lauderdale, Florida investor who was trading options using TD Ameritrade’s platform has filed a seven-figure lawsuit against the broker-dealer. This investor contends that margin abuse, including raising the margin requirement on one…