Our Skilled Elder Financial Abuse Attorneys Represents Retirees and Seniors Elder Financial Exploitation Leads To $28.3B in Losses Yearly, Reports AARP If you are wondering whether you or someone you love may have suffered investment losses due to elder financial abuse by a broker, contact Shepherd Smith Edwards and Kantas…
Are You A Retiree Whose Citizens Securities Broker Sold You Colorado Bankers Life Insurance Annuity? Our Trusted Senior Investor Fraud Lawyers May Be Able To Help You Recoup Your Losses Shepherd Smith Edwards and Kantas team of Senior Investor Fraud Lawyers (investorlawyers.com) are helping many of the investors who suffered…
SEC Says Older Seniors Were Defrauded of $1.2M by Garden State Securities Broker The U.S. Securities and Exchange Commission (SEC) filed civil charges against former Garden State Securities financial advisor Joseph Orazio DeGregorio. The previously registered broker, who worked at 14 firms in 14 years, is accused of defrauding four…
Barred Connecticut Financial Advisor Faces Pleads Guilty to Wire Fraud Matthew O. Clason, a former LPL Financial broker, has pleaded guilty to wire transfer fraud related to his misappropriation of $600K from a 73-year-old Connecticut retiree. Now he could be sentenced to up to 20 years behind bars. The theft…
Alabama Investor Contends The Daughtry Group Owner Unsuitably Invested His Retirement Funds Another investor has stepped forward to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against Kestra Investment Services over financial losses sustained while working with the firm’s former broker, James Blake Daughtry. The latter ran a local…
Unauthorized Trading and Abuse of Fiduciary Duty By Older Investor’s Grandsons A Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled that JP Morgan Securities (JPM) and its ex-brokers, Avi Elliot Schottenstein and Evan A. Schottenstein, must pay a senior investor $19M in her investment fraud claim over losses sustained…
FINRA Bars Californian Financial Advisor After Older Customers Suffer Huge Losses Cynthia Diane Cowden, a former NPB Financial Group stockbroker, has been barred by the Financial Industry Regulatory Authority (FINRA). Cowden, who also was a registered investment advisor, is based out of Lake Isabella, California where she operated under the…
Rand Heckler of Rand Heckler, Inc. is Now The Subject of SEC and Criminal Fraud Charges Former stockbroker Rand Allan Heckler of Long Island, New York, is facing US Securities and Exchange Commission (SEC) charges accusing him of investor fraud. Heckler, who was barred by the Financial Industry Regulatory Authority…
Former LPL Financial Investment Advisor Was Also Was Let Go By Integrated Wealth Concepts The Securities and Exchange Commission (SEC) has filed civil charges accusing former LPL Financial (LPLA) registered representative, Matthew O. Clason, of defrauding an older investor of over $300K. In August, Clason, who worked out of Glastonbury,…
Investment Advisor Allegedly Defrauded Senior Investors to Fund Lavish Lifestyle The US Securities and Exchange Commission (SEC) has filed charges against Mark Joseph Boucher, a California-based investment adviser, and his firm, Strategic Wealth Advisor Group Services. Boucher and Strategic Wealth Advisor Group are accused of stealing $2.2M from older customers,…