Coronavirus (COVID-19) Update: YES Strategy Is Vulnerable To Losses Now Markets Are Rough The World Health Organization (WHO) has just declared the coronavirus a pandemic, with the United States President Donald Trump announcing a travel ban involving more than two dozen nations. As if these health concerns weren’t bad enough,…
Ex-Raymond James Broker Named In $500K UIT Investment Fraud Claim Our stockbroker fraud lawyers are investigating claims involving Ameriprise (AMP) and former Raymond James broker, E. Kyle Davis. Contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) today if you believe that you may have fallen victim to investment fraud. …
Investors Who Used or Currently Use Robinhood Financial May Have Grounds for a Claim If you are someone who lost money while using Robinhood Financial to make investments, Shepherd Smith Edwards and Kantas (SSEK Law Firm) would like to speak with you to help you explore whether you have grounds…
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…
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…
Elderly Investor Claims $250K in GPB Fraud Losses In yet another GPB private placement fraud case, our broker fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm) have filed a claim on behalf of an investor. This time, the respondents are Pruco Securities and Kalos Capital, which the…
Broker-Dealers Accused of Not Properly Supervising Custodial Accounts The Financial Industry Regulatory Authority (FINRA) announced that it has fined five major firms $1.4M in total for not reasonably supervising custodial accounts. The broker-dealers are: Citigroup (C), which will pay $300K. Morgan Stanley Smith Barney (MS), which will pay $300K. JP…
Texas State Revokes George Marwieh’s RIA License Our broker misconduct lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are investigating claims by customers who were sold Future Income Payments notes by their financial advisers or brokers. One of these advisers, George A. Marwieh, got his license revoked by…
Ex-Commonwealth Capital Broker Was Accused Of Misusing Investors’ Money If you or someone you know lost money while working with former Commonwealth Capital broker, Kimberly Springsteen-Abbott, please contact our stockbroker fraud lawyers at Shepherd Smith Edwards and Kantas so we can determine whether you have grounds for a claim. In…
Ex-Broker and First Allied Securities Accused in $1M Investor Fraud Case Masood Husain Azad, a former Texas-based broker, is now the subject of an over $1M investor fraud claim. Also known as Mike Azad, he was fired by First Allied Securities in 2017. Now, First Allied Securities is a respondent…