GPB Capital Holdings Faces Another Securities Fraud Lawsuit Already the subject of mass fraud accusations, including allegations of a $1.8B Ponzi scam, the alternative assets firm is once again the defendant of two new lawsuits. Adding to a growing list of GPB Capital lawsuits is another class action securities fraud…
Ex-NYLIFE Securities Broker Accused Of Selling Investments In Mass Ponzi Scam If you suffered losses after former NYLIFE Securities broker, Kari Bracy, also known as Kari Falwell, or any other registered representative persuaded you to invest in Future Income Payments, please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm)…
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…
Fired Merrill Lynch Broker Barred By FINRA Indefinitely If you were an investor who sustained losses while working with Ma Rosa Linan Abrego, contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today. Our brokerage firm misconduct lawyers work with clients who have suffered financial losses due to the…
Ex-Morgan Stanley Broker Sentenced To 30 Months Please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) if Elias Herbert Hafen, a former Morgan Stanley (MS) and Wells Fargo (WFC) broker, was your financial representative when you suffered substantial investment losses that you think may be due to fraud. Hafen…
GPB Capital Notifies Automotive Portfolio Investors About Schedule K-1 Delay Beleaguered alternative asset firm, GPB Capital Holdings, has notified investors of its GPB Automotive Portfolio fund that it won’t be delivering key tax documents to them in time for this year’s April 15th tax deadline. The GPB Automotive Portfolio is…
Rogue Broker Convicted & Faces Decades In Prison A jury has convicted Anthony Diaz, a barred rogue stockbroker who was fired by several brokerage firms and has been the subject of more than four dozen customer complaints, of 11 counts of wire fraud and mail fraud. Each criminal court comes…
Non-Traditional Exchange-Traded Funds Are Not Suitable For Every Investor Our securities fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are looking into complaints by investors whose brokers may have inappropriately recommended that they invest in non-traditional exchange-traded funds (ETFs). These types of ETFs are leveraged, inverse and…
Stockbroker Accused Of Improperly Borrowing From Older Customer If you suffered investment losses while First Western Securities broker, Kerry Dean Wills was your financial representative, contact Shepherd Smith Edwards and Kantas (SSEK Law Firm). Kerry Dean Wills, who is also a registered investment advisor, was recently suspended for six months…
Suspended Broker Accused of Making Unsuitable Recommendations to Retiree If you sustained investment losses while working with ex-Berthel Fisher broker Mason Gann, contact our stockbroker fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm) today. Gann, who is not a registered broker at this time, is serving a…