Robinhood Financial Apologizes To Investors For Outages If you are an investor who recently sustained losses through Robinhood Financial’s investing platform, contact our investment fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm) today. Robinhood Financial, which provides an online platform that facilitates stock, exchange-traded funds (ETFs), and…
Si usted es como muchos americanos con inversiones, podría estar luchando con cómo manejar las pérdidas masivas que afectan su cartera mientras el novedoso coronavirus (COVID-19) continúa haciendo estragos en la economía, los mercados, la industria laboral y la vida de las personas. De lo que puede que usted no…
FINRA Bars Former Morgan Stanley Representative The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker, John Joseph Cahill. The ex-registered representative, who was fired from Janney Montgomery Scott early last year, is accused of potentially converting and/or misappropriating an elderly client’s funds while he was at Morgan…
Collateral Yield Enhancement Strategy (CYES) Damages: SSEK Investigating Merrill Lynch Financial Advisor Shepherd Smith Edwards & Kantas (SSEK), a law firm specializing in representing wronged investors is looking into allegations against Gordon Harper, a financial advisor with Merrill Lynch out of Upper Montclair, New Jersey. Prior to that, he worked…
SSEK Investigating Ex-Raymond James Advisor, Stuart Nichols Another former Raymond James advisor has gotten into trouble over fraud allegations. The Financial Industry Regulatory Authority (FINRA) recently barred Stuart Nichols, a former broker with the firm, after he failed to participate in the self-regulatory authority’s probe into churning allegations made against…
SSEK Investigating The Ex-Morgan Stanley Broker, Ami Forte Earlier this year, our investor lawyers reported that the Financial Industry Regulatory Authority (FINRA) had filed a lawsuit against former Morgan Stanley broker, Ami Forte. She allegedly made unauthorized trades in the now-deceased Home Shopping Network co-founder, Roy Speer’s, account while he…
SSEK Investigating Stephen Klinger, ex-Wells Fargo Advisor Shepherd, Smith, Edwards & Kantas (“SSEK”), a law firm specializing in representing wronged investors, is looking into allegations against ex-broker Stephen Klinger for trading options for a client in his own account. He then proceeded to lose the client’s money. Klinger was fired…
SSEK Investigating David Fagenson, A Former UBS Brokerage Investment Advisor If you are an investor who worked with former UBS broker, David Fagenson, and suffered substantial losses or suspect you may have been charged excessive fees and commissions, please contact our broker fraud lawyers at Shepherd Smith Edwards and Kantas,…
With already $1.8B in investor funds, GPB Capital Holdings is now placing a pause on raising more funds while it concentrates on putting in order the accounting and financial statements of two of its biggest funds, the GPB Automotive Portfolio and the GPB Holdings II. Both, collectively have raised nearly…
In a settlement reached with the US Securities and Exchange Commission, Ameriprise Financial Services (AMP) will pay $4.5M over allegations that it did not protect retail investors from five of their financial representatives, who stole over $1.5M. Three of these individuals had previously pleaded guilty to criminal charges involving investor…