Broker Fraud

Broker Fraud Lawyers

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

HJ Sims Investors Who Suffered Losses Should Contact Our Broker Fraud Lawyers Today. Brokerage Firm May Have Defrauded Customers With Sale of Reg D Offerings

Herbert J Sims (HJ Sims) is being investigated by Shepherd Smith Edwards & Kantas over allegations that its brokers sold unsuitable, perhaps even fraudulent proprietary private placement offerings to customers. Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) are looking into these claims and speaking to investors who may have been harmed.

Over the last decade, HJ Sims has sold at least 93 Regulation D private placement offerings collectively valued at about $2.2B. The broker-dealer exclusively sold 84 of these products, many of which its own executives are believed to have set up and controlled—setting up a possible conflict of interest from commissions or fees to be earned on both the offering and selling ends. A lot of these HJ Sims bonds have since defaulted. At least 43 HJ Sims Reg D offerings purportedly did not submit state-mandated yearly registration forms.

L Bond Fraud Attorneys

Published on: February 13, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas L Bond Fraud Attorneys Win Six-Figure GWG L Bonds Arbitration Award For Retiree Against SW Financial

Boca Raton Investor Entrusted Broker-Dealer To Keep Her Money Safe

A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a Boca Raton, Florida investor $174,507.98 in compensatory damages in her GWG L Bond fraud lawsuit against SW Financial. Shepherd Smith Edwards and Kantas (investorlawyers.com) represented this claimant, who is a retiree and a novice investor, in pursuing the financial recovery she was owed.

Broker Attorneys

Published on: January 29, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Arete Financial Advisor Sell You Shares in the Zona Energy Oil and Gas Scam? Our Broker Attorneys Are Here To Help You Explore Your Legal Options

Shepherd Smith Edwards and Kantas Broker Attorneys (investorlawyers.com) is investigating allegations that Arete Wealth Management, Arete Wealth Advisors, and ex-Arete registered representatives Jeffrey Scott Larson, Randall (Randy) Scott Larson, and Joey Dale Miller committed broker fraud when soliciting dozens of clients to buy over $8M in shares of Zona Energy, Inc.

Arete reportedly never approved Zona securities for offer or sale. The US Securities and Exchange Commission (SEC) is suing the Arete entities, their three former brokers, and Arete CCO UnBo “Bob” Chung over their purported involvement in the Zona Energy oil and gas investment scam.

Stockbroker Misconduct Attorneys

Published on: January 29, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Is The Victim of Broker Negligence? Our Skilled Stockbroker Misconduct Attorneys Work With Investors In Pursuing Damages

Shepherd Smith Edwards and Kantas (investorlawyers.com) represent those who have suffered losses because their broker was negligent and did not uphold the professional standards they were required to fulfill. As a result, serious portfolio losses occurred. If you suspect you may be the victim of stockbroker negligence, contact us today so that we can help you determine whether you have grounds for a securities claim.

What Is Broker Negligence?

Stockbroker Misconduct Law Firm

Published on: January 29, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Stockbroker Misconduct Law Firm Are Investigating Ausdal Financial Broker David Michael Smith

Vero Beach, FL Financial Advisor Accused of Stockbroker Misconduct

If you suffered investment losses while working with Ausdal Financial broker David Michael Smith, our seasoned investor lawyers want to talk to you. Smith, who is based out of Florida and is also an Intervest International investment adviser, has five disclosures on record. All of them are customer disputes that were filed in the last two years.

Denver Alternative Investment Fraud Lawyers

Published on: January 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Denver Alternative Investment Fraud Lawyers – We Help Colorado Investors Recoup Their Losses Caused By Financial Advisor Negligence and Fraud

From our Denver securities law office, Shepherd Smith Edwards and Kantas (investorlawyers.com) represent clients throughout The Centennial State who have sustained serious alternative investment losses that involved broker fraud or negligence. For over 30 years, we have fought for retail investors, retirees, elderly investors, accredited investors, high-net-worth investors, and institutional investors in arbitration, mediation, and litigation. We have the skills, resources, and experience to maximize your chances for a full financial recovery in even the most complex investment loss recovery claims.

Why Explore The Cause of Your Alternative Investment Losses?

Structured Product Loss Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas structured product loss attorneys continue to investigate structured product losses involving Stifel Broker Chuck Roberts.

More Investors File Broker Fraud Lawsuits Claiming 7-Figure Losses

Our seasoned structured product loss attorneys are continuing to speak to investors who worked with star Stifel Financial broker Chuck Roberts. Already, the broker-dealer has had to pay millions of dollars to former clients, including, recently, a more than $14.2M arbitration claim that included $9M in punitive damages to a Florida couple and $2.35M to another investor who accused the broker-dealer of failure to supervise, negligence, breach of fiduciary duty, fraud and more.

New Orleans Alternative Investment Fraud Attorneys

Published on: November 13, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Our Louisiana Securities Law Firm Is Here To Protect and Fight For Investors Against Rogue and Negligent Brokers

From our Metairie, LA law offices in East Jefferson Parish, Shepherd Smith Edwards and Kantas New Orleans Alternative Investment Fraud Attorneys (investorlawyers.com) is proud to represent Louisiana investors who have sustained alternative investment losses caused, even if just in part, by financial advisor fraud or negligence.

For over 30 years, our New Orleans alternative investment loss law firm has represented retail investors, retirees, accredited investors, high-net-worth investors, and institutional investors in arbitration, mediation, and litigation. We care about helping to make our clients financially whole again.

Northstar Fraud Law Firm

Published on: October 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Spanish Investors Sue Insigneo Securities For Up to $500K Following Northstar (Bermuda) Losses. Our Northstar Fraud Law Firm Are Representing These Claimants And Many Others

Shepherd Smith Edwards and Kantas Northstar Fraud Law Firm (investorlawyers.com) is representing two Spanish citizens in their Northstar (Bermuda) investment loss recovery claim against Insigneo Securities. The claimants, who are requesting up to $500K, in addition to interest and costs, are alleging unsuitable investment recommendations, concentration, misrepresentations and omissions, a gross lack of supervision, negligence, grossly negligent behavior, and more.

The couple, one of whom is now deceased, were referred to Insigneo (when it used to be Northeast Securities) through City National Bank in South Florida where they were residents. The wanted a safe haven for their assets. Instead, the broker-dealer allegedly abused their trust by overconcentrating a huge portion of their assets in Norhtstar Financial Services (Bermuda), an offshore investment that is now defunct.

Seasoned Broker Fraud Lawyers

Published on: October 3, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Lost Money From Aegis Capital Corp. Underwritten Stocks?

Our Seasoned Broker Fraud Lawyers Are Investigating Loss Claims That May Be in The Billions

If you sustained losses in stock that were underwritten and/or sold by Aegis Capital Corp., Shepherd Smith Edward and Kantas Seasoned Broker Fraud Lawyers (investorlawyers.com) would like to offer you a free, no-obligation case assessment to determine whether you have grounds for a broker fraud claim. Aegis Capital is under scrutiny for allegedly underwriting securities that are now likely worthless and may have cost investors billions of dollars.