Broker Fraud

Broker Fraud Law Firm

Published on: April 16, 2025 | by Shepherd Smith Edwards & Kantas, LLP

For GK 7% Bond Investors Who Sustained Serious Losses, The Time To Act Is Now. Our Broker Fraud Law Firm Can Help You Assess Whether You Have Grounds For A Claim

If you are a GK 7% Bond investor, there is still time to explore your legal options and find out whether your broker should be held liable for your investment losses. Shepherd Smith Edwards and Kantas (investorlawyers.com) is continuing to investigate the broker-dealers, including managing brokerage firm JCC Advisors, that marketed and sold these debt instruments to customers. Contact us today to request your free, initial case consultation.

What Are GK 7% Bonds?

Investment Broker Fraud

Published on: April 16, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Barred Morgan Stanley Broker Jesus Rodriguez Gets 12-Year Sentence For Investment Broker Fraud

Jesus “Chuy” Rodriguez de la Cruz (“Rodriguez”), an ex-Morgan Stanley stockbroker in Texas, was sentenced to 12 years in prison for defrauding investors in a multimillion-dollar investment fraud. His CRD on BrokerCheck lists him as Jesus Rodriguez.

Rodriguez was barred by the Financial Industry Regulatory Authority (“FINRA”) in 2021. The U.S. Securities and Exchange Commission (“SEC”) filed a complaint against Rodriguez last year accusing him of misappropriating over $4.6 million from the accounts of at least 10 investors at Morgan Stanley where he was a registered representative from 2009 to 2021.

SSEK Broker Fraud Attorneys

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

Shepherd Smith Edwards and Kantas Broker Fraud Attorneys Investigates Former Traderfield Securities/Momentix Capital and IBN Ex-Financial Broker Vincent Camarda

Customers Who Suffered Losses File FINRA Lawsuits For Over $23M

Shepherd Smith Edwards and Kantas Broker Fraud Attorneys (investorlawyers.com) is looking into claims of losses of former customers of ex-IBN Financial Broker Vincent Jerome Camarda. Previous to that, he was a registered representative with Traderfield Securities, which is now known as Momentix Capital. Camarda continues to be a registered investment adviser with AG Morgan Financial Advisors.

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.