Broker Fraud

Annuity Loss Law Firm

Published on: June 19, 2023 | by Shepherd Smith Edwards & Kantas, LLP

The Number of Broker Fraud Lawsuits Against Citizens Securities Over CB Life Annuity Losses Is Growing

Our Trusted Annuity Loss Attorneys Represent Colorado Bankers Life Insurance Investors

With tens of thousands of investors, including retirees, sustaining losses in Colorado Bankers Life Insurance annuities, the number of broker negligence lawsuits filed by claimants seeking damages is increasing. One of the brokerage firms that has come under fire for allegedly unsuitably recommending these investments to customers is Citizens Securities, which is also under investigation by Massachusetts regulators for this very reason.

Mississippi Broker Fraud Lawsuit Attorney

Published on: June 6, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Mississippi Broker Fraud Attorneys

Our Gulfport, MS Investor Loss Law Firm Has Helped Thousands To Recover Damages

Any time you invest, you are always taking on some risk. As a matter of fact, it is a red flag if someone recommends an investment with the promise of zero risk of loss along with the “guarantee” that you will make money. Also, serious investment losses can happen due to market volatility or adverse events. However, if you sustained any portfolio losses that you suspect may have been, in part, due to financial advisor misconduct or negligence, our Gulfport, Mississippi Broker Fraud Lawsuit Attorney teams can help you determine whether you have grounds for a lawsuit seeking financial recovery.

Dallas Broker Fraud Attorneys

Published on: June 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Committed To Representing Investors Throughout Texas Since 1990

For more than 30 years, our savvy Dallas Broker Fraud Attorneys have zealously worked with retail investors, retirees, elderly investors, high-net-worth investors, and institutional investors in pursuing damages against their financial advisors whose misconduct or negligence caused them to suffer significant investment losses. This often has meant fighting for our clients in arbitration, mediation, and litigation.

If you are a Texas investor who would like to help determine whether your portfolio losses may be grounds for a broker fraud lawsuit, contact the team of Dallas Broker Fraud Attorneys at Shepherd Smith Edwards and Kantas (investorlawyers.com) today to request your free, no-obligation case consultation.

Brokerage Firm Arbitration Lawyers

Published on: June 1, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When A Brokerage Firm Violates Investors’ Best Interests Through Alleged Misconduct

FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions

The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest (Reg BI). The self-regulatory organization (SRO) contends that between January 2018 and December 2021, the broker-dealer and its co-owner Thomas Diamante made purported misrepresentations and omissions related to the sale of private placement offerings of pre-IPO securities and also allegedly engaged in churning and committed supervisory failures. This excessive trading allegedly impacted multiple customer accounts, resulting in costs of over $350K and losses greater than $465K.

Florida Broker Fraud Attorneys

Published on: May 30, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Florida Broker Fraud Attorneys

Our Trusted Tampa, FL Broker-Dealer Negligence Law Firm Represents Investors, Including Retirees

Shepherd Smith Edwards and Kantas (investorlawyers.com) represent residents in The Sunshine State who have suffered losses caused by broker fraud or negligence. If you are a retiree, a retail investor, a high-net-worth investor, or an institutional investor who would like to help determine whether your portfolio losses were due, even in part, to the actions—or lack thereof—of your financial advisor, contact us today to schedule your free, no-obligation case consultation.

Houston Broker Fraud Attorneys

Published on: May 30, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Houston Broker Fraud Attorneys

Representing Investors in Greater Houston and the Surrounding Areas Against Brokerage Firms

For over 30 years, our experienced Houston, TX broker misconduct lawyers have been fighting for investors throughout the state against the largest brokerage firms in the United States. Losing the money that you’ve invested is never easy and it is even more devastating when it is because of the wrongful or negligent actions of the financial advisor you entrusted to take care of your funds.

San Diego CA Broker Fraud Attorneys

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Working With Southern California Investors To Recoup Their Losses Caused by Stockbroker Misconduct

The team of San Diego CA Broker Fraud Attorneys at Shepherd Smith Edward and Kantas (investorlawyers.com), know that trusting a financial advisor to manage, grow, and keep your money safe is a big step. We also understand how devastating it can be to have that trust breached causing you to suffer significant investment losses.

Our San Diego broker fraud lawyers represent investors in Southern California, as well as other investors with brokerage accounts in that region, in pursuing damages caused by the wrongful or negligent actions of their registered representatives.

Structured Product Attorneys

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Broker Sell You Signature Bank Autocallable Notes?

Our Broker-Dealer Negligence Lawyers Can Help You Explore Your Legal Options

In March 2023, Signature Bank shuttered its doors. The Shepherd Smith Edwards and Kantas Structured Product Attorneys (investorlawyers.com) are speaking to investors whose financial advisors may have allegedly unsuitably recommended that they get involved in the Autocallable Contingent Coupon Equity Linked Securities Linked to Signature Bank Due August 5, 2024. Sponsored by Citigroup Global Markets, this is a structured note that came with an “auto-call” feature. Autocallable notes are complex financial instruments that can lead to potentially high returns but also come with significant risks.

Broker Fraud Law Firm

Published on: May 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Help Investors Recover Their Portfolio Losses

What Distinguishes Our Trusted Broker Fraud Law Firm

Shepherd Smith Edwards and Kantas (investorlawyers.com) have recovered many millions of dollars on behalf of thousands of investors that have fallen victim to a stockbroker and financial advisor’s negligence. We are one of the largest securities fraud law firms in the United States with over a combined century’s worth of experience in securities law and the securities industry. Dedicated to providing our clients with quality counsel and effective legal representation, we work with retail investors, retirees, wealthy investors, and institutions in pursuing damages from broker-dealers and investment advisers while protecting their legal rights.

Alternative Investment Fraud Lawyers

Published on: April 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Customers of Berthel Fisher Sought $32.1M in Damages From Brokerage-Dealer

Our Experienced Alternative Investment Fraud Lawyers Are Investigating Investor Losses

According to the yearly audited financial statement submitted by Berthel Fisher to the US Securities and Exchange Commission (SEC) in March, the broker-dealer concluded 2022 with about $32.1M in pending investor loss claims. While it is unclear which investments were specifically involved, as InvestmentNews reported, Berthel Fisher has a long history of selling alternative investments to customers. On multiple occasions, these investment recommendations were investors for whom these were allegedly unsuitable given their financial goals.