Broker Misconduct

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.

Stockbroker Misconduct Lawyers

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

What Do You Need To Prove You Were The Victim of Broker Fraud? Hiring Skilled Stockbroker Misconduct Lawyers Is One Way To Increase Your Chances For Financial Recovery

Shepherd Smith Edwards and Kantas Stockbroker Misconduct Lawyers (investorlawyers.com) represent investors against broker-dealers and investment advisors who owe them damages because of financial advisor fraud or negligence.

If you suspect that you were the victim of broker fraud, this is not the type of legal claim you want to pursue without a knowledgeable investment loss recovery firm representing you. What you can do first is to contact us today to request your free, initial no obligation case consultation.

Stockbroker Misconduct Attorney

Published on: July 23, 2024 | by Shepherd Smith Edwards & Kantas, LLP

When Structured Products Involving Stockbroker Misconduct Leads To Investment Losses. Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorney Team Represents Investors Against Brokerage Firms

If you have sustained losses in a structured product, contact our securities law firm today. Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorney Teams (investorlawyers.com) have been fighting for investors against brokers and their firms for over 30 years.

What Are Structured Products?

Securities Broker Misconduct Attorney

Published on: July 21, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With Ex-Western International Securities Broker Tony Liddle?

Former Customers of Barred Wisconsin Financial Advisor Seeking Over $3M in Damages

Shepherd Smith Edwards and Kantas (investorlawyers.com) is speaking to investors who sustained losses while working with ex-Landolt Securities financial advisor Anthony Baker Liddle (Tony Liddle). He pleaded guilty to wire fraud and money-related offenses in January 2023 and was sentenced to 97 months in prison for each count, but he will serve his time concurrently. He also was ordered to pay more than $1.6M in restitution. Liddle, a former registered investment adviser and control person of Prosper Wealth Management in Wausau, was barred by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), and the Wisconsin Department of Financial Institutions Division of Securities. Prior to being a Landolt registered representative, he was a Western International Securities broker.

Stockbroker Misconduct Lawyers

Published on: June 27, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Portfolio Losses While Working With Oppenheimer Broker Gustavo Miramontes?

Our Stockbroker Misconduct Lawyers Want To Talk To You

Shepherd Smith Edwards and Kantas (investorlawyers.com) is looking into claims of investor losses involving Oppenheimer financial advisor Gustavo Santos Miramontes. The Los Angeles stockbroker has multiple disclosures on his CRD that primarily consist of customer disputes.

Private Placement Loss Lawyers

Published on: May 31, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With Former Independent Financial Group Broker Armando Roman? Shepherd Smith Edwards and Kantas Want to Talk To You

Our broker fraud attorneys are continuing to investigate claims of losses involving ex-Independent Financial Group registered representative Armando Roman. The former Arizona stockbroker is still a registered investment adviser with AXIOM Founders Family Office.

Several months ago, a Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $1M in compensatory damages to one customer for portfolio losses from allegedly unsuitable private placement recommendations by Roman. The investments involved included:

SSEK broker misconduct Attorneys

Published on: May 23, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses After A Fidelity Broker Made Unsuitable Investment Recommendations?

Whistleblower Claims That Brokerage Firm Fired Him For Disclosing Best Interest Violations Against Customers

SSEK broker misconduct Attorneys are continuing to investigate claims of losses by investors who worked with Fidelity Investments financial advisors. Earlier this year, we filed one six-figure lawsuit for a claimant after the broker-dealer connected him with an outside adviser who made risky, unsuitable investment recommendations, including a concentrated position with Apple.

Broker Fraud Lawyer

Published on: May 19, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Investor Seeks Up $1M In Damages Over UBS YES Losses. Our Broker Fraud Lawyer Are Representing This Claimant and Others Against UBS Financial Services

The Shepherd Smith Edwards and Kantas Broker Fraud Lawyer Team (investorlawyers.com) is representing another investor in their UBS Yield Enhancement Strategy (YES) loss lawsuit against UBS Financial Services. The claimant, an inexperienced New Jersey investor, is suing for up to $1M in damages. Unfortunately, she is just one of many who have suffered significant losses in the brokerage firm’s internally managed, high-risk options trading strategy.

Touted by UBS brokers as a way for investors to obtain marginally higher yields on existing portfolios while taking limited risks, the UBS YES program has caused serious losses for many of the firm’s wealthy clients. Its “iron condor” options overlay approach was allegedly implemented with reckless abandon.

Texas Broker Fraud Law Firm

Published on: May 19, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Estate of Texas Retiree With Dementia Files Six-Figure Broker Fraud Lawsuit Against LPL Financial And Broker Bradley Bowman. Brokerage Firm Allegedly Unsuitably Sold FS Energy & Power Fund and KBS Real Estate Investment Trust III

The Shepherd Smith Edwards and Kantas Texas broker fraud law firm (investorlawyers.com) are representing the estate of a deceased widow in a FINRA lawsuit against LPL Financial and its Houston broker Bradley Alan Bowman. The Katy, Texas investor, who was in his eighties, suffered from dementia. Now, his estate is seeking up to $500K in damages for losses sustained in the non-traded real estate investment trust (non-traded REIT) KBS Real Estate Investment Trust III, the non-traded business development company (non-traded BDC) FS Energy & Power Fund, and an annuity. All of these were too risky for someone of his age with this health issue.

In the broker fraud claim, the estate is alleging best interest violations, unsuitable investment recommendations, misrepresentations and omissions, breach of contract, breach of fiduciary duty, negligence, failure to supervise, and more. LPL and its Texas broker earned high commissions and fees from the illiquid alternative investments it sold to this elderly investor who entrusted them to manage his money properly so he could take care of himself and his family.