Broker Misconduct

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.

Stockbroker Misconduct Attorneys

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

Did Imprisoned Oppenheimer Broker John Woods Defraud You In $110M Horizon Private Equity III Scam? Our Stockbroker Misconduct Attorneys May Be Able To Help

Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorneys (investorlawyers.com) are continuing to investigate claims of investor losses involving the $110M Horizon Private Ponzi Fraud once run by convicted former Oppenheimer financial advisor John Justin Woods. The former stockbroker, who pleaded guilty to wire fraud, defrauded hundreds of investors, including many seniors, retirees, and veterans, from around the United States.

He operated his scheme through Livingston Group Asset Management Company (Southport Capital) and his Horizon Private Equity III LLC, and he also worked as an Oppenheimer registered representative. This is why the broker-dealer has been sued by many of Woods’ victims.

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.

Financial Advisor Misconduct Attorney

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Victim of Investment Adviser Fraud? SEC Accuses Upright Financial Group and Founder David Yow Shang Chiueh Of Defrauding Investors of $1.6M

If you believe you were the victim of investment adviser fraud, contact Shepherd Smith Edwards and Kantas Financial Advisor Misconduct Attorney (investorlawyers.com) today. We are looking into allegations that RIA Upright Financial Corp., its Upright Investments Trust, and found David Yow Shang Chiueh not only defrauded investors of $1.6M but also violated a settlement agreement with the US Securities and Exchange Commission (SEC).

Upright and Chiueh reached a settlement agreement with the regulator a few years ago over allegations that the RIA firm and its founder made investments not in line with its classification as a diversified investment company and its own concentration policy. Instead, per the SEC’s investigation, over 25% of their Upright Growth Fund’s assets were invested in one industry over several years. This is known as overconcentration and can lead to serious investment losses.

Broker Misconduct Lawyers

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Tesla, Nvidia, Amazon, and Other “Magnificent Seven” Stocks Track Worst Performances. Our Broker Misconduct Lawyers Are Exploring Whether Unsuitable Recommendations of Tech Stocks May Have Led To Overconcentration, Margin Abuse

Shepherd Smith Edwards and Kantas (investorlawyers.com) are closely monitoring the markets at this time to determine whether investors whose brokers heavily invested them in “Magnificent 7” stocks may have grounds for an investment loss recovery claim.

Following two years of leading stocks’ rallies, the largest technology companies—Amazon (AMZN), Alphabet (GOOGL, GOOG), Tesla (TSLA), Microsoft (MSFT), and Meta (META)—are underperforming and leading the major indexes downward. Apple is also down.

Business Development Company Loss Recovery Attorneys

Published on: February 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Business Development Company Loss Recovery Attorneys Investigates Blue Owl Capital BDC Losses

Our Business Development Company Loss Attorneys Are Looking Into Allegations Of Broker Negligence

If you sustained losses in either Blue Owl Capital Corp (OBDC) or Blue Owl Capital Corp III (OBDE), Shepherd Smith Edwards and Kantas (investorlawyer.com) can help you explore your legal options. We represent investors who have sustained losses in business development companies (BDCs) in which broker misconduct or negligence was involved.

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.