Current Investigations

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.

Kentucky Overconcentration Lawyers

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

From Our Lexington, Kentucky Overconcentration Lawyers, We Represent Investors Whose Financial Advisors Excessively Concentrated Their Accounts

For more than 30 years, Shepherd Smith Edwards and Kantas Kentucky Overconcentration Lawyers (investorlawyers.com) have represented Kentucky investors who have sustained losses in their investment accounts because of overconcentration. This is a serious problem that occurs all too often and may have been avoided were it not for financial advisor misconduct or negligence. Contact our Lexington excessive concentration law firm to schedule your free, initial case assessment.

Overconcentration Can Lead To Serious Losses For Kentucky Investors

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.

Selling Away Attorneys

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

Our Selling Away Attorneys Represent Investors In Recouping Your Losses

If you sustained investment losses and wondering whether broker misconduct or negligence played a part, contact Shepherd Smith Edwards and Kantas Selling Away Attorneys (investorlawyers.com) today. We have been representing US investors for more than 30 years against broker-dealer and investment advisers.

One type of stockbroker fraud that happens is called selling away. That is the term given to when a financial advisor sells a security that their firm has not vetted and approved to a client. This can be highly risky for the investor because this means that the brokerage firm has not done the necessary due diligence to ensure the investment’s legitimacy, safety, and compliance. This could expose the customer to potential fraud and loss.

L Bond Fraud Lawyers

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

Illinois Investors File 7-Figure GWG Loss Lawsuit Against Moloney Securities and Broker John Shortal. Our L Bond Fraud Lawyers Are Representing These Claimants Who Are Alleging Unsuitability, Misrepresentations

A family of GWG Holdings investors are seeking up to $1M in damages plus interests and costs in their FINRA lawsuit against Moloney Securities and its Illinois broker John Patrick Shortall. Shepherd Smith Edwards and Kantas L Bond Fraud Lawyers (investorlawyers.com) are representing these claimants.

Their GWG fraud lawsuit alleges that Shortall was more concerned with commission earnings than the fiduciary duties owed to these investors. The claimants are also contending that Moloney Securities was beyond complacent in its supervision of this broker and the products it chose to solicit. In their L Bond loss recovery claim, the Illinois family is also alleging unsuitability, misrepresentations and omissions, and overconcentration involving these illiquid junk bonds.

Ponzi Scam Attorneys

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

Did You Suffer Investor Losses While Working With Barred Osaic Wealth Broker Marat Likhtenstein? Our Ponzi Scam Attorneys Are Looking Into Allegations of a $1.24M Fraud

Shepherd Smith Edwards and Kantas Ponzi Scam Attorneys (investorlawyers.com) are looking into allegations that ex-Osaic Wealth financial advisor Marat Likhtenstein stole $1.24M from clients in an alleged Ponzi scam. We are offering a free, no-obligation case assessment to former customers of this now-barred New York broker who suffered serious losses.

Likhtenstein, who worked in the industry for 30 years, was an Osaic Wealth registered representative from 2018 to 2024 when the firm fired him after he allegedly did not disclose personal loan transactions with a client. He was permanently barred by the Financial Industry Regulatory Authority (FINRA) that same year.

Investor Loss Recovery Attorneys

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

Did Your Tigress Financial Partners Broker Unsuitably Recommend A Participant Capital Fund To You? Our Investor Loss Recovery Attorneys Are Investigating Claims

Shepherd Smith Edwards and Kantas Investor Loss Recovery Attorneys (investorlawyers.com) are looking into claims of losses by current and former customers of Tigress Financial Partners involving the sale of Participant Capital investments. According to Participant Capital’s website, the alternative asset firm invests in “ground-up development, distressed, and value-add real estate projects in the Sun Belt States,” and Puerto Rico. Multi-family, mixed-use, residential, commercial, hospital, and medical office facilities are among the properties involved, as well as the following:

The Legacy Hotel & Residences in Miami

San Diego Unsuitability Lawyers

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

San Diego, CA Unsuitability Lawyers

Representing Southern California Investors Who Have Been The Victims of Unsuitable Investment Recommendations By Their Financial Advisors

If you are a Southern California investor who has sustained serious losses because you suspect that your broker or investment adviser made a too-risky or otherwise inappropriate recommendation to you, contact the San Diego law office of Shepherd Smith Edwards and Kantas (investorlawyers.com) today. For investors in Northern and Central California, you may want to reach out to our San Francisco securities law office.

Florida Failure To Supervise Law Firm

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

When Sunshine State Investors Lose Because Of Lax Oversight By Broker-Dealers

From our securities law office in Tampa, FL, Shepherd Smith Edwards and Kantas Florida Failure To Supervise Law Firm (investorlawyers.com) represent investors throughout the state whose portfolio losses might have been avoided or lessened were it not for a failure to supervise by the broker-dealer. Supervisory deficiencies are commonly cited as a legal cause for why a customer may choose to seek damages. To schedule your free case consultation, contact us today.

What Is Failure To Supervise?

Structured Product Fraud Law Firm

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

New York Family Sues Osaic Wealth Over Structured Product Losses

Osaic Broker Allegedly Unsuitably Recommended an Auto-callable Contingent Coupon Equity Linked Note

The Shepherd Smith Edwards and Kantas Structured Product Fraud Law Firm (investorlawyers.com) is representing a mother and daughter in their FINRA lawsuit against Osaic Wealth (FKA Woodbury Financial Services). The claimants, who are both older investors, worked with Osaic broker Joseph Barnas.