Current Investigations

Former Broker James Walesa Is Barred by FINRA

Published on: February 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers Continue To Investigate Investor Losses

The Financial Industry Regulatory Authority (FINRA) announced that it has barred former financial James Thaddeus Walesa. His former clients have filed at least 19 investor lawsuits accusing him of making unsuitable investment recommendations, including one case that was concluded with a $9.75M settlement.

Walesa is accused of making inappropriate investment recommendations in businesses that he owned, ran, or directed. So far, at least $18.3M in settlements have been paid by Triad Advisors (now Osaic) or Arkadios Capital. Both are accused of ignoring Walesa’s alleged broker misconduct when he worked with them. Many of the customer disputes involving him remain pending, including a case in which $34,000,000 is being sought.

Ft. Lauderdale Retirees Sue Emerson Equity Over Inspired Healthcare Capital Losses

Published on: February 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Is Representing This Six-Figure Lawsuit in FINRA Arbitration

Two Florida senior investors are suing Emerson Equity for up to $500,000 in damages for losses they sustained in Delaware Statutory Trusts (DSTs) issued by Inspired Healthcare Capital (IHC). Also named as respondents in their investment loss recovery claim are Emerson Equity broker Patrick Wang Lam and the firm’s Control Person Dominic Julio Baldini.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing these Fort Lauderdale retirees in their Inspired Healthcare Capital claim, which we filed for them in Financial Industry Regulatory Authority (FINRA) arbitration. These were risky, illiquid, Regulation D private placement offerings that were unsuitable for these claimants from the start. Emerson Equity should never have marketed and sold IHC DSTs to them.

Inspired Healthcare Capital Bankruptcy: Investor Loss Recovery Options

Published on: February 4, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Investor Alert: Inspired Healthcare Capital Holdings Bankruptcy and What it Means for Investors. Shepherd, Smith, Edwards & Kantas is Representing Dozens of Investors Already in Claims for Losses in Inspired Healthcare Capital Holdings Entities.

On February 2, 2026, Inspired Healthcare Capital Holdings, LLC (“Inspired Healthcare”) filed for Chapter 11 Bankruptcy protection in the Northern District of Texas. Inspired Healthcare filed bankruptcy for itself and 160 of its affiliates and subsidiaries. A Chapter 11 bankruptcy petition is a “business reorganization” procedure, rather than a liquidation procedure. The bankruptcy petitioner uses the process to reorganize its debt obligations and to attempt to work out a plan to emerge as a new company with less debt and able to go forward. Shepherd, Smith, Edwards & Kantas (investorlawyers.com) is working with investors from all over the country to help try and navigate the consequences of this bankruptcy and to recover lost investment funds by filing an investment loss recovery claim against other parties, such as the advisor who sold the Inspired Healthcare investment.

https://youtu.be/HFey8WalK-8?si=e6oASE31kLk7z06W

Shepherd Smith Edwards and Kantas Unsuitability Attorneys

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Portfolio Losses While Working With Former Aegis Capital Broker Keith D’Agostino?

Contact Our Unsuitability Attorneys Today

Shepherd Smith Edwards and Kantas Unsuitability Attorneys (investorlawyers.com) are investigating claims of losses involving suspended financial advisor Keith Michael D’Agostino. This longtime New York broker has 25 disclosures on his BrokerCheck CRD, including more than two dozen that are still pending or settled customer disputes.

Did You Suffer Investment Losses in Vintage DST, Which Was Sold To You By Your Financial Advisor?

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers May Be Able To Help

Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) are speaking to investors who suffered losses in Vintage Delaware Statutory Trusts (Vintage DST). This private placement Regulation D offering was sponsored by the now-defunct Crew Enterprises (f/k/a Versity Investments). It appears to have been unsuitably recommended to retail investors, retirees, and other unaccredited investors by financial advisors. Vintage DST is a risky, illiquid alternative investment. We are investigating the following brokerage firms or investment advisers that sold this private placement offering:

Aurora Securities

Sutter Securities Under Scrutiny For Alleged Excessive Trading That Cost 89-Year-Old Millions of Dollars

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Securities Attorneys are Investigating

If you are a Sutter Securities Inc. customer and you suspect your portfolio losses may have been caused by excessive trading by your financial advisor, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. The brokerage firm is currently the subject of a complaint by the Financial Industry Regulatory Authority’s (FINRA) enforcement department, accusing the firm of alleged excessive trading in an elderly retiree’s accounts. This purportedly led to the customer, someone with a moderate risk tolerance level and the objective of long-term growth, to pay more than $2.9M in trading costs and sustain at least $1.2M in realized losses

The FINRA complaint accuses Sutter Securities of unsuitably recommending and making 2,217 trades in two of this investor’s trust accounts between March 2020 and July 2021. The enforcement division also alleges that :

Oregon Institutional Investor Law Firm

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Helps Victims of Financial Advisor Fraud and Negligence

From our Portland, Oregon securities law office, Shepherd Smith Edwards and Kantas Oregon Institutional Investor Law Firm (investorlawyers.com) represents institutional investors against broker-dealers and investment advisors. Institutional investor fraud can be complex and difficult to prove and win. We have been fighting for institutional investors throughout the United States, including the Beaver State, for more than 35 years.

Our Oregon institutional investor loss attorneys are well-versed in the financial industry, what constitutes institutional investor fraud or negligence involving financial advisors, and how to maximize an investor’s chances for full financial recovery.

FINRA Arbitration Attorneys

Published on: January 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

For Easterly ROCMuni High Income Fund Investors, Filing A FINRA Lawsuit May Be Your Best Chance At Recouping Your Losses

Shepherd Smith Edwards and Kantas FINRA Arbitration Attorneys Are Representing Easterly ROCMuni Claimants Against Broker-Dealers

Over six months after a fire sale caused Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX) to plunge in value, Shepherd Smith Edwards and Kantas (investorlawyers.com) FINRA Arbitration Attorneys continue to investigate claims of losses against the broker-dealers that unsuitably marketed this high-risk junk bond fund to customers. Already, we have filed investment loss recovery claims in FINRA arbitration against Stifel, Nicolaus & Co, Osaic Wealth, and other firms.

Shepherd Smith Edwards and Kantas Is Representing Inspired Healthcare Capital Investors Against Emerson Equity

Published on: January 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Investment Loss Recovery Lawyers Would Like To Offer You A Free Case Assessment

Shepherd Smith Edwards and Kantas Inspired Healthcare Capital Investment Loss Recovery Lawyers (investorlawyers.com) are continuing to investigate claims of investment losses involving Inspired Healthcare Capital Delaware Statutory Trusts (IHC DSTs). Already, we are representing a number of Claimants, many of them customers of Emerson Equity, which is the sole managing brokerage firm of this Regulation D private placement offering.

Here is a list of the Inspired Healthcare Capital Funds:

Shepherd Smith Edwards and Kantas Oregon Financial Product Failure Attorneys

Published on: January 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Portland, OR Securities Law Firm Represents Investors Against Brokers That Unsuitably Recommended Investments That Failed

If you are an Oregon investor who sustained serious losses because the financial product that your stockbroker or investment adviser recommended failed, contact Shepherd Smith Edwards and Kantas (investorlawyers.com). From our Portland, OR securities law office, we represent Beaver State investors in pursuing damages from negligent financial firms.

What Does It Mean To Sue Your Financial Advisor Over A Financial Product Failure?