Current Investigations

Reg D Investment Loss Recovery Lawyers

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Herbert J Sims Broker Alan Dalewitz Sell You Private Placements?

Shepherd Smith Edward and Kantas Reg D Investment Loss Recovery Lawyers Are Investigating Investor Losses

If you suffered serious portfolio losses while working with Herbert J. Sims & Co. (HJ Sims) stockbroker and investment adviser Alan Jay Dalewitz, or any other financial advisor from that firm, Shepherd Smith Edwards and Kantas (investorlawyers.com) want to talk to you. A customer of Dalewitz recently filed an investment loss recovery claim seeking up to $150K in damages and is alleging unsuitable investment recommendations.

New York Financial Advisor Fraud Lawyers

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

New York Financial Advisor Fraud Lawyers

From Our Buffalo Law Offices, Shepherd Smith Edwards and Kantas Is Dedicated To Fighting For NY Investors

Choosing a broker or investment adviser to manage your money is an important decision to make, and one would hope that any financial professional would take the responsibility seriously. Unfortunately, financial advisor fraud happens way too often and this can lead to serious losses for victims.

Broker Fraud Attorney

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You Someone Who Suffered Losses While Working With Ex-American Portfolios Financial Services Broker Mark Hopkins? Our Broker Fraud Attorney Teams Want To Talk To You

Nearly one year after the US Securities and Exchange Commission (SEC) permanently barred American Portfolios Financial Services stockbroker Mark Lewton Hopkins, Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate claims of investment losses involving his former clients. The ex-Michigan financial advisor has been serving a prison term for defrauding investors.

Hopkins was a registered representative with American Portfolios Financial Services for nearly a decade. The firm allowed him to resign in 2018 over allegations that he engaged in selling away. Hopkins was barred by the Financial Industry Regulatory Authority (FINRA) in 2019. He worked at other broker-dealers before that during his 23 years in the industry.

HJ Sims Investment Loss Recovery Lawyer

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

I’m An HJ Sims Private Placement Investor. What Can I Do To Get My Money Back?

Exploring Your Legal Options With Our Skilled Reg D Investment Loss Recovery Lawyer Is A Good First Step

If you are one of the many investors who marketed and sold HJ Sims private placement offering by the firm, you may have suffered huge losses and are wondering how you can get your money back. The financial firm/broker-dealer Herbert J. Sims is under fire for its allegedly unsuitable sale of around $2.2B of Regulation D investments, many of which its own executives issued.

Northstar (Bermuda) Financial Services Investment Loss Attorney

Published on: February 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Venezuelan Family Sues Truist Investment Services For Northstar (Bermuda) Losses

Shepherd Smith Edwards and Kantas (investorlawyers.com) Northstar Financial Services Investment Loss Attorney Teams are representing Latin American investors in pursuing damages from the US-based brokerage firms that unsuitably marketed and sold them Northstar Financial Services (Bermuda) annuities. This includes three Venezuelan claimants, all from the same family, who are seeking up to $500K from Truist Investment Services.

Six-Figure FINRA Lawsuit Alleges Overconcentration Of Savings In Unsuitable Offshore Annuities

Northstar (Bermuda) Securities Law Attorney

Published on: February 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Northstar (Bermuda) Investors To Receive Update On Liquidation, Distribution Payments. Shepherd Smith Edwards and Kantas Northstar Securities Law Attorney Team Is Continuing To Investigate Losses

If suffered serious losses in Northstar Financial Services (Bermuda), please contact Shepherd Smith Edwards and Kantas (investorlawyers.com). We are representing many investors in pursuing damages against the broker-dealers that unsuitably marketed and sold them annuities from this offshore company that went bankrupt in 2020.

Following a hearing on January 19, 2024, the Joint Provisional Liquidators (JPLs) for Northstar (Bermuda) received procedural directions instructing them to give creditors and policyholders details regarding proposed next steps in the liquidation proceedings, payments of certain distributions, and the valuation of claims. This information is supposed to be provided by February 15, 2024, at the latest.

Private Placement REIT Loss Attorney

Published on: February 7, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Florida Retirees File Six-Figure Tuscan Gardens Loss Lawsuit Against Delta Securities and Ex-Broker Sean Casterline

Our Private Placement REIT Fraud Lawyers Are Representing These Claimants

A Palm Coast, Florida couple is suing Delta Securities and its formerly registered broker Sean Donovan Casterline for up to $500K over losses they sustained in Tuscan Gardens, a Regulation D privately traded real estate investment trust (REIT). Shepherd Smith Edwards and Kantas (investorlawyers.com) are representing these retirees and others in their private placement loss lawsuits involving Tuscan Gardens REIT. We are also continuing to investigate further claims of investor losses.

High-Net-Worth Investor Loss Lawsuits

Published on: February 7, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Lost Money While Working With Now Barred Broker Antoine Souma?

Ex-Los Angeles Financial Advisor, Once Lauded by Barron’s, May Have Targeted Middle Eastern Investors

More than four years after J.P. Morgan Securities agreed to pay $14M to an investor who blamed former stockbroker Antoine Nabih Souma’s alleged misconduct for a $20M loss, Shepherd Smith Edwards and Kantas (investorlawyers.com) is continuing to look any significant portfolio losses of those who worked with him. Barred by the Financial Industry Regulatory Authority (FINRA) in early 2023 after refusing to provide information and documents in an ongoing investigation, Souma most recently was an Insigneo Securities broker in Beverly Hills, CA.

Private Placement Lawyers

Published on: February 7, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Pariter Securities May Have Sold ICap Investments To Investors Now Suffering Huge Losses. Our Reg D Private Placement Lawyers Represent iCap Investors

At Shepherd Smith Edwards and Kantas (investorlawyers.com), it has come to our attention that Pariter Securities may have unsuitably sold iCap investments to customers. Now, in the wake of real estate investor and manager iCap Enterprises’ Chapter 11 bankruptcy protection, these investors and many others are reporting huge investment losses.

iCap raised $245M from investors through a number of independent brokerage firms that earned high commissions from the sales of:

Chicago Financial Advisor Fraud Attorneys

Published on: February 7, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Chicago Financial Advisor Fraud Attorneys

Representing Illinois Investors In Recouping Their Losses From Brokers and Investment Advisers

According to the Federal Trade Commission, in 2022 consumers lost over $3.8M to investment scams. Unfortunately, among the perpetrators and/or enablers of such schemes are financial advisors. At Shepherd Smith Edwards and Kantas (investorlawyers.com), we represent Illinois investors who have lost money because of the fraudulent behaviors of their stockbroker or investment adviser.