Current Investigations

Private Placement Loss Lawyer

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

Are You An Investor Who Purchased HJ Sims Private Placements?

Shepherd Smith Edwards and Kantas Private Placement Loss Lawyer team Is Investigating Claims of Losses

If you suffered losses from a private placement offering from HJ Sims (Herbert J. Sims and Co.), Shepherd Smith Edwards and Kantas would like to talk to you. The firm has come under scrutiny over its sale of at least 93 Regulation D private offerings—around $2.2B worth over the last decade.

Broker Misconduct Attorney

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

Did Your Financial Advisor Know Exactly What They Were Selling You?

Our Broker Misconduct Attorney Team Can Help You Assess Whether You Have Grounds For a Legal Claim

If you are an investor who has had the unexpected surprise of sustaining significant losses in an investment that proved to be fraudulent, you may have invested too much in, or was unsuitable for you given your risk tolerance level, you may be wondering how to recoup your losses. Do you go after the issuer of the investment? Does your broker have any liability in this matter?

Investment Loss Recovery Lawyer

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

Did Former Dempsey Lord Smith Broker Arni Diamond Sell You GWG L Bonds?

Our Skilled Investment Investment Loss Recovery Lawyer Team Wants To Talk To You

Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate claims of losses by those who worked with former financial advisor Arni Jay Diamond. Temporarily suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly unsuitably recommending speculative alternative investments, including limited partnerships, to two older investors, Diamond is a previously registered broker and investment adviser. He also has been licensed to sell insurance products in Florida under his company The Diamond Group.

Annuity Loss Lawyers

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

Colorado Bankers Life Insurance Investors Still Have Time To Sue Their Brokers

Our Annuity Loss Lawyers Are Representing Claimants Who Suffered Serious Losses

Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to represent many of the annuity holders who suffered losses in Colorado Bankers Life Insurance and other Greg Lindberg-owned insurance companies. Unfortunately, about 70,000 retirees and other retail customers have been unable to withdraw the savings that they invested in these insurers for the last few years.

Alternative Investment Lawyer

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

Shepherd Smith Edwards and Kantas Alternative Investment Lawyer Teams Investigates Investor Losses Involving Coastal Equities Broker Gilbert Conrad

Clients of NY Financial Advisor Are Seeking Millions of Dollars in Damages

If you are an investor who suffered serious losses while working with stockbroker Gilbert Russell Conrad, Shepherd Smith Edwards and Kantas (investorlawyers.com) would like to talk to you. Currently a Coastal Equities financial advisor, Conrad was an Arkadios Capital broker from 2020 to 2022. He was an Independent Financial Group registered representative from 2016 to 2020. He worked at several other broker-dealers before that and has been in the industry for nearly thirty years.

Kentucky Financial Advisor Fraud Law Firm

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

Kentucky Financial Advisor Fraud Law Firm

From Our Lexington, Kentucky Financial Advisor Fraud Law Firm We Provide Zealous Advocacy and Solid Representation to Investors

Whether you are a retail investor, a retiree, a high-net-worth individual investor, or an institutional investor, if you are someone who suspects you have been the victim of financial advisor fraud Shepherd Smith Edwards and Kantas (investorlawyers.com) would like to talk to you. Our Lexington financial advisor misconduct attorneys represent Kentucky investors against the broker-dealers, investment advisers, and their registered representatives that caused your investment losses.

Non-Traded REIT Loss Lawyer

Published on: February 5, 2024 | by Shepherd Smith Edwards & Kantas, LLP

If You Are A Watermark Lodging Trust Investor Our Knowledgeable Non-Traded REIT Loss Lawyer Wants To Talk To You. Your Broker-Dealer Could Be Held Liable For Your Losses

More than a year after Watermark Lodging Trust announced that stockholders had approved its acquisition by Brookfield Real Estate Funds, investors of this non-traded real estate investment trust (non-traded REIT) may still want to explore their legal options for financial recovery. Shepherd Smith Edwards and Kantas (investorlawyers.com) can help.

Formed when Carey Watermark Investors and Carey Watermark Investors 2 merged in April 2020, Watermark Lodging Trust closed all of its hotels during the COVID-19 pandemic. Distributions from its common stock, as well as redemptions, were suspended. Not only that but while original shares in the two Carey Watermark REITs were sold at $10/share, earlier investors saw an almost 50% loss after the merger that resulted in Watermark Lodging Trust.

Structured Product Loss Attorneys

Published on: February 1, 2024 | by Shepherd Smith Edwards & Kantas, LLP

INVESTOR ALERT: Clients of Stifel Nicolaus Financial Advisor Chuck Roberts File $38,100,000 In Broker Fraud Lawsuits.

SSEK Structured Product Loss Attorneys Represents Structured Product Investors in Pursuing Damages

More than one year, after our investment loss recovery lawyers began investigating claims of losses by customers of Stifel, Nicolaus stockbroker Chuck A. Roberts, the number of FINRA arbitration claims filed by those seeking damages, has skyrocketed. According to Roberts’ CRD, there are at least 16 pending investor loss cases involving this financial advisor and the money being sought is now collectively over $38,000,000. There are 21 disclosures in total on his record. Meantime, Roberts remains a registered representative with Stifel where he has worked as a broker and/or investment adviser for the last seven years. Reports indicate that he is based out of New York City and/or Miami Beach, Florida.

Northstar Bermuda Loss Attorneys

Published on: February 1, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Chinese Investors File Northstar (Bermuda) Lawsuit For Over $5 Million Against Cetera.

Our Northstar Bermuda Loss Attorneys Represent Foreign Nationals in The US and Abroad Against Broker-Dealers

In our latest Northstar Financial Services (Bermuda) loss lawsuit against Cetera Investment Services, Shepherd Smith Edwards and Kantas (investorlawyers.com) are representing two Chinese citizens, one living in the US and one abroad, in their more than $5M annuity loss claim that was brought in Financial Industry Regulatory Authority (FINRA) arbitration.

Private Placement Loss Attorneys

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

Cambridge Investment Research Under Scrutiny For Alleged ICap Investment Sales. Our Private Placement Loss Attorneys Are Continuing To Investigate Investor Losses

Brokerage firms are supposed to look out for their clients’ best interests. This includes conducting the proper due diligence into any investment that they market and sell to investors and only recommending a security, trade, or financial product if it is suitable for a customer given their investing profile, financial goals, risk tolerance level, and other key factors.

Unfortunately, a slew of brokerage firms allegedly engaged in misconduct or negligence when they promoted iCap securities to clients. Shepherd Smith Edwards and Kantas (investorlawyers.com) is investigating these broker-dealers, including Cambridge Investment Research, over growing concerns of liability for investor losses.