Current Investigations

Broker-Dealer Negligence Law Firm

Published on: August 1, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Can I Sue My Stockbroker For My Investment Losses?

A Seasoned Broker Fraud Attorney Can Help You Explore Your Legal Options

That depends. Anytime you invest you are taking on some risk. It is not uncommon to make losses and gains on your investment over time, especially depending on what is going on with the markets, and no one is necessarily at fault. However, if your financial advisor engaged in some type of broker misconduct or was negligent and this played a part in your portfolio losses, you may be able to sue them for damages in FINRA arbitration.

Investment Loss Recovery Attorneys

Published on: August 1, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Broker Sell You ICap Northwest Opportunity & Income Fund Private Placements?

Our Investment Loss Recovery Attorneys Can Help You Explore Your Legal Options

In March 2023, ICap Northwest Opportunity Fund CEO announced to investors that it would be suspending interest payments. Clearly this is bad news for ICap Northwest Opportunity and Income Fund private placement investors, many of whom may not have been aware that their broker marketed and sold them such risky, illiquid investments.

Broker Misconduct Attorneys

Published on: July 17, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When You Suspect Your Alternative Investment Losses May Be Due To Broker-Dealer Negligence

Explore Your Legal Options With Seasoned Broker Misconduct Attorneys

More often these days, financial advisors are marketing and selling alternative investments to all kinds of investors, including retail customers and retirees. Once only sold to high-net-worth individual investors, even less sophisticated investors without as many dollars in their accounts have been wanting to get involved. One of the biggest draws is the chance to make greater returns than with traditional investments, as well as increased portfolio diversification.

Broker Misconduct Attorneys

Published on: July 17, 2023 | by Shepherd Smith Edwards & Kantas, LLP

How Can You Avoid Investment Fraud?

Our Savvy Broker Misconduct Attorneys Help Investors Recover Damages

According to the US Securities and Exchange Commission (SEC), there are preemptive measures you can take to minimize your chances of becoming the victim of investment fraud, such as:

Annuity Loss Attorney

Published on: July 17, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Colorado Bankers Life Insurance Annuity Investor Whose Citizens Securities Broker Failed To Disclose The Risks?

Broker-Dealer Is Sued Again Over Colorado Bankers Life Insurance Losses

If you are a Colorado Bankers Life Insurance annuity investor who worked with a Citizens Securities financial advisor, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. Already, we have filed a number of annuity fraud lawsuits against the firm, as well as other broker-dealers, over the sale of annuity policies from this insurer to investors.

Denver Broker Fraud Attorneys

Published on: July 17, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Denver Broker Fraud Attorneys

We Represent Colorado Investors Who Have Suffered Losses Due To Financial Advisor Misconduct

For over 30 years, our trusted Denver Broker Fraud Attorneys have been helping investors from all walks of life to recoup their losses from the broker-dealers responsible. Unfortunately, financial advisor misconduct does happen more often than you would think. It is one of the reasons our own seasoned securities lawyers, many of whom used to be former brokers, left that industry and now choose to exclusively fight for investors while protecting their right to financial recovery.

Kentucky Broker Fraud Attorneys

Published on: July 17, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Kentucky Broker Fraud Attorneys

Our Lexington, KY Securities Law Firm Is Here To Help Investors Recoup

To suffer investment losses can be devastating. When those losses were caused even in part by a financial advisor that you entrusted to keep your assets safe, the sense of betrayal and perhaps even the wondering of what you could have done to protect yourself may arise.

GWG L Bond loss lawyers

Published on: July 17, 2023 | by Shepherd Smith Edwards & Kantas, LLP

For GWG L Bond Investors, Filing A Broker Fraud Lawsuit May Be a Chance For Financial Recovery

Bankruptcy Court Approves GWG Holdings Plan which provides Minimal Hope for Investors.

More than a year after GWG Holdings filed for bankruptcy, its plan has been accepted by the US bankruptcy court in Houston and confirmed by voting bondholders. While this is a positive, forward movement for the bankruptcy proceedings, it is still not the best way for investors to recoup their losses.

Annuity Fraud Lawyer

Published on: July 17, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Our Colorado Bankers Life Insurance Annuity Fraud Lawyer Team Are Representing Retirees and Other Retail Investors

Brokers Breached Duty To Investors When Selling Annuities

If you are a retiree or another investor who lost money in Colorado Bankers Life Insurance, the time to explore your legal options is now. For years, those who purchased annuity policies have had their money frozen with no relief in sight. Meanwhile, the insurer is in rehabilitation and its owner Greg Lindberg is embroiled in criminal charges, fraud lawsuits, and other litigation.

Realty Trust Loss Attorney

Published on: July 17, 2023 | by Shepherd Smith Edwards & Kantas, LLP

NorthStar Healthcare Income and Griffin Capital Essential Asset II Are Too Risky For Novice Investors

Illinois Retirees Files Broker Fraud Lawsuit Against Wintrust Investments

If you suffered serious losses in the non-traded real estate investment trusts (non-traded REITs) NorthStar Healthcare Income and Griffin Capital Essential Asset II (Now Griffin Realty Trust), you may want to explore your legal options by contacting Shepherd Smith Edwards and Kantas Realty Trust Loss Attorney Team. Both non-traded REITs are illiquid, high-risk investments and generally should not be recommended to inexperienced or conservative investors, including retirees.