Current Investigations

Kentucky FINRA Attorneys

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Kentucky FINRA Attorneys From Our Lexington Securities Law Office, We Represent Investors Against US Brokerage Firms

If you are a Kentucky investor who has suffered serious portfolio losses that you suspect may have been due to the wrongful or negligent actions of your financial advisor, it is important that you speak with a skilled Kentucky FINRA Attorneys right away. At Shepherd Smith Edward and Kantas (investorlawyers.com) we can help you explore your legal options.

With our securities law firm conveniently located in Lexington, we work with investors throughout the state. We represent clients not just against Kentucky-based brokerage firms but also against broker-dealers all over the United States.

Bond Fraud Lawyers

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Why Credit Suisse 7.5% Perpetual AT1 Bond Investors May Want To Explore Their Legal Options

Our Bond Fraud Lawyers Are Investigating Whether Broker-Dealers Committed Due Diligence Failures

With the UBS/Credit Suisse merger resulting in the writing off to zero of $17.2B Credit Suisse contingent convertible bonds (CoCos), investors of the latter’s Credit Suisse 7.500% Perpetual Corp. and its other CoCo bond offerings may have reason to worry. While the merger and resulting write-off of all Credit Suisse AT1 bonds may be reassuring to the Swiss Banking sector, investors of these bonds could be looking at significant losses. Although, it isn’t so much the write-down of the bonds but that the bondholders are not getting any compensation, while the bank’s shareholders are getting paid $3.23B, which is purportedly causing problems.

Broker Misappropriation Attorney

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Alleged Broker Misappropriation Leads To Investor Losses

Ex-Monmouth Capital Management Financial Advisor Caz Craffy Is Accused of Defrauding Military Families

Our trusted broker fraud lawyers work with investors and their families that have sustained losses due to financial advisors or negligence. This includes looking into allegations of misappropriation by financial advisors and whether their broker-dealers should be held liable.

Skilled Securities Fraud Lawyers

Published on: March 22, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer SVB Financial Group Investor Losses?

With Silicon Valley Bank Collapse, Our Skilled Securities Fraud Lawyers Are Investigating Brokerage Firms That May Have Made Misrepresentations

Just days after Silicon Valley Bank collapsed and was taken over by US banking regulators, sources report that parent company SVB Financial Group (SIVB: NASDAQ) may mull bankruptcy. Already, the latter saw its share price plunge by over 60%, and two of its top executives, CEO Greg Becker, and CFO Daniel Becker, are being sued by investors who are alleging securities fraud. The proposed class action lawsuit is accusing the defendants of concealing that rising interest rates posed a risk to the banking unit.

Broker Fraud Lawyers

Published on: March 22, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Why The Parking REIT Investors May Want To Explore Their Legal Options

Our Broker Fraud Lawyers Are Investigating The Broker-Dealers Over Alleged Investment Scam

With so many The Parking REIT investors appearing to have lost more than 50% of their investment in a purported investment scheme, Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate the brokerage firms that marketed and sold shares in this former non-traded real estate investment trust (non-traded REIT). If you are someone who invested in The Parking REIT (now called Mobile Infrastructure Corp.), contact us here today to request your free, no-obligation case assessment.

Life Insurance Fraud Lawyers

Published on: March 22, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Houston Investor Sues Oak Harvest Financial Group Over Annuity Losses

How Our Colorado Bankers Life Insurance Fraud Lawyers Can Help You

A Texas investor has filed a seven-figure securities fraud lawsuit against registered investment adviser Oak Harvest Financial Group and its principal Troy Robert Sharpe. The plaintiff contends that the RIA allegedly unsuitably recommended that he invest his savings in annuities from Western Bankers Life Insurance, which is a Bankers Financial Corp. subsidiary, Colorado Bankers Life Insurance, and Upstream Life Insurance Company.

Non-Traded REIT Fraud Lawyers

Published on: March 22, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Non-Traded REIT Fraud Lawyers Represent Lightstone Real Estate Income Trust Investors Against Brokerage Firms

Our Skilled Non-Traded REIT Fraud Lawyers Go After Negligent Broker-Dealers

If you are someone who invested in Lightstone Real Estate Income Trust, now called Lightstone Value Plus REIT IV, Inc., Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you determine whether you have grounds for a securities fraud lawsuit against your broker-dealer. This non-traded REIT is an illiquid, privately traded unregistered security. It should only have been recommended to experienced, accredited investors. Yet there continues to be growing concern that Lightstone Real Estate Income Trust may have been allegedly unsuitably recommended to many retail investors, including older retirees.

Annuity Investor Loss Lawyers

Published on: March 16, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Is Investigating Citizens Securities Over Colorado Bankers Life Insurance Annuity Sales To Investors

Our Skilled Annuity Investor Loss Lawyers Can Help You Explore Your Legal Options

Shepherd Smith Edwards and Kantas Annuity Investor Loss Lawyers have been pursuing the brokerage firms that sold annuities and annuity-like products from companies owned by billionaire Greg Lindberg. This includes our investigation into Citizens Securities, which is a subsidiary of Citizens Bank. The registered broker-dealer and investment adviser (RIA) may have allegedly unsuitably marketed and sold Colorado Bankers Life Insurance annuities to investors, including retirees.

Bond Loss Attorneys

Published on: March 16, 2023 | by Shepherd Smith Edwards & Kantas, LLP

As Creditors GWG Holdings of Running A $1.6B Ponzi Scam, Investors Continue To File Broker Fraud Lawsuits

Our Trusted Bond Loss Attorneys Are Helping Retirees, Older Investors, and Others Pursue Financial Recovery

Nearly one year after GWG Holdings, Inc. filed for Chapter 11 bankruptcy, the allegations that the company was running an alleged $1.6B Ponzi scam continue. The latest accusations come from creditors in the bankruptcy case. In a court document, they accuse GWG chairman and The Beneficient Company Group founder Brad Heppner of orchestrating a multi-year fraud to enrich his corporate entities and himself while purportedly causing financial harm to about 27,000 investors.

Annuity Investment Loss Lawyers

Published on: March 16, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Colorado Bankers Life Insurance Annuity Investors May Be Able To File Broker Fraud Lawsuits

Owner Greg Lindberg Faces More Criminal Charges

Our annuity investment loss lawyers are continuing to help investors pursue damages from the brokerage firms that allegedly unsuitably recommended and sold them annuities issued by Colorado Bankers Life Insurance Company. The insurer, which entered into liquidation in late 2022, is owned by billionaire Greg Lindberg.