Current Investigations

FINRA Arbitration Attorneys

Published on: October 30, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas FINRA Arbitration Attorneys Secures $100,000 FINRA Arbitration Award Against TDAmeritrade

Our Client, An Older Investor, Was Defrauded By Scammers Through His Accounts With TDAmeritrade, now Charles Schwab & Co.

Our Texas elder financial abuse attorneys are pleased to announce that we have obtained a roughly $100,000 FINRA arbitration award for an Austin investor who lost much of his life savings after scammers managed to take money from his accounts with TDAmeritrade. The firm has since merged with Charles Schwab & Co.

SSEK Broker Misconduct Attorney

Published on: October 30, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Barred Brokers May Still Pose A Risk To Investors

Many Find Ways To Keep Working As Financial Advisors Despite Industry Expulsion

According to a Financial Advisor IQ article, hundreds of brokers who have been barred by the Financial Industry Regulatory Authority (FINRA) continue to find ways to stay in business even if it is no longer registered representatives with a broker-dealer. Many continue to promote themselves as trusted financial advisors, wealth planners, or insurance agents.

Mutual Fund Abuse Attorney

Published on: October 30, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Commonwealth Financial Network Ordered To Pay $93.3M Over Mutual Fund Revenue Sharing

SEC Alleged Breach of Fiduciary Duty When Firm Recommended Mutual Fund Shares That Paid It Fees

Earlier this year, Commonwealth Financial Network was ordered to pay $93.3M in a breach of fiduciary duty lawsuit filed by the US Securities and Exchange Commission (SEC) in 2019. The regulator claimed that the independent broker-dealer and investment adviser did not disclose material conflicts of interest involving revenue-sharing agreements with clearing firm National Financial Services.

Oregon Alternative Investment Lawyers

Published on: October 30, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Oregon Alternative Investment Lawyers

Our Portland, OR Investor Loss Recovery Law Firm Works Is Here To Fight For You

For over 30 years, Shepherd Smith Edwards and Kantas Oregon Alternative Investment Lawyers (investorlawyers.com) has helped clients to recoup the losses they sustained in alternative investments that may have been unsuitably recommended to them by their financial advisor. From our Portland law offices, we work with retail investors, retirees, high-net-worth investors, and institutional investors throughout Oregon.

Aegis Capital Loss Recovery Attorney

Published on: October 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Aegis Capital Cause Investors To Lose At Least $5B?

Broker-Dealer Accused of Underwriting Questionable Stock Offerings

Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate allegations that Aegis Capital may have cost investors billions of dollars in its role as the underwriter of stocks of small companies that were about to be delisted or facing bankruptcy; purportedly, the only reason these companies were able to stay open was because the broker-dealer helped sell these “worthless stocks” to its customers, as well to customers of other brokerage firms.

Northstar Fraud Law Firm

Published on: October 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Spanish Investors Sue Insigneo Securities For Up to $500K Following Northstar (Bermuda) Losses. Our Northstar Fraud Law Firm Are Representing These Claimants And Many Others

Shepherd Smith Edwards and Kantas Northstar Fraud Law Firm (investorlawyers.com) is representing two Spanish citizens in their Northstar (Bermuda) investment loss recovery claim against Insigneo Securities. The claimants, who are requesting up to $500K, in addition to interest and costs, are alleging unsuitable investment recommendations, concentration, misrepresentations and omissions, a gross lack of supervision, negligence, grossly negligent behavior, and more.

The couple, one of whom is now deceased, were referred to Insigneo (when it used to be Northeast Securities) through City National Bank in South Florida where they were residents. The wanted a safe haven for their assets. Instead, the broker-dealer allegedly abused their trust by overconcentrating a huge portion of their assets in Norhtstar Financial Services (Bermuda), an offshore investment that is now defunct.

Investment Loss Recovery Lawyers

Published on: October 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Broker Unsuitably Recommend Hatteras Investment Partners Funds? Shepherd Smith Edwards and Kantas Investment Loss Recovery Lawyers Are Investigating Broker-Dealers For Negligence

If you suffered losses in a Hatteras Investment Partners Fund, Shepherd Smith Edwards and Kantas Investment Loss Recovery Lawyers (investorlawyers.com) want to talk to you. We have reason to believe that broker-dealers may have unsuitably recommended the following to investors:

Hatteras Core Alternatives TEI Fund

FINRA Lawsuit Law Firm

Published on: October 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Stifel Nicolaus Ordered To More Than $14M in Damages, Including $9M in Punitive Damages, Over Structured Note Losses

Claimants Are Former Clients of Stifel Stockbroker Chuck Roberts

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Stifel, Nicolaus & Co. to pay over $14M to a Florida couple. That is almost $2M in compensatory damages, including interest, to these investors, more than $2M in compensatory damages to their business, $9M in punitive damages, $1.1M in legal fees, and $100K in costs.

Seasoned Broker Fraud Lawyers

Published on: October 3, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Lost Money From Aegis Capital Corp. Underwritten Stocks?

Our Seasoned Broker Fraud Lawyers Are Investigating Loss Claims That May Be in The Billions

If you sustained losses in stock that were underwritten and/or sold by Aegis Capital Corp., Shepherd Smith Edward and Kantas Seasoned Broker Fraud Lawyers (investorlawyers.com) would like to offer you a free, no-obligation case assessment to determine whether you have grounds for a broker fraud claim. Aegis Capital is under scrutiny for allegedly underwriting securities that are now likely worthless and may have cost investors billions of dollars.

Structured Product Law Firm

Published on: October 3, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses in Autocallable Structured Notes?

Contact Our Skilled Structured Product Fraud Attorneys For A Free Case Assessment

If you sustained losses in an autocallable structured note that was marketed and sold to you by a financial advisor, you may have grounds for a claim for damages. The Shepherd Smith Edwards and Kantas Structured Product Law Firm (investorlawyers.com) is available to talk to you during an initial case consultation to help you determine what legal steps, if any, you should take.