Current Investigations

Reg BI Lawyers

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

Did You Sustain Investor Losses While Working With Ex-American Trust Investment Services Broker Linda Wimsatt? Our Reg BI Lawyers Want To Talk To You

For over 30 years, Shepherd Smith Edwards and Kantas Reg BI Lawyers has been fighting for investors who have suffered portfolio losses due to broker misconduct or negligence. At the moment, we are looking into claims of investment losses involving former customers of suspended financial advisor Linda Jill Wimsatt.

Most recently registered with brokerage firm American Trust Investment Services and investment adviser Chicago Capital Management, she was suspended by the Financial Industry Regulatory Authority (FINRA) last month following findings that Wimsatt allegedly violated clients’ best interests when she purportedly unsuitably recommended speculative, unrated corporate bonds to retail customers and retirees. The California financial advisor consented to the sanctions, including an almost $21K fine, without denying or admitting to the findings.

Texas FINRA Lawyers

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

Austin, TX Investor Files Six-Figure FINRA Arbitration Claim Against Crescent Securities Group Over Portfolio Losses. Our Texas FINRA Lawyers Are Representing This Claimant In Pursuing Damages

Throughout The Lone Star State, Shepherd Smith Edwards and Kantas Texas FINRA Lawyers (investorlawyers.com) represents Texas investors against broker-dealers and investment advisers all over the United States. One of our clients, an older Austin investor in her sixties, is suing Crescent Securities Group for up to $500K, plus interest, and costs. Her investment loss recovery claim will be heard by a panel of arbitrators in Houston.

This claimant contends that ex-Crescent Securities broker Marvin Allan Bergstrom allegedly unsuitably recommended certain stocks and bonds. This investor, who had made it clear from the start that she could not afford to take risks or lose money, ended up suffering a six-figure loss.

SSEK Wins Six-Figure Award For Retiree

Published on: December 12, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards & Kantas Wins Six-Figure Award For Retiree Against Citizens Securities Over CB Life Annuity Losses

Our Annuity Fraud Lawyers Represented This Investor in FINRA Arbitration

Shepherd Smith Edwards & Kantas (investorlawyers.com) is pleased to announce that a FINRA arbitration panel has awarded $152,382.41 in compensatory damage to our client against brokerage firm Citizens Securities. That is the full amount we requested on behalf of this elderly retiree at the hearing. Not only that, but the broker-dealer also has to pay $48,762.37 in attorney’s fees.

Securities Lawyers

Published on: December 10, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Northstar Financial Services (Bermuda) Investor? Our Securities Lawyers May Be Able To Help

Owner Greg Lindberg Pleads Guilty To Criminal Charges In $2B Fraud Case

Shepherd Smith Edwards and Kantas Securities Lawyers (investorlawyers.com) continues to investigate claims of losses by investors whose financial advisors marketed and sold them Northstar Financial Services (Bermuda) annuities. Many of our clients are foreign nationals from Asia, Central America, and Europe whose brokers and investment advisers continued to get paid hefty commissions and fees for keeping investors in these troubled investments long after red flags appeared indicating something was amiss.

Structured Product Attorneys

Published on: December 10, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Structured Product Losses May Lead To Financial Advisor Fraud Lawsuits. Our Structured Product Attorneys Represent Investors In Pursuing Damages

Shepherd Smith Edwards and Kantas (investorlawyers.com) represents investors against the broker-dealers and investment advisers that unsuitably recommended and sold them structured products. These pre-packaged investments tend to be high-risk and illiquid. They may not be an appropriate recommendation for many investors, especially unsophisticated retail investors with low-to-no risk tolerance levels.

If you are wondering whether financial advisor misconduct, negligence, or bad advice played a part in your structured product losses, contact us today to request your free, initial case consultation.

Investor Lawyers

Published on: November 26, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Customers of B Riley Wealth Management Financial Advisor Brian Sterz Filed Investment Loss Recovery Claims. Our Investor Lawyers Are Investigating

Shepherd Smith Edwards and Kantas Investor Lawyers (investorlawyers.com) represents investors who sustained losses involving a B Riley financial advisor. This includes, most recently, a Miami investor who is suing the firm over allegedly unsuitable alternative investment recommendations. This client of ours is seeking up to $500K in damages. We are also working with a retiree who is alleging gross mismanagement and suing for up to $1M.

Our financial advisor fraud lawyers are also investigating claims of investor losses involving former customers of ex-B Riley Wealth Management investment adviser Brian Michael Sterz. A number of them filed claims related to losses involving (OTCMKTS: FMCC), (OTCMKTS: FNMA), and (OTCMKTS: FNMAT).

Healthcare Trust REIT Loss Attorney

Published on: November 26, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investor Losses in Healthcare Trust Inc.?

REIT Rebrands With New Name National Healthcare Properties Inc.

Shepherd Edwards and Kantas Healthcare Trust REIT Loss Attorney teams (investorlawyers.com) are speaking to investors who sustained losses in Healthcare Trust Inc. (HTI), which is now called National Healthcare Properties (NASDAQ: HTIA). Formerly a non-traded real estate investment trust (another earlier name was ARC Healthcare Trust II), this real estate investment trust may have been unsuitably recommended to customers by financial advisors.

Regulation D Investor Loss Lawyers

Published on: November 26, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses in the iCap Ponzi Scam?

Our Regulation D Investor Loss Lawyers Can Help You Explore Your Legal Option

Shepherd Smith Edwards and Kantas (investorlawyers.com) continues to investigate investor losses involving iCap investments that may have been unsuitably marketed and sold by broker-dealers and investment advisers. iCap is accused of defrauding hundreds in what a federal judge last month ruled to be a Ponzi scam.

Securities Law Firm

Published on: November 26, 2024 | by Shepherd Smith Edwards & Kantas, LLP

I’m An Investor. How Should I File A Securities Fraud Claim in the US? Our Skilled Securities Law Firm Can Help You Explore Your Legal Options

Pursuing damages to recoup your investment losses caused by fraud or financial advisor misconduct can be a difficult process, which is why you need seasoned securities attorneys like the ones at Shepherd Smith Edwards and Kantas representing you. We have been fighting for US investors and foreign nationals against US-based broker-dealers and investment advisers for more than 30 years. Through our experienced efforts, we have helped thousands of investors to collectively recoup many millions of dollars through arbitration, mediation, or litigation.

Where Should I File Your Securities Lawsuit Against A Broker-Dealer?

Kentucky Alternative Investment Fraud Lawyers

Published on: November 26, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Kentucky Alternative Investment Fraud Lawyers From Our Lexington Securities Law Offices, Representing Investors Against Broker-Dealers and Investment Advisers

If you are a Kentucky investor who sustained portfolio losses in any alternative investments that you suspect were unsuitably marketed and sold to you by a US financial advisor, Shepherd Smith Edwards and Kantas Kentucky Alternative Investment Fraud Lawyers (investorlawyers.com) want to talk to you. We work with retail investors, retirees, seniors, accredited investors, high-net-worth investors, ultra-high-net-worth investors, and institutional investors in recouping the damages they are owed because of bad investment advice, negligence, or misbehavior by investment professionals. Contact us today so that we can help you explore your legal options.

What Are Alternative Investments?