Current Investigations

New Jersey GWG L Bond Loss Attorney

Published on: August 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

New Jersey Investor Files Six-Figure GWG L Bond Loss Lawsuit Against Newbridge Securities

Broker-Dealer Is Accused of Supervisory Failures, Breach of Fiduciary Duty, And More

Once again, Shepherd Smith Edwards and Kantas New Jersey GWG L Bond Loss Attorney Teams (investorlawyers.com) are representing a client in their investment loss recovery claim over losses they sustained in GWG L Bonds. The respondent, Newbridge Securities, is being sued for up to six-figures in damages.

Oil and Gas Investment Lawyers

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

Did Suspended Vanderbilt Securities Broker Kurt Berry Sell You Resolute/PetroRock Investments?

Our Oil and Gas Investment Lawyers Are Investigating Investor Losses

If you sustained losses in a Resolute/PetroRock investment, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. We are looking into investor losses, particularly those involving retirees and retail investors whose financial advisors may have unsuitably sold over $250M of these unregistered equity and debt securities to them.

GWG L Bond Recovery Lawyers

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

New Jersey Investor Files Six-Figure GWG L Bond Loss Lawsuit Against Newbridge Securities

Broker-Dealer Is Accused of Supervisory Failures, Breach of Fiduciary Duty, And More

Once again, Shepherd Smith Edwards and Kantas GWG L Bond Recovery Lawyers (investorlawyers.com) is representing a client in their investment loss recovery claim over losses they sustained in GWG L Bonds. The respondent, Newbridge Securities, is being sued for up to six figures in damages.

Mississippi Non-Traded REIT Loss Law Firm

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

Our Gulfport, Mississippi Non-Traded REIT Loss Law Firm Represented Retail Investors, Retirees, Accredited Investors and Wealthy Investors

If you are a Mississippi investor who sustained losses in a non-traded real estate investment trust (non-traded REIT), contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. Unfortunately, this type of investment can lead to significant losses especially when unsuitably marketed by a financial advisor.

For over 30 years, our non-traded REIT fraud attorneys have been helping investors to recoup their investments caused, even if just in part, by stockbroker misconduct or negligence. From our Gulfport, MS securities law office, we work with clients in Harrison County, Amite County, Washington County, Jackson County, and the rest of The Magnolia State.

Kentucky Non-Traded REIT Fraud Attorneys

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

From Our Lexington Securities Kentucky Non-Traded REIT Fraud Attorneys Law Office, We Represent Investors Against Brokers and Investment Advisers

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing Kentucky investors and their financial advisor fraud lawsuits related to non-traded real estate investment trusts (non-traded REIT losses). With more than 100 years of combined experience in securities law and securities, we provide seasoned legal representation that can maximize your chances of a full financial recovery.

What Is Non-Traded REIT and How Can It Lead To Losses for Kentucky Investors?

Private Placement Fraud Lawsuit

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

Our Broker Fraud Attorneys Are Representing This Claimant in Her Private Placement Fraud Lawsuit

Retiree Sues Calton & Associates Over Losses in Nelson Partners Skyloft Austin DST

Shepherd Smith Edwards and Kantas (investorlawyers.com) is continuing to investigate investor losses in the Nelson Partners Skyloft, a Delaware Statutory Trust (DST)/ real estate private placement, which was allegedly run in Ponzi-like fashion. Recently, we filed a Financial Industry Regulatory Authority (FINRA) arbitration claim on behalf of a California retiree who is now seeking up to $500K in damages from brokerage firm Calton & Associates.

Mutual Fund Switching Loss Attorneys

Published on: July 23, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Mutual Fund Losses While Working With Suspended Florida Broker John Wigmore Reilly III?

Ex-Securities Research Financial Advisor Accused of Best Interest Violations

Shepherd Smith Edwards and Kantas Mutual Fund Switching Loss Attorneys (investorlawyers.com) are offering free, no obligation case assessments to customers of former stockbroker John Reilly III. The Financial Industry Regulatory Authority (FINRA) suspended him for three months after finding that he purportedly violated customers’ best interests when he allegedly engaged in mutual fund switching that resulted in excessive sales fees for two older investors.

Healthcare Trust REIT Law Firm

Published on: July 23, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Healthcare Trust Non-Traded REIT Investor Who Suffered Serious Losses? Our Healthcare Trust REIT Law Firm Is Continuing To Investigate Allegations Against Financial Advisors

If you sustained losses in Healthcare Trust Inc. (HTI), please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today so that we can help you determine whether you have grounds for a broker misconduct claim against your financial advisor. This publicly registered non-traded real estate investment trust (non-traded REIT)— formerly called Healthcare Trust II (ARC Healthcare Trust II)—was closed off to new investors a while back. However, there have been concerns that the stockbrokers that marketed and sold this alternative investment to clients may have unsuitably recommended Healthcare Trust to some and, also, allegedly misrepresented the risks.

With its limited operating history as an emerging growth company, this non-traded REIT was always a high-risk proposition for investors. Healthcare Trust is very illiquid, offering materials by sponsor AR Global even indicated that its offering price was “arbitrarily” determined, and there were purported conflicts of interest between HTI investors and other parties involved. Also, high commissions and other fees were reportedly paid to broker-dealers, dealer managers, and others. Add those up and that means that less than 87% of Hospitality Trust investors’ money end up actually going into this investment.

Stockbroker Misconduct Attorney

Published on: July 23, 2024 | by Shepherd Smith Edwards & Kantas, LLP

When Structured Products Involving Stockbroker Misconduct Leads To Investment Losses. Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorney Team Represents Investors Against Brokerage Firms

If you have sustained losses in a structured product, contact our securities law firm today. Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorney Teams (investorlawyers.com) have been fighting for investors against brokers and their firms for over 30 years.

What Are Structured Products?

Structured Product Loss Attorneys

Published on: July 23, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Ex-Customers of Stifel, Nicolaus Broker Chuck Roberts Are Suing For $41.2M. Contact Our Structured Product Loss Attorneys To Explore Your Legal Options

Shepherd Smith Edwards and Kantas (investorlawyers.com) Structured Product Loss Attorneys are continuing to speak with investors who have sustained losses while working with Stifel, Nicolaus, & Co. financial advisor Chuck A. Roberts. This New York broker, who has been in the industry for 34 years, has nearly two dozen disclosures on his CRD. This purportedly includes $41.2M in still pending investment loss recovery claims by former customers and primarily over the sale of structured notes. Among these were autocallable notes that didn’t come with much downside protection in the event that there was a decline in price of their underlying reference assets. Structured notes can be very volatile and speculative investments.

Claimants allege negligence, financial advisor fraud, breach of fiduciary duty, and breach of contract by Roberts, who is also a Miami Beach, Florida investment adviser for the firm. This Stifel, Nicolaus stockbroker is accused of telling clients that if they invested in the structured notes he chose, they would be able to preserve capital while making a return that came with a long-term average of approximately 12.25%.