Featured Investigation

Structured Product Loss Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas structured product loss attorneys continue to investigate structured product losses involving Stifel Broker Chuck Roberts.

More Investors File Broker Fraud Lawsuits Claiming 7-Figure Losses

Our seasoned structured product loss attorneys are continuing to speak to investors who worked with star Stifel Financial broker Chuck Roberts. Already, the broker-dealer has had to pay millions of dollars to former clients, including, recently, a more than $14.2M arbitration claim that included $9M in punitive damages to a Florida couple and $2.35M to another investor who accused the broker-dealer of failure to supervise, negligence, breach of fiduciary duty, fraud and more.

Alternative Investment Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With LPL Financial/Osaic Broker Cynthia Giovacchino? Shepherd Smith Edwards and Kantas Alternative Investment Attorneys Are Investigating

If you are an investor who sustained serious portfolio losses while working with Connecticut financial advisor Cynthia Ann Giovacchino, either while she was an LPL Financial registered representative or, more recently, in her role as an associated person with Osaic Institutions, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today.

Giovacchino, who has worked 25 years in the industry, has a dozen disclosures on her CRD. All of them are customer disputes that have either resulted in settlements or are still pending. Allegations against Giovacchino include unsuitable investment recommendations in alternative investments, such as non-traded real estate investment trusts (non-traded REITs) and structured notes, misrepresentation, and more.

Unsuitability Loss Lawyers

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

What Does It Mean To Sue A Broker For Unsuitability?

Our Trusted Unsuitability Loss Lawyers Are Here To Help

At Shepherd Smith Edwards and Kantas (investorlawyers.com), we represent investors who have been the victim of unsuitable investment recommendations by their broker or investment adviser. Unfortunately, unsuitability is one of the most common causes of investor losses that end up meriting a lawsuit for damages against a financial advisor and/or their firm.

Florida Alternative Investment Fraud Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Tampa Florida Alternative Investment Fraud Attorneys Represent Investors From All Walks Of Life Against Financial Advisors

At Shepherd Smith Edwards and Kantas (investorlawyers.com), our Tampa Florida Alternative Investment Fraud Attorneys work with investors who have sustained losses because of unsuitable, fraudulent, or poor-performing financial products that were inappropriately marketed and sold to them by a broker or investment adviser. If you suspect that you may be the victim of alternative investment fraud, contact us today to schedule a free, initial case assessment.

What Is An Alternative Investment And Why Might You, A Florida Investor, Want to Sue Your Broker?

San Diego Investment Loss Law Firm

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

San Diego, CA Investment Loss Law Firm

Representing Southern California Investors Against Brokers and Investment Advisers

In recent years, alternative investments have become an attractive draw for investors looking to diversify and expand their portfolios. However, these little-regulated, complex securities can also be high-risk and they are not suitable for every investor. If you are a Southern California investor who sustained losses after your broker or investment adviser unsuitably recommended an alternative investment, Shepherd Smith Edwards and Kantas San Diego Investment Loss Law Firm want to talk to you.

Senior Financial Exploitation Loss Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

FINRA Arbitration Panel Orders Wells Fargo Advisors To Pay $3.4M To Investor

Broker-Dealer Accused of Negligence That Allegedly Enabled Elder Financial Exploitation

A three-person FINRA Dispute Resolution Services panel awarded one investor $3.4M in damages and costs over losses his now-deceased mother sustained while working with Wells Fargo Advisors and its financial advisor Stephen Lyndell Smith. The claimant, who filed his broker fraud lawsuit in 2023, alleged negligence, breach of contract, breach of fiduciary duty over the broker-dealer’s purported “inaction” to stop unauthorized trades in the account of an older investor in declining health, and more.

Dallas Alternative Investment Fraud Lawyers

Published on: December 29, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Dallas Alternative Investment Loss Recovery Lawyers – We Help Texas Investors In Fighting For The Damages Owed To Them By Financial Advisors

Shepherd Smith Edwards and Kantas (investorlawyers.com) Dallas Alternative Investment Fraud Lawyers represent investors who are seeking to recoup the losses they sustained in alternative investments. If your broker or investment adviser marketed or sold you one of these non-traditional investments, contact our Dallas, TX securities law office today.

What Are Alternative Investments?

Ponzi Scheme Attorneys

Published on: December 29, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Ex-LPL Broker John Matson Accused of Operating Ponzi Scam. Our Ponzi Scheme Attorneys Are Investigating Investor Losses

If you are someone who sustained losses while working with former LPL Financial broker John Nicholas Matson, also the principal of South Bay Acquisitions, Shepherd Smith Edwards and Kantas (investorlawyers.com) want to talk to you. Matson, who was barred by the Financial Industry Regulatory Authority (FINRA) in 2022 following allegations of promissory note fraud involving an elderly customer, was fired by the broker-dealer that same year. Now, the US Securities and Exchange Commission (SEC) has filed charges accusing him of defrauding investors, including ex-brokerage customers, in an alleged Ponzi scam.

The SEC contends that between January 2012 and September 2021, Matson and his company made unregistered offerings of securities, raising more than $1.5M in the process. Through these “LLC Bonds” from South Bay, investors’ money was then allegedly used for Matson’s personal use.

Alternative Investment Fraud Lawyers

Published on: December 29, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Elderly Investor Files L Bond Lawsuit Accusing Newbridge Securities of Making Unsuitable Investment Recommendation. Our Alternative Investment Fraud Lawyers Are Representing This Claimant

A senior investor is suing Newbridge Securities for up to $500K in damages for losses he sustained after the broker-dealer allegedly harmfully recommended high-risk junk bonds issued by GWG Holdings. That alternative asset firm is now accused of operating a more than $1.6B Ponzi scam.

Shepherd Smith Edwards and Kantas Alternative Investment Fraud Lawyers (investorlawyers.com) are representing this California claimant, whose case involves a financial advisor who appears to have been more concerned with earning high commissions rather than fulfilling her fiduciary duty to this investor and his wife.

Alternative Investment Lawyers

Published on: December 29, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investor Losses While Working With Financial Advisor Angelo Talebi?

This Beverly Hills Financial Planners Investment Adviser May Have Unsuitably Sold GWG L Bonds, Non-Traded REITs

Shepherd Smith Edwards and Kantas (investorlawyers.com) are speaking with investors who sustained serious losses while working with California financial advisor Angelo Talebi. The ex-Independent Financial Group stockbroker, who is a registered investment adviser and the CEO of Beverly Hills Financial Planners, has 40 customer disputes listed on his CRD.