Featured Investigation

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?

Structured Product Fraud Attorneys

Published on: November 22, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Stifel, Nicolaus & Co. Ordered To Pay Investors $2.35M Over Structured Note Losses

This Latest FINRA Arbitration Award Again Involved Broker Chuck Roberts

Once again, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Stifel, Nicolaus, & Co. to pay investors who sustained structured product losses—callable structured notes, in particular— while working with financial advisor Chuck Roberts. This time the award is for $2.35M. The award itself is for almost $1.9M while the remainder is for legal fees. In his investor lawsuit, the claimant alleged negligence, negligent supervision, fraud, and more.

Exchange-Traded Fund Lawyers

Published on: November 22, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Leveraged ETF Losses While Working With Former Ameriprise Broker George Snyder IV? Our Exchange-Traded Fund Lawyers Can Help You Determine Whether Broker Misconduct Was A Factor

While there is the potential for making huge gains with a leveraged exchange-traded fund (leveraged ETF), there is also the risk of huge losses. This can be especially devastating if you are a retail investor who was unsuitably recommended this alternative investment by your financial advisor. Shepherd Smith Edwards and Kantas (investorlawyers.com) represent ETF investors with securities fraud claims against their broker-dealers.

We are currently investigating leveraged ETF losses involving former customers of suspended Ameriprise Financial broker George Snyder IV. The ex-Missouri financial advisor recently consented to a five-month suspension term and a $10K fine to settle Financial Industry Regulatory Authority (FINRA) findings alleging that he unsuitably recommended investments—non-traded exchange-traded products (NT-ETPS), particularly leveraged ETFs—that were not in some customers’ best interests.

Structured Product Fraud Lawyers

Published on: November 22, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Is Investigating B Riley Investment Losses. Our Structured Product Fraud Lawyers Speaking To Investors To Explore Their Legal Options

If you are an investor who sustained losses in a B Riley Financial-issued investment that was marketed and sold to you by your financial advisor, contact Shepherd Smith Edwards and Kantas Structured Product Fraud Lawyers (investorlawyers.com) today. We are looking into the following investments:

NASDAQ: RILY

ETF Loss Recovery Attorneys

Published on: November 13, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Investors Lose Money In T-Rex 2X Inverse Nvidia Daily Target ETF’s Stock Drop? Our ETF Loss Recovery Attorneys Are Investigating

If you sustained losses after your financial advisor marketed and sold the T-Rex 2X Inverse Nvidia Daily Target ETF (BATS:NVDQ) to you, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. This exchange-traded fund (ETF) experienced a decline after Nvidia Corp’s (NASDAQ:NVDA) stock rise of 221.08%. Inversely, T-Rex 2X Inverse Nvidia Daily Target ETF share price went down by 96%.

This exchange-traded fund is meant to correspond to twice the inverse performance of Nvidia Corporation’s stock. It lets investors bet against Nvidia stock’s performance or hedge to existing long positions in Nvidia. The T-Rex 2X Inverse Nvidia Daily Target ETF is supposed to rise in value when Nvidia’s stock price goes down. The ETF is supposed to lose value when Nvidia’s stock price goes up. Derivatives are used by the leveraged ETF to bet against Nvidia’s performance.

Churning Attorneys

Published on: November 13, 2024 | by Shepherd Smith Edwards & Kantas, LLP

When Excessive Trading Violates Regulation’s Best Interest

Broker-Dealer PHX Financial Accused of Costing Customers $1M

According to the Financial Industry and Regulatory Authority (FINRA), excessive trading is what happens when a registered financial professional recommends a large number of trades that are not in line with a customer’s investing goals. Instead, it is the financial advisor who benefits, usually in excess commissions earned. Another term for excessive trading is churning.