Featured Investigation

SSEK FINRA Arbitration Attorneys

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

FINRA Arbitration Panel Orders Stifel Financial To Pay $132.5M to Claimants Over Structured Note Losses

This Is The Latest Investment Award Involving Customers of Star Stifel Broker Chuck Roberts

In what is being called the largest retail investor arbitration award, a Financial Industry Regulatory Authority (FINRA) arbitration panel is ordering Stifel Financial Corp. to pay a family of investors $132.5M in damages and legal fees over losses they sustained in structured notes that were recommended and sold to them by star Stifel broker Chuck Roberts. The award includes $26.5 in compensatory damages, $79.5M in punitive damages, and $26.5M for legal fees. This is much higher than the $5M sought by the claimants.

Non-Traded REIT Loss Attorneys

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses In Cantor Fitzgerald Income Trust?

Our Non-Traded REIT Loss Attorneys Are Exploring Unsuitable Investment Recommendations

Shepherd Smith Edwards and Kantas Non-Traded REIT Loss Attorneys (investorlawyers.com) is investigating losses involving Cantor Fitzgerald Income Trust Inc. and the brokerage firms that may have inappropriately marketed and sold this non-traded real estate investment trust (non-traded REIT) to customers. If you are an investor who would like to explore your legal options regarding your portfolio losses, contact our non-traded REIT fraud law firm today.

Dallas Failure To Supervise Attorneys

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Suing Broker-Dealers Who Breached Their Fiduciary Duty To Texas Investors

Brokerage firms have a duty to properly oversee their registered representatives and their activities in customer accounts. When a failure to supervise allows or neglects to prevent broker fraud from happening, an investor who suffers losses as a result may be able to sue for damages.

Shepherd Smith Edwards and Kantas Dallas Failure To Supervise Attorneys (investorlawyers.com) represent Texas investors who have fallen victim to failure to supervise by their broker-dealer. Contact our Dallas, Tx supervisory negligence law firm today to request your free, no obligation consultation.

Non-Traded REIT Fraud Attorneys

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Non-Traded REIT Losses May Be Grounds For a Broker Misconduct Case. Our Non-Traded REIT Fraud Attorneys Represent Investors In Pursuing Damages

Shepherd Smith Edwards and Kantas Non-Traded REIT Fraud Attorneys (investorlawyers.com) represent investors who have sustained losses in non-traded real estate investment trusts (non-traded REITs) that were unsuitably recommended to them by a broker-dealer or investment adviser. We are currently investigating claims of losses and/or representing investors who have sustained non-traded REIT losses involving the following:

KBS Real Estate Investment Trust III

Margin Abuse Attorneys

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses Due To Margin Blowout? Our Margin Abuse Attorneys Want To Talk To You

If you are an investor who suspects that broker misconduct was a factor in your margin loss claim, contact Shepherd Smith Edwards and Kantas Margin Abuse Attorneys (investorlawyers.com) today. We are looking into claims that may have involved your financial advisor selling out your account positions to satisfy your margin calls.

Having a margin account lets you borrow money from your broker-dealer, which gives you more money to invest. However, you will have to pay back that money. While brokerage firms are entitled to liquidate investors from various positions to meet margin calls, there may be instances in which grounds for a broker negligence claim may be warranted. For example, if your broker-dealer told you that there was time to meet margin calls but then sold your positions before that time had passed, misrepresentations and omissions may have occurred.

Florida Unsuitability Law Firm

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Florida Unsuitability Law Firm Has Been Fighting for Investors For Over 30 Years

The Shepherd Smith Edwards and Kantas Florida Unsuitability Law Firm (investorlawyers.com) represents Florida investors who sustained losses because of unsuitable investment recommendations by their brokerage firm or investment adviser. Contact our Tampa, FL unsuitability attorneys today so that we can help you explore your legal options.

Unsuitability Is One Of The Most Common Reasons For Florida Investor Losses

Alternative Investment Loss Recovery Lawyers

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Cova Capital Broker Unsuitably Sell You Private Placements? Contact Our Alternative Investment Loss Recovery Lawyers Today

Shepherd Smith Edwards and Kantas (investorlawyers.com) is speaking to investors who sustained losses in private placement offerings that were sold to them by Cova Capital Partners. The broker-dealer was sanctioned by the Financial Industry Regulatory Authority (FINRA) and ordered to pay a $30K fine.

FINRA contends that between June 2018 and December 2021, Cova purportedly recommended three private placements to retail investors but neglected to perform the necessary due diligence to have reasonable grounds for thinking the offerings were suitable or in the best interests of at least some of the customers.

Starwood REIT Loss Law Firm

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Sustain Losses In Starwood Real Estate Income Trust?

You May Have Grounds For An Investor Lawsuit Against Your Broker-Dealer

Shepherd Smith Edwards and Kantas Starwood REIT Loss Law Firm (investorlawyers.com) is working with investors who may have been unsuitably sold the Starwood Real Estate Income Trust (SREIT) by a financial advisor. Once again, MacKenzie Realty Capital has launched a tender offer to buy up to 150,000 of Class S shares of Starwood REIT for $15.30/share. That is a 30% reduction to Starwood’s most recent estimated NAV as of Nov 30, 2024, of $21.84/share.

Broker Fraud Lawyers

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

HJ Sims Investors Who Suffered Losses Should Contact Our Broker Fraud Lawyers Today. Brokerage Firm May Have Defrauded Customers With Sale of Reg D Offerings

Herbert J Sims (HJ Sims) is being investigated by Shepherd Smith Edwards & Kantas over allegations that its brokers sold unsuitable, perhaps even fraudulent proprietary private placement offerings to customers. Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) are looking into these claims and speaking to investors who may have been harmed.

Over the last decade, HJ Sims has sold at least 93 Regulation D private placement offerings collectively valued at about $2.2B. The broker-dealer exclusively sold 84 of these products, many of which its own executives are believed to have set up and controlled—setting up a possible conflict of interest from commissions or fees to be earned on both the offering and selling ends. A lot of these HJ Sims bonds have since defaulted. At least 43 HJ Sims Reg D offerings purportedly did not submit state-mandated yearly registration forms.

New Orleans Overconcentration Law Firm

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

The SSEK New Orleans Overconcentration Law Firm is Representing Louisiana Investors Who Were The Victims of Broker Negligence or Fraud

Shepherd Smith Edwards and Kantas (investorlawyers.com) are proud to represent investors from Bayou State who have been the victims of excessive concentration by their financial advisors. From our Metairie, LA securities law offices, we offer robust securities representation and personalized attention to retail investors, retirees, accredited investors, seniors, high-net-worth investors, ultra-high-net-worth investors, and institutional investors.

Why Overconcentration Is Unsuitable For Most Investors