Financial Advisor Negligence

Financial Advisor Misconduct Lawyer

Published on: August 20, 2024 | by Shepherd Smith Edwards & Kantas, LLP

When A Broker-Dealer’s Conflicts of Interest Costs Investors Money. Cabaret, Grant & Co. To Pay Over $6M For Purportedly Profiting From Recommending Certain Mutual Funds and Money Market Funds Over Others

The US Securities and Exchange Commission (SEC) is ordering investment advisory and brokerage firm Cadaret, Grant & Co. to pay over $6M for alleged conflicts of interest that allowed it to profit when clients would invest in certain mutual funds and money market funds. According to the regulator, between January 2017 and March 2022, the Atria subsidiary committed breaches of fiduciary duty and violated key regulations under the Investment Advisers Act of 1940.

The SEC contends that Cadaret Grant received revenue-sharing payments from an unaffiliated clearing broker whenever advisory clients made investments in certain money market funds and mutual funds. The Commission said that, as a result, Cadaret Grant clients ended up indirectly paying fees when they were part of the expense ratio as investors of these mutual fund share classes.

Florida Financial Advisor Fraud Attorneys

Published on: March 25, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Florida Financial Advisor Fraud Attorneys From Our Tampa Law Office, We Represent Retail Investors, Retirees, High-Net-Worth Investors, and Institutions

With so many investors from all walks of life living in Florida, it is important to know that our trusted Tampa financial advisor fraud law firm is here to help. Shepherd Smith Edwards and Kantas (investorlawyers.com) represent retail investors, seniors, retirees, accredited investors, high-net-worth individual investors, and institutional investors in pursuing the damages they are owed because of broker misconduct or negligence.

Whether you have been the victim of Florida Financial Advisor Fraud Attorneys by a broker or investment adviser, or a registered representative based elsewhere in the United States, we cannot stress how essential it is that you work with seasoned securities lawyers who have the experience and resources to see your investment loss recovery claim to its conclusion.

New York Financial Advisor Fraud Lawyers

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

New York Financial Advisor Fraud Lawyers

From Our Buffalo Law Offices, Shepherd Smith Edwards and Kantas Is Dedicated To Fighting For NY Investors

Choosing a broker or investment adviser to manage your money is an important decision to make, and one would hope that any financial professional would take the responsibility seriously. Unfortunately, financial advisor fraud happens way too often and this can lead to serious losses for victims.

Mississippi Financial Advisor Fraud Attorneys

Published on: January 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Our Mississippi Financial Advisor Fraud Attorneys Has Been Fighting For Investors Since 1990

Suffering investment losses can be devastating whether you are a retail investor, a high-net-worth sophisticated investor, or an institutional investor. At Shepherd Smith Edwards and Kantas (investorlawyers.com) we represent investors throughout Mississippi in recovering their portfolio losses that were caused by financial advisor misconduct or negligence. Contact us today to request your free, no-obligation case assessment.

I’m a Mississippi Investor. How Do I Know If I’m The Victim of Financial Advisor Fraud?

Louisiana Financial Advisor Fraud Lawyers

Published on: January 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Louisiana Financial Advisor Fraud Lawyers

From Our New Orleans Law Offices, We Work With Investors To Recoup Their Investment Losses

Shepherd Smith Edwards and Kantas (investorlawyers.com) work with individual and institutional investors throughout the state to help them obtain the financial recovery they are owed by financial advisors who have committed fraud, engaged in some other type of misconduct or were negligent. With over 100 years of combined experience in securities law and the securities industry, our Louisiana financial advisor misconduct attorneys have the skills, knowledge, and savvy to help you.

Financial Advisor Negligence Attorneys

Published on: February 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You The Victim of Stockbroker Negligence?

Our Trusted Financial Advisor Negligence Attorneys May Be Able To Help

When many people think of investor losses caused by broker misconduct they often assume that intentional wrongdoing was involved. However, that is not always the case. Unsuitable investment recommendations, misrepresentations and omissions, and overconcentration in a customer’s account (along with a failure to diversify investments) may also be a result of broker negligence. Either way, whether you suffered losses due to stockbroker fraud or negligence, you may be able to sue your brokerage firm and their registered representative for damages. But first, you need to find out whether you have grounds for a securities claim.