Investor Loss Attorneys

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).

Investment Loss Recovery Lawyers

Published on: October 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Broker Unsuitably Recommend Hatteras Investment Partners Funds? Shepherd Smith Edwards and Kantas Investment Loss Recovery Lawyers Are Investigating Broker-Dealers For Negligence

If you suffered losses in a Hatteras Investment Partners Fund, Shepherd Smith Edwards and Kantas Investment Loss Recovery Lawyers (investorlawyers.com) want to talk to you. We have reason to believe that broker-dealers may have unsuitably recommended the following to investors:

Hatteras Core Alternatives TEI Fund

CYES Investor Loss Lawyers

Published on: October 3, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Merrill Lynch and Harvest Volatility Management To Pay $9.3M Over CYES Strategy

SEC Alleges That Investors Ended Up Losing Money and Paid Higher Fees

According to the US Securities and Exchange Commission (SEC), Merrill Lynch and Harvest Volatility Management have consented to pay a combined $9.3M penalties and disgorgement to settle charges accusing both firms of exceeding client investment limits when employing the Collateral Yield Enhancement Strategy (CYES). This purportedly cost customers to pay higher fees and suffer investment losses.

GWG Investment Loss Recovery Lawyers

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

Texas Couple Sues Independent Financial Group Over GWG L Bond Losses. Our GWG Investment Loss Recovery Lawyers Are Representing These Claimants In Their Six-Figure FINRA Lawsuit

Another two investors who suffered serious losses in GWG Holdings are filing a broker-dealer misconduct case. The claimants, two Texas investors, are seeking up to $500K in damages from Independent Financial Group. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this older couple. From the start, they had made it clear to their broker that, given their ages, they did not want to take on any undue risks.

Despite their wishes, then-Independent Financial Group broker Justin Kyle McIntyre allegedly unsuitably recommended GWG L Bonds, which are illiquid junk bonds, as well as other illiquid non-traded products to them. These investments tend to pay financial advisors huge commissions but they are rarely in their customers’ best interests.

Alternative Investment Loss Attorneys

Published on: May 19, 2024 | by Shepherd Smith Edwards & Kantas, LLP

New Jersey Widow Sues Cambridge Investment Research Over Alternative Investment Losses

Elderly Investor Seeks Up to $500K For LJM Preservation and Growth Fund, FS Energy & Power Fund, Highlands REIT, InvenTrust PPTYS, and Other Losses

If you suffered losses in alternative investments that were recommended by your financial advisor, contact the Shepherd Smith Edwards and Kantas Alternative Investment Loss Attorneys (investorlawyers.com) today. These high-risk, illiquid investments are unsuitable for many conservative and elderly retirees. Yet, many brokers continue to market and sell them to these investors in order to earn high commissions.

Investment Loss Recovery Lawyer

Published on: February 7, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Former Dempsey Lord Smith Broker Arni Diamond Sell You GWG L Bonds?

Our Skilled Investment Investment Loss Recovery Lawyer Team Wants To Talk To You

Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate claims of losses by those who worked with former financial advisor Arni Jay Diamond. Temporarily suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly unsuitably recommending speculative alternative investments, including limited partnerships, to two older investors, Diamond is a previously registered broker and investment adviser. He also has been licensed to sell insurance products in Florida under his company The Diamond Group.

Northstar Bermuda Loss Attorneys

Published on: February 1, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Chinese Investors File Northstar (Bermuda) Lawsuit For Over $5 Million Against Cetera.

Our Northstar Bermuda Loss Attorneys Represent Foreign Nationals in The US and Abroad Against Broker-Dealers

In our latest Northstar Financial Services (Bermuda) loss lawsuit against Cetera Investment Services, Shepherd Smith Edwards and Kantas (investorlawyers.com) are representing two Chinese citizens, one living in the US and one abroad, in their more than $5M annuity loss claim that was brought in Financial Industry Regulatory Authority (FINRA) arbitration.

Denver Investor Loss Lawyers

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

Denver Investor Lawyers

Our Colorado Investment Loss Recovery Law Firm Can Help You Determine Whether Financial Advisor Fraud Was Involved

Portfolio losses can have life-altering consequences for an investor. From our securities law offices in Denver and Ridgway, CO, Shepherd Smith Edwards and Kantas (investorlawyers.com) represent Colorado investors in recouping the damages they are owed by the brokerage firms and investment advisers who should have done a better job of managing their clients’ assets.

Investment Broker Fraud Law Firm

Published on: October 23, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did Emerson Equity Broker Tony Barouti Sell You GWG L Bonds?

The Investment Broker Fraud Law Firm of Shepherd Smith Edwards and Kantas Is Continuing To Investigate Investor Losses

If you are an investor who suffered losses in GWG Holdings L Bonds, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. To date, our Investment Broker Fraud Law Firm has filed a number of broker fraud lawsuits against the broker-dealers and, in some cases, their registered representatives who allegedly unsuitably sold these high-risk junk bonds to investors. GWG Holdings is accused of operating a more than $1.6B Ponzi scam.

Investment Loss Recovery Attorneys

Published on: August 1, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Broker Sell You ICap Northwest Opportunity & Income Fund Private Placements?

Our Investment Loss Recovery Attorneys Can Help You Explore Your Legal Options

In March 2023, ICap Northwest Opportunity Fund CEO announced to investors that it would be suspending interest payments. Clearly this is bad news for ICap Northwest Opportunity and Income Fund private placement investors, many of whom may not have been aware that their broker marketed and sold them such risky, illiquid investments.