Structured Products

Structured Product Attorneys

Published on: December 10, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Structured Product Losses May Lead To Financial Advisor Fraud Lawsuits. Our Structured Product Attorneys Represent Investors In Pursuing Damages

Shepherd Smith Edwards and Kantas (investorlawyers.com) represents investors against the broker-dealers and investment advisers that unsuitably recommended and sold them structured products. These pre-packaged investments tend to be high-risk and illiquid. They may not be an appropriate recommendation for many investors, especially unsophisticated retail investors with low-to-no risk tolerance levels.

If you are wondering whether financial advisor misconduct, negligence, or bad advice played a part in your structured product losses, contact us today to request your free, initial case consultation.

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.

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

Structured Note Lawyers

Published on: September 5, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses While Working With Stifel, Nicolaus & Co. Broker Chuck Roberts? There Is Still Time To Explore Your Legal Options. Contact Our Structured Note Lawyers

Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to speak with former customers of Stifel, Nicolaus & Co. financial advisor Chuck Roberts. This registered representative heads up the firm’s CR Wealth Management Group.

He is still with Stifel even though investors who worked with him have filed at least $41.2M in broker fraud lawsuits over losses they allegedly sustained in structured products he recommended, including auto-callable notes. Visit Roberts’ CRD for more information.

Structured Product Loss Attorneys

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

Ex-Customers of Stifel, Nicolaus Broker Chuck Roberts Are Suing For $41.2M. Contact Our Structured Product Loss Attorneys To Explore Your Legal Options

Shepherd Smith Edwards and Kantas (investorlawyers.com) Structured Product Loss Attorneys are continuing to speak with investors who have sustained losses while working with Stifel, Nicolaus, & Co. financial advisor Chuck A. Roberts. This New York broker, who has been in the industry for 34 years, has nearly two dozen disclosures on his CRD. This purportedly includes $41.2M in still pending investment loss recovery claims by former customers and primarily over the sale of structured notes. Among these were autocallable notes that didn’t come with much downside protection in the event that there was a decline in price of their underlying reference assets. Structured notes can be very volatile and speculative investments.

Claimants allege negligence, financial advisor fraud, breach of fiduciary duty, and breach of contract by Roberts, who is also a Miami Beach, Florida investment adviser for the firm. This Stifel, Nicolaus stockbroker is accused of telling clients that if they invested in the structured notes he chose, they would be able to preserve capital while making a return that came with a long-term average of approximately 12.25%.

Structured Product Loss Attorneys

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

INVESTOR ALERT: Clients of Stifel Nicolaus Financial Advisor Chuck Roberts File $38,100,000 In Broker Fraud Lawsuits.

SSEK Structured Product Loss Attorneys Represents Structured Product Investors in Pursuing Damages

More than one year, after our investment loss recovery lawyers began investigating claims of losses by customers of Stifel, Nicolaus stockbroker Chuck A. Roberts, the number of FINRA arbitration claims filed by those seeking damages, has skyrocketed. According to Roberts’ CRD, there are at least 16 pending investor loss cases involving this financial advisor and the money being sought is now collectively over $38,000,000. There are 21 disclosures in total on his record. Meantime, Roberts remains a registered representative with Stifel where he has worked as a broker and/or investment adviser for the last seven years. Reports indicate that he is based out of New York City and/or Miami Beach, Florida.

Structured Note Loss Lawyers

Published on: December 30, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Structured Note Loss Lawyers

Did You Suffer Serious Investor Losses in JPMorgan Chase Auto Callable Contingent Interest Notes Linked to the S&P GSCI® Crude Oil Index Excess Return?

If you suspect that you unsuitably recommended and sold JPMorgan Chase Auto Callable Contingent Interest Notes Linked to the S&P GSCI® Crude Oil Index Excess Return (SPGCCLP) and you sustained serious investment losses, you may be able to file a Financial Industry Regulatory Authority (FINRA) lawsuit against your broker-dealer if alleged brokerage firm negligence or fraud was involved. This particular structured product is a complex, illiquid investment and too risky for most retail customers, including conservative retirees and inexperienced investors. It may even be unsuitable for some high-net-worth investors, depending on their financial goals, risk tolerance level, age, and investment portfolio.

Some Investors Lose Big As ETFs, ETNs & Other Structured Products Fail During COVID-19

Published on: June 15, 2020 | by Shepherd Smith Edwards & Kantas, LLP

Structured Product Losses Stun Retail Investors Who Should Never Have Been Told By Brokers To Buy Them

The recent market turbulence caused by the coronavirus has caused many investors’ portfolios to suffer huge losses, and nowhere is this more evident as the losses suffered by those who invested heavily in structured products, including exchange-traded notes (ETNs) and exchange-traded funds (ETFs).

And while yes, no one could have anticipated COVID-19 battering the economy and the markets, for many investors, they likely shouldn’t have and wouldn’t have gotten involved in these complex investments were it not for the recommendation of their stockbroker.

Centaurus Financial & JP Turner Brokers Including Cindy Chiellini, Atul Makharia and Greg Scott Young Targeted South Carolina & Tennessee Retirees in Structured Products Scam

Published on: June 12, 2020 | by Shepherd Smith Edwards & Kantas, LLP

Accused of Defrauding Plant Workers, Including Retirees

Centaurus Financial advisor Ricky Mantei (Mantei Group), formerly a JP Turner stockbroker, is alleged to have been the mastermind behind a large enterprise that spanned four offices in two states and resulted in the retirement savings of many unsuspecting investors being lost.

Mantei is now named in 35 customer disputes. The majority, 30 of these broker fraud complaints, were filed over the last two years and many of them are still pending. Most of the complaints filed in the last two years accuse Mantei of heading up a one size fits all investment fraud that overconcentrated customers’ accounts in structured products and other risky, illiquid, and speculative investments. Many of his alleged victims were retirees, including plant workers in South Carolina and Tennessee.

Structured Products Are Not For Everyone In San Francisco. Here’s Why

Published on: May 15, 2020 | by Shepherd Smith Edwards & Kantas, LLP

Our San Francisco structured product fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) work with investors throughout the San Francisco Bay Area in helping them to recoup their losses.

Structured products are not for everyone, although investors find them very attractive because they can provide the opportunity to earn the high yield not likely to happen with more traditional types of investments.

Unfortunately, even though these market-linked investments should only be marketed to sophisticated investors that can handle a certain level of risk, brokers lured by the healthy commissions have been recommending them to retail investors, including senior investors and retirees, for years.