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Broker Theft Attorney

Published on: August 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Failure To Supervise Enables Broker Theft

LPL Financial Fined $3M After Its Financial Advisors Steal From 13 Customers

If your broker-dealer failed to identify and investigate red flags indicating possible misconduct or fraud by your financial advisor you may be able to hold them liable for your investment losses. Recently, the Financial Industry Regulatory Authority (FINRA) fined LPL Financial $3M after finding that the firm allegedly failed to properly supervise its registered representatives, which placed customers at risk of suffering serious investment losses. This included its purported failure to stop two of its brokers from misappropriating $2.4M from 13 clients, most of whom were senior investors.

Annuity Fraud Lawyers

Published on: August 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Why CB Life Annuity and Northstar (Bermuda) Investors Should Explore Suing Their Broker

Owner Greg Lindberg’s Money Woes, Along With Fraud Charges, Pile Up

If you are an investor whose assets are frozen in Colorado Bankers Life Insurance, Southland Reinsurance Company, Northstar Financial Services (Bermuda), or another Greg Lindberg-owned insurance company, now is the time to explore whether you have grounds for suing your broker for marketing and selling you these companies’ annuities. All of Lindberg’s insurers are currently in rehabilitation or liquidation. With his financial, regulatory, and criminal fraud charges continuing to grow, waiting for those proceedings, or the North Carolina billionaire himself, for any type of financial relief will be a lengthy and arduous process. Who knows if investors will get back much, if anything at all from them, in the end.

Broker Fraud Lawyers

Published on: August 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Can International Investors Pursue Their Northstar (Bermuda) Losses From Cetera Investment Services?

Chinese Investor Sues US-Based Broker-Dealer For Up to $500K in Damages

If you are a foreign national who suffered losses after Cetera Investment Services or another US-based broker-dealer marketed and sold you Northstar Financial Services (Bermuda) investments, know that there are legal remedies available to you for recovering your losses. This includes, potentially, suing the brokerage firm and their registered representative in Financial Industry Regulatory Authority (FINRA) arbitration.

Disabled and Elder Financial Abuse Lawyers

Published on: August 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Seniors and Disabled Investors Are Defrauded By Their Brokers

SEC Charges Ex-Centaurus Broker Joseph Michael Todd For Misappropriating $3M From Customers

If you are an older or disabled investor who was the victim of broker fraud, you may be able to sue the broker-dealer for damages by contacting our disabled and elder financial abuse lawyers. Even if the financial firm was unaware of their financial advisor’s misconduct, if they failed to properly supervise this registered representative and their activities in your account, the firm could be held liable.

Northstar (Bermuda) Loss Attorneys

Published on: June 29, 2023 | by Shepherd Smith Edwards & Kantas, LLP

International Investors May Be Able To Pursue Northstar (Bermuda) Losses From Broker-Dealers

Japanese Retirees File Seven-Figure Broker Fraud Lawsuit Against Bankoh Investment Services

If you are a non-US citizen whose broker-dealer sold you annuity and annuity-like investments in Northstar Financial Services (Bermuda), there is still time to explore your legal options. For the last few years, Shepherd Smith Edwards and Kantas team of Northstar (Bermuda) Loss Attorneys have been zealously investigating the brokerage firms that marketed and sold this offshore investment to customers, many of whom have suffered significant investment losses. These investors are foreign nationals who worked with a US-based broker-dealer to invest their money. A lot of them are seniors whose retirement funds and life savings have taken a huge hit.

FINRA Arbitration Law Firm

Published on: June 6, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Wins $953K FINRA Arbitration Award Against Crown Capital Securities

Investors Suffered Losses in GPB, Non-Traded REITS, & Oil and Gas

Shepherd Smith Edwards and Kantas (investorlawyers.com) are pleased to announce that a Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $953,364K in their broker-dealer negligence lawsuit against Crown Capital Securities. The claimants had suffered losses in the following investments:

Broker-Dealer Fraud Lawyers

Published on: June 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When High Returns May Be A Sign of Investment Fraud

Our Trusted Broker-Dealer Fraud Lawyers Help Investors To Recoup Their Losses

It can be exciting to make good money from investing, and high returns, especially, can be rewarding. However, there are instances when such returns can be a red flag indicating that you may be about to become or already are the victim of an investment scam.

Investment Loss Lawyers

Published on: April 26, 2023 | by Shepherd Smith Edwards & Kantas, LLP

What Should You Do If Your Broker Won’t Return Your Calls or Brushes Aside From Your Concerns Regarding Your Investments?

Contact Our Knowledgeable Broker Negligence Attorneys

Even if you are working with a registered financial advisor to manage and invest your money, this does not make you exempt from becoming the victim of investment fraud whether due to a failed financial product or the wrongful or negligent actions of a stockbroker or investment adviser. At Shepherd Smith Edwards and Kantas (investorlawyers.com) our team of Investment Loss Lawyers, work with retail investors, retirees, senior investors, high-net-worth investors, and institutional investors in determining not only whether they have suffered financial losses due to fraud, but also in helping them pursue the damages they are owed from broker-dealers.

Florida FINRA Attorneys

Published on: January 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Florida FINRA Attorneys

From Our Tampa Securities Law Office, Shepherd Smith Edwards and Kantas Represent Florida Investors Against Brokerage Firms

Suffering serious investment losses, especially when caused by brokerage firm misconduct or negligence, can be devastating. You entrusted your financial advisor to take care of your money and now you’ve discovered they may have betrayed you by breaching their fiduciary duty and disregarding your best interests while leaving you to pay the price.

Non-Traded Securities Litigation Lawyers

Published on: January 18, 2023 | by Shepherd Smith Edwards & Kantas, LLP

How Can Our Non-Traded Securities Litigation Lawyers Help You Recover Your Investor Losses?

For over 30 years, Shepherd Smith Edwards and Kantas (investorlawyers.com) has represented investors who have suffered serious losses in non-traded securities against their brokerage firms and financial advisors. Most recently, this has included either investigating and/filing Financial Industry Regulatory Authority (FINRA) lawsuits involving:

Northstar Financial Services (Bermuda) annuities and other products