Investor Lawyers Blog

FINRA Arbitration Lawyers

Published on: March 3, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas FINRA Arbitration Lawyers Investigates Investor Losses in Alleged $75M AGM Fund Fraud Involving AG Morgan Advisors

Ex-IBN Financial Brokers Vincent Camarda and James McArthur Accused of Fraudulently Selling Complete Business Solutions Group/Par Funding/AGM Fund Promissory Notes

If you are an investor who suffered losses while working with either AG Morgan Advisors Vincent Camarda or James McArthur after they marketed and sold to you the alternative investment Complete Business Solutions Group Inc. (DBA as Par Funding) or one of the AGM Funds, Shepherd Smith Edwards and Kantas FINRA Arbitration Lawyers (investorlawyers.com) can help you determine whether you have grounds for a security claim to recoup any losses. Already, numerous FINRA lawsuits have been filed.

Alternative Investment Loss Recovery Attorneys

Published on: March 3, 2025 | by Shepherd Smith Edwards & Kantas, LLP

As LPL Financial Expands Alternative Investment Platform, Exposure To Greater Risk of Loss Also Increases. Our Alternative Investment Loss Recovery Attorneys Represent Investors in FINRA Arbitration

Over the last several months, LPL Financial has been enhancing its ability to sell more alternative investments to customers. These are generally riskier and more illiquid offerings than traditional investments. Many alternative investments, including business development companies and non-traded real estate investment trusts, are unsuitable for retail investors. But, as Shepherd Smith Edwards and Kantas Senior Partner and Securities Attorney Sam Edwards said to InvestmentNews, “This is undoubtedly a way for LPL to join the party and start selling these investments to retail clients to increase LPL’s revenue as well as the risk to its customers.”

https://youtu.be/jEBXBIAWLc8?si=4p5R251gzboUw1l3

Bond Loss Recovery Law Firm

Published on: March 3, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You A GK7% Bond Investor Who Worked With JCC Advisors Or Another Brokerage Firm? Contact Our Bond Loss Recovery Law Firm Today

Shepherd Smith Edwards and Kantas Bond Loss Recovery Law Firm (investorlawyers.com) is offering free, no-obligation initial case consultations to those of you whose brokers may have unsuitably recommended GK7% bonds and you have since sustained serious losses. Our securities law firm is investigating allegations that broker-dealers may have failed to conduct the necessary due diligence into issuer GK Investment Holdings.

What Are GK Investment Holdings 7% Bonds?

Northstar Bermuda Fraud Attorneys

Published on: March 3, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Northstar Financial Services (Bermuda) Investors Still Have Time To Sue Their Broker-Dealers. Our Northstar Bermuda Fraud Attorneys Continue To Speak To Foreign Nationals Who Have Suffered Losses

More than four years after Northstar Financial Services (Bermuda) filed for bankruptcy protection, Shepherd Smith Edwards and Kantas (investorlawyers.com) continue to receive calls from investors from Japan, China, and all over Latin America who have sustained serious losses because their US-based broker-dealer marketed and sold them these offshore annuities. To date, we have filed more than 100 FINRA lawsuits on behalf of both Americans and non-US citizens who have sustained serious losses issued by the different insurers owned by Greg Lindberg. The North Carolina billionaire acquired Northstar (Bermuda) in 2018. Last year, he pleaded guilty to running a $2B annuity fraud.

Throughout the US and internationally, our Northstar Financial Services (Bermuda) loss attorneys are the ones that many investors have turned to in terms of determining whether their financial advisors unsuitably recommended this investment, made misrepresentations and omissions about the risks, overconcentrated their accounts, disregarded their best interests, or were negligent or even grossly negligent. Unfortunately, the temptation of high commissions appears to have compelled many financial advisors to disregard red flags indicating anything was amiss.

Elder Financial Exploitation Lawyers

Published on: March 3, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Morgan Stanley Ordered To Pay Elderly Investor $843K. FINRA Arbitration Panel Says Broker-Dealer Neglected To Protect Senior Scam Victim

A Financial Industry Regulatory Authority (FINRA) arbitration panel recently ordered Morgan Stanley to pay an elderly Florida widow $843,000 in compensatory damages after she fell victim to financial scammers. According to the ruling, the broker-dealer was negligent and should be held liable.

The claimant accused Morgan Stanley of breach of fiduciary duty, breach of contract, and breach of care owed to a senior investor when it allegedly did not protect her from fraudsters. This 75-year-old sustained nearly $1.75M in losses from what her broker negligence lawsuit contends was a “clear breach” of securities industry standards meant to protect older investors.

Dallas Unsuitability Law Firm

Published on: March 3, 2025 | by Shepherd Smith Edwards & Kantas, LLP

The SSEK Dallas TX Unsuitability Law Firm is Representing Texas Investors Whose Brokers Made Too Risky or Inappropriate Recommendations

From our Dallas, TX securities law office, Shepherd Smith Edwards and Kantas (investorlawyers.com) represents those who suffered losses because of unsuitable investment recommendations by their financial advisors. The Financial Industry Regulatory Authority (FINRA) mandates that broker-dealers and their registered representatives have reasonable grounds for making any kind of investment recommendation to a customer. Unfortunately, unsuitability remains one of the most common reasons that investors end up sustaining serious portfolio losses that could otherwise have been avoided.

Contact our seasoned Dallas unsuitability attorneys today so that we can help you explore your legal options.

Churning Lawyer

Published on: February 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

FINRA Suspends Ex-Spartan Capital Securities Broker Justin Deiter

Excessive Trading Can Cause Portfolio Losses

If you sustained investment losses while working with former Spartan Capital Securities financial advisor Justin Ray Deiter, contact the Shepherd Smith Edwards and Kantas Churning Lawyer Team (investorlawyers.com) today. The New York broker was suspended by the Financial Industry Regulatory Authority (FINRA) for six months in the wake of allegations that he engaged in excessive trading in two customers’ accounts. One of the clients involved was a senior investor. FINRA contends that Deiter’s trading led to high turnover rates and cost-to-equity ratios that went beyond the traditional 6% and 20% guideposts, respectively. This led to the investors sustaining substantial losses.

Business Development Company Loss Recovery Attorneys

Published on: February 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Business Development Company Loss Recovery Attorneys Investigates Blue Owl Capital BDC Losses

Our Business Development Company Loss Attorneys Are Looking Into Allegations Of Broker Negligence

If you sustained losses in either Blue Owl Capital Corp (OBDC) or Blue Owl Capital Corp III (OBDE), Shepherd Smith Edwards and Kantas (investorlawyer.com) can help you explore your legal options. We represent investors who have sustained losses in business development companies (BDCs) in which broker misconduct or negligence was involved.

SSEK Margin Abuse Lawyers

Published on: February 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Continue to Investigate Oppenheimer PEP Losses. SSEK Margin Abuse Lawyers Represent Investors Against Broker-Dealers

Shepherd Smith Edwards and Kantas Margin Abuse Lawyers (investorlawyers.com) are still investigating losses involving the Oppenheimer Portfolio Enhancement Program (Oppenheimer PEP). This proprietary program, offered by Oppenheimer to clients, was supposed to give investors the opportunity to earn an additional 5%. They had to borrow money on margin. This involves borrowing funds from the broker-dealer to purchase more securities.

This was a high-risk proposition and the minimum investment to become involved in Oppenheimer PEP was $1.25M. Considered a hedged investment, the program bet that options on indexes would remain within a tight range. The idea was that investors were supposed to make premiums and earn returns of up to 5% a year. In reality, this kind of investment strategy could only perform well in a low-volatile, low-interest situation. Not only that, but also high-risk, illiquid, and highly speculative investments, such as Alkeon 1 and Alkeon 2, were involved.

GWG Bond Fraud Attorneys

Published on: February 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Six-Figure GWG Lawsuit Accuses Moloney Securities Of Making Unsuitable Investment Recommendations. Shepherd Smith Edwards and Kantas WG Bond Fraud Attorneys Is Representing This Retiree Couple

Once again, our trusted GWG L Bond recovery attorneys have filed a FINRA lawsuit on behalf of investors against Moloney Securities. This time, our clients are a California couple who allege they were the victims of unsuitable investment recommendations by one of the broker-dealer’s registered representatives. These retirees are requesting up to six-figures in damages.

This is an L Bond lawsuit involving a financial advisor who appears to have been more concerned with the commissions that could be earned rather than honoring their fiduciary duty to these customers. We also believe that Moloney Securities was beyond complacent in the way it supervised this broker and the products it chose to sell to its customers.