Investor Lawyers Blog

Structured Product Loss Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas structured product loss attorneys continue to investigate structured product losses involving Stifel Broker Chuck Roberts.

More Investors File Broker Fraud Lawsuits Claiming 7-Figure Losses

Our seasoned structured product loss attorneys are continuing to speak to investors who worked with star Stifel Financial broker Chuck Roberts. Already, the broker-dealer has had to pay millions of dollars to former clients, including, recently, a more than $14.2M arbitration claim that included $9M in punitive damages to a Florida couple and $2.35M to another investor who accused the broker-dealer of failure to supervise, negligence, breach of fiduciary duty, fraud and more.

Alternative Investment Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With LPL Financial/Osaic Broker Cynthia Giovacchino? Shepherd Smith Edwards and Kantas Alternative Investment Attorneys Are Investigating

If you are an investor who sustained serious portfolio losses while working with Connecticut financial advisor Cynthia Ann Giovacchino, either while she was an LPL Financial registered representative or, more recently, in her role as an associated person with Osaic Institutions, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today.

Giovacchino, who has worked 25 years in the industry, has a dozen disclosures on her CRD. All of them are customer disputes that have either resulted in settlements or are still pending. Allegations against Giovacchino include unsuitable investment recommendations in alternative investments, such as non-traded real estate investment trusts (non-traded REITs) and structured notes, misrepresentation, and more.

Unsuitability Loss Lawyers

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

What Does It Mean To Sue A Broker For Unsuitability?

Our Trusted Unsuitability Loss Lawyers Are Here To Help

At Shepherd Smith Edwards and Kantas (investorlawyers.com), we represent investors who have been the victim of unsuitable investment recommendations by their broker or investment adviser. Unfortunately, unsuitability is one of the most common causes of investor losses that end up meriting a lawsuit for damages against a financial advisor and/or their firm.

Florida Alternative Investment Fraud Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Tampa Florida Alternative Investment Fraud Attorneys Represent Investors From All Walks Of Life Against Financial Advisors

At Shepherd Smith Edwards and Kantas (investorlawyers.com), our Tampa Florida Alternative Investment Fraud Attorneys work with investors who have sustained losses because of unsuitable, fraudulent, or poor-performing financial products that were inappropriately marketed and sold to them by a broker or investment adviser. If you suspect that you may be the victim of alternative investment fraud, contact us today to schedule a free, initial case assessment.

What Is An Alternative Investment And Why Might You, A Florida Investor, Want to Sue Your Broker?

San Diego Investment Loss Law Firm

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

San Diego, CA Investment Loss Law Firm

Representing Southern California Investors Against Brokers and Investment Advisers

In recent years, alternative investments have become an attractive draw for investors looking to diversify and expand their portfolios. However, these little-regulated, complex securities can also be high-risk and they are not suitable for every investor. If you are a Southern California investor who sustained losses after your broker or investment adviser unsuitably recommended an alternative investment, Shepherd Smith Edwards and Kantas San Diego Investment Loss Law Firm want to talk to you.

Senior Financial Exploitation Loss Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

FINRA Arbitration Panel Orders Wells Fargo Advisors To Pay $3.4M To Investor

Broker-Dealer Accused of Negligence That Allegedly Enabled Elder Financial Exploitation

A three-person FINRA Dispute Resolution Services panel awarded one investor $3.4M in damages and costs over losses his now-deceased mother sustained while working with Wells Fargo Advisors and its financial advisor Stephen Lyndell Smith. The claimant, who filed his broker fraud lawsuit in 2023, alleged negligence, breach of contract, breach of fiduciary duty over the broker-dealer’s purported “inaction” to stop unauthorized trades in the account of an older investor in declining health, and more.

Financial Advisor Fraud Attorneys

Published on: December 29, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Retail Investors Were Defrauded by Fired Western International Securities Broker Christopher Booth Kennedy, Alleges SEC . Former Financial Advisor Agrees to Pay Over $2.1M To Settle Regulator’s Fraud Lawsuit

If you are an investor who suffered losses while working with ex-Western International Securities stockbroker Christopher Booth Kennedy, contact Shepherd Smith Edwards and Kantas Financial Advisor Fraud Attorneys (investorlawyers.com) today. We are continuing to investigate claims by retail investors that he may have allegedly defrauded.

Kennedy, who was barred by the Financial Industry Regulatory Authority last year, settled US Securities and Exchange Commission (SEC) charges accusing him of running a scam to defraud retail investors by unsuitably recommending costly investment strategies, including the making of short-term bets, and then allegedly concealing “substantial” losses (even inflating false returns) using bogus financial statements. Without denying or admitting to wrongdoing, the former California broker will pay more than $2.1M, including a $958K penalty and $1.8M in disgorgement plus prejudgment interest.

Dallas Alternative Investment Fraud Lawyers

Published on: December 29, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Dallas Alternative Investment Loss Recovery Lawyers – We Help Texas Investors In Fighting For The Damages Owed To Them By Financial Advisors

Shepherd Smith Edwards and Kantas (investorlawyers.com) Dallas Alternative Investment Fraud Lawyers represent investors who are seeking to recoup the losses they sustained in alternative investments. If your broker or investment adviser marketed or sold you one of these non-traditional investments, contact our Dallas, TX securities law office today.

What Are Alternative Investments?

L Bond Loss Recovery Lawyers

Published on: December 29, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Retiree Widow Files Six-Figure GWG L Bond Loss Recovery Lawsuit Against Ni Advisors. California Financial Advisor Sui-Hock Goy Is Accused of Negligence And other Misconduct

Shepherd Smith Edwards and Kantas L Bond Loss Recovery Lawyers (investorlawyers.com) are representing another claimant who is suing brokerage firm Ni Advisors over their GWG L Bond losses. This client, an inexperienced investor, is an octogenarian widow.

Also a respondent in the case is Ni Advisors broker and President Sui-Hock Goy. In her FINRA arbitration claim, our retiree client is alleging unsuitable investment recommendations, misrepresentations and omissions, failure to supervise, negligence, and more. She is requesting up to $500K in damages.

Alternative Investment Loss Attorney

Published on: December 29, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Hatteras Investment Partners Fund Losses?

You May Have Been The Victim of Unsuitability or Other Broker Misconduct

If you sustained losses in one of the following Hatteras Investment Partners Funds, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today to schedule your free, initial case consultation: