Investor Lawyers Blog

Regulation D Private Placement Loss Lawyers

Published on: April 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Investor Sues HJ Sims Over Bond Losses with Help of SSEK Regulation D Private Placement Loss Lawyers

Broker-Dealer May Allegedly Inflated Prices & Made Unsuitable Recommendations Involving Proprietary Private Placement Offerings

In the wake of allegations that brokerage firm Herbert J. Sims (HJ) Sims may have negligently structured its Regulation D offerings and inflated these bonds’ prices on account statements, Shepherd Smith Edwards and Kantas (investorlawyers.com) Regulation D Private Placement Loss Lawyers are continuing to offer free, no-obligation case consultations to HJ Sims bond investors. The brokerage firm is under scrutiny over its sale of 93 private placement offerings over the last decades. These Reg D offerings are collectively valued at over $2B.

L Bond Fraud Law Firm

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

San Diego Couple File Six-Figure GWG L Bond Lawsuit Against Infinity Financial Services And Broker Anna Marie Ocampo Lovell. Our California IL Bond Fraud Law Firm Are Representing This Older Couple

Shepherd Smith Edwards and Kantas (investorlawyers.com) represent retail investors who have suffered losses in GWG Holdings. The alternative asset company is accused of running an allegedly more than $1.6B Ponzi scam that has left tens of thousands of investors who purchased GWG L Bonds, including many retirees, with huge losses.

Our clients include a San Diego couple who are suing Infinity Financial Services and La Jolla, CA-based financial advisor Anna Marie Ocampo Lovell for up to six figures in damages. The investors, who both suffer from health issues, entrusted this Infinity broker to tailor their portfolio to their best interests and protect them from taking on any undue risks.

Texas Misrepresentations and Omissions Lawyers

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

Shepherd Smith Edwards and Kantas Texas Misrepresentations and Omissions Lawyers Is Investigating Ex-BOK Financial Securities Broker Gihan Fernando

Texas Stockbroker, Now With Cetera, Has 27 Customer Complaints On His CRD Record

If you suffered investment losses while working with Houston, TX financial advisors Gihan Anil Fernando, Shepherd Smith Edwards and Kantas (investorlawyers.com) want to talk to you. The Texas broker is accused by more than two dozen investors of making misrepresentations and omissions regarding certain investment products while he was a BOK Financial Securities registered representative. According to Gihan Fernando’s CRD, 26 of those FINRA arbitration claims, all filed between 2020 and 2024, resulted in settlements.

Dallas Financial Advisor Fraud Law Firm

Published on: March 28, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Dallas, Texas Financial Advisor Fraud Law Firm

Representing Investors Over Losses Caused by Stockbroker Misconduct or Negligence

Founded in 1990, Shepherd Smith Edwards and Kantas (investorlawyers.com) is proud to be one of the most recognized and well-respected financial advisor fraud law firms both in Texas and the United States. Led by Senior Securities Law Partners Kirk Smith, Sam Edwards, and William Shepherd, we represent investors in going after the brokerage firms and investment advisers whose wrongful or negligent actions caused serious investment losses.

Florida Financial Advisor Fraud Attorneys

Published on: March 25, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Florida Financial Advisor Fraud Attorneys From Our Tampa Law Office, We Represent Retail Investors, Retirees, High-Net-Worth Investors, and Institutions

With so many investors from all walks of life living in Florida, it is important to know that our trusted Tampa financial advisor fraud law firm is here to help. Shepherd Smith Edwards and Kantas (investorlawyers.com) represent retail investors, seniors, retirees, accredited investors, high-net-worth individual investors, and institutional investors in pursuing the damages they are owed because of broker misconduct or negligence.

Whether you have been the victim of Florida Financial Advisor Fraud Attorneys by a broker or investment adviser, or a registered representative based elsewhere in the United States, we cannot stress how essential it is that you work with seasoned securities lawyers who have the experience and resources to see your investment loss recovery claim to its conclusion.

Alternative Investment Lawyers

Published on: March 25, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did HJ Sims Run A Reg D Private Placement Offering Scam? Our Skilled Alternative Investment Lawyers Are Investigating

In an August 2022 Investor Bulletin, the US Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy cautioned about the risks involving Regulation D private placements, which are exempt from the regulator’s registration requirements. Limited to accredited investors, they are sometimes also sold to retail investors, conservative retirees, and other unsophisticated investors for whom this kind of risky, illiquid investment is unsuitable.

Shepherd Smith Edwards and Kantas (investorlawyers.com) Alternative Investment Lawyers are currently investigating claims of losses related to Reg D offerings that were sold, often exclusively by brokerage firm Herbert J. Sims (HJ Sims). There are growing allegations that the broker-dealer may have allegedly fraudulently sold Reg D offerings, including to retail investors and older seniors.

Reg D Investment Attorneys

Published on: March 25, 2024 | by Shepherd Smith Edwards & Kantas, LLP

HJ Sims Marketed Exclusive Private Placements For The “Elite” Investor

Our Reg D Investment Attorneys Are Investigating Fraud Allegations

In marketing collateral from 2020, brokerage firm Herbert J. Sims (HJ Sims) touted its private placements, most of them available only through the firm, as a way for sophisticated investors seeking “higher yielding” opportunities to create income. Unfortunately, for many of those who went ahead and got involved in HJ Sims Regulation D offerings, profit has not been the outcome. Instead, many may have sustained significant losses, including retail investors and retirees for whom these private placement bonds were always unsuitable.

Securities Arbitration Attorneys

Published on: March 25, 2024 | by Shepherd Smith Edwards & Kantas, LLP

What Should You Expect When Filing A FINRA Lawsuit? Our Securities Arbitration Attorneys Represent Investors In Suing Their Brokers

If you are an investor who is pursuing damages from your financial advisor, then you will likely have to file your claim in Financial Industry Regulatory Authority (FINRA) arbitration. It is similar to court in that you will have to submit initial pleadings specifying your allegations, is entitled to discovery to build evidence supporting your case, and—if a settlement isn’t reached first—there will be a final evidentiary hearing where both sides will present evidence and examine/cross-examine witnesses. However, unlike a court case, a panel of arbitrators, not a jury or judge, would issue the ruling and you will have virtually no ability to appeal the decision if it is not in your favor.

These are just some of the reasons why it is so important that you are properly represented by Securities Arbitration Attorneys. At Shepherd Smith Edwards and Kantas (investorlawyers.com), we work with investors against their brokers who engaged in unsuitable investment recommendations, excessive trading, concentration, misrepresentations and omissions, negligence, and more. We understand the difference between a court case and an arbitration claim and the specific strategies and approaches needed to maximize your chances for full financial recovery in each legal forum. s

Reg D Investment Loss Recovery Lawyers

Published on: March 25, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Latest Bankruptcy Filing Accuses iCap of Running A Ponzi Fraud. Our Reg D Investment Loss Recovery Lawyers Want To Help You Explore Your Legal Options

According to Paladin, the restructuring company now overseeing iCap, the real estate investment firm was allegedly a Ponzi scam that defrauded investors. The Seattle Times reports that Paladin and lawyers for iCap investors made this accusation in recent bankruptcy filings submitted in late March. iCap founder and its former CEO Chris Christensen denies this.

Shepherd Smith Edwards and Kantas (investorlawyers.com) are investigating allegations against iCap. We are offering a free, no-obligation case assessment to investors who want help in determining whether they should sue the broker-dealers that allegedly unsuitably marketed and sold iCap securities to them.

Investor Loss Lawyer

Published on: March 25, 2024 | by Shepherd Smith Edwards & Kantas, LLP

High-Net-Worth Investors Were Allegedly Targeted By Barred J.P. Morgan Securities Broker Antoine Souma. Our Investor Loss Lawyer Teams Are Investigating

If you suffered serious losses while working with former Beverly Hills financial advisor Antoine Nabih Souma, contact Shepherd Smith Edwards and Kantas Investor Loss Lawyer Teams (investorlawyers.com) During his 21 years in the industry, Souma was a registered representative at five brokerage firms, including J.P. Morgan Securities, Morgan Stanley, and Insigneo Securities (and also an investment adviser with Galliott Capital Advisors). A former top 100-Barron’s broker leading a team overseeing $3B in assets, he was barred by the Financial Industry in 2023 following allegations of excessive trading and other kinds of broker misconduct.

In 2019, JP Morgan Securities consented to pay $14M to settle a stockbroker fraud claim brought by one client of Souma’s who blamed him for a $20M loss. In 2022, an investor filed a $2M investment loss recovery lawsuit accusing Souma of margin abuse, unauthorized trading, and churning.