Investor Lawyers Blog

Financial Advisor Fraud Law Firm

Published on: March 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Denver, CO Financial Advisor Fraud Law Firm

Fighting For Colorado Investors Against Brokerage Firms and Investment Advisers

If you have suffered investment losses and are wondering if someone should be held liable for what happened to you, please contact Shepherd Smith Edwards and Kantas Financial Advisor Fraud Law Firm (investorlawyers.com) today. Not only can we evaluate the cause of your portfolio losses and whether they warrant grounds for a financial advisor fraud lawsuit, but also, we offer quality securities law representation to Colorado investors from our law offices conveniently located in Denver and Ridgway, CO.

Broker Negligence Attorneys

Published on: March 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Broker Negligence Attorneys Investigates Losses Involving Commonwealth Income and Growth Funds I-VIII

Our Broker Negligence Lawyers Want To Speak With Investors

If you are someone that sustained losses in any of the Commonwealth Income and Growth Funds, Shepherd Smith Edwards and Kantas Broker Negligence Attorneys (investorlawyers.com) would like to offer you a free, no-obligation case assessment. There are some concerns that brokerage firms may have engaged in alleged negligence when marketing and selling these alternative investments.

Annuity Investment Loss Lawyers

Published on: March 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Colorado Bankers Life Insurance Investors File 7-Figure Lawsuit Against Citizens Securities. Our CB Life Annuity Investment Loss Lawyers Are Representing This Couple

Two senior investors are seeking up to $1M in damages in their annuity loss against Citizens Securities. The claimants are novice investors who worked with Citizens Securities brokers Zane Jason Michalski and Adit Sem. The latter is now with Santander Securities.

The two financial advisors allegedly misrepresented Colorado Bankers Life Insurance as a safe investing opportunity. The claimants, purportedly at the stockbrokers’ recommendation, proceeded to place all of their savings in a CB Life annuity. These are not our only clients with pending lawsuits against this brokerage firm.

Private Fund Loss Attorneys

Published on: March 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses in CAZ Investments? Our Houston, TX Private Fund Loss Attorneys Are Investigating

Shepherd Smith Edwards and Kantas (investorlawyers.com) are currently looking into CAZ Investments and whether the Texas-based registered investment adviser may have unsuitably marketed and sold any of its proprietary private funds, including the following to its clients:

CAZ Energy Opportunity Fund, LP

Broker Misconduct Lawyers

Published on: March 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Broker Misconduct Lawyers Are Investigating Ex-Spartan Capital Securities Broker Tory Duggins

NY Financial Advisor Accused of Excessive Trading and Reg Best Interest Violations

Our broker misconduct lawyers are looking into claims of portfolio losses by investors who worked with former Spartan Capital Securities stockbroker Tory Duggins. The New York financial advisor was suspended for 18 months by the Financial Industry Regulatory Authority (FINRA) in January 2024 following allegations that he willfully violated Regulation Best Interest obligations after purportedly excessively trading in the accounts of customers, some of whom were elderly seniors.

FINRA arbitration Law Firm

Published on: March 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Tokyo Couple Sues Bankoh and Broker Yoko Farias Over Northstar (Bermuda) Losses

Our Northstar Financial Services (Bermuda) Investment Recovery Lawyers Are Representing International Investors

In yet another FINRA arbitration claim, more Japanese investors are suing Bankoh Investment Services and its registered representative Yoko K. Farias over the losses they experienced in Northstar (Bermuda). In their six-figure lawsuit, the Tokyo couple is alleging overconcentration, unsuitable investment recommendations, misrepresentations and omissions, and gross lack of supervision. The Shepherd Smith Edwards and Kantas FINRA arbitration Law Firm are representing these international investors and others against both Bankoh and Farias.

RAD Diversified REIT Attorneys

Published on: March 4, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses in RAD Diversified REIT?

SSEK RAD Diversified REIT Attorneys Can Help You Explore Your Legal Options

It has come to our attention that investors of the non-traded real estate investment trust (non-traded REIT) RAD Diversified REIT may be having problems, including being unable to withdraw their funds due to some sort of temporary freeze. Distributions also may be suspended. At Shepherd Smith Edwards and Kantas (investorlawyers.com) we are offering free, no-obligation case assessments to help you determine whether you have grounds for an investment loss recovery claim.

Regulation D Private Placement Lawyers

Published on: March 4, 2024 | by Shepherd Smith Edwards & Kantas, LLP

HJ Sims Executives Are Believed To Have Profited Twice From Selling Reg D Offerings to Investors. Our Regulation D Private Placement Lawyers Are Investigating

Shepherd Smith Edwards and Kantas (investorlawyers.com) continue to investigate investor losses from Herbert J. Sims & Co. (HJ Sims) private placement offerings. Meanwhile, there is growing concern that the firm may have sought to profit beyond its sale of at least 93 Regulation D private offerings valued at about $2.2B billion over the past several years.

It was the sole brokerage firm that was exclusively selling 84 of these Reg D investments. Many were from issuers established by HJ Sims executives. This could be a conflict of interest, and they profited from both issuing the offerings and selling them.

Annuity Loss Recovery Attorney

Published on: March 4, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Florida Retiree Files 7-Figure Colorado Bankers Life Insurance Loss Lawsuit Against Citizens Securities. Our Annuity Loss Recovery Attorney Are Representing This Claimant

A senior investor who worked with former Citizens Securities broker David Paul Kopsak is suing the broker-dealer for up to $1,000,000 over losses that she sustained in Colorado Bankers Life Insurance Company. The brokerage firm is the one who approached her through Citizens Bank where she and her husband primarily had their money in CDs.

Promising to give her trustworthy financial advice, they then allegedly unsuitably recommended the couple place a substantial portion of their funds in a “very safe” CB Life annuity.

Bond Loss Recovery Lawyers

Published on: March 4, 2024 | by Shepherd Smith Edwards & Kantas, LLP

GWG Wind Down Trust Report Confirms That Filing A FINRA Lawsuit Is L Bond Investors’ Best Chance For Financial Recovery. Our GWG L Bond Loss Recovery Lawyers Are Representing Claimants In Suing Their Brokers

On February 15, the GWG Wind Down Trust report submitted a status report with the US Bankruptcy Court for the Southern District of Texas for the quarter that concluded on December 31, 2023.

While the Trust was able to generate money through a sale of certain tangible assets and its life insurance policy portfolio, it noted that it is finding it challenging to sell its shares in Beneficient, which last week closed at $0.2561/share—a significant drop from the original $15/share price.