Investor Lawyers Blog

New York Financial Advisor Fraud Lawyers

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

New York Financial Advisor Fraud Lawyers

From Our Buffalo Law Offices, Shepherd Smith Edwards and Kantas Is Dedicated To Fighting For NY Investors

Choosing a broker or investment adviser to manage your money is an important decision to make, and one would hope that any financial professional would take the responsibility seriously. Unfortunately, financial advisor fraud happens way too often and this can lead to serious losses for victims.

Western Colorado Financial Advisor Fraud Attorneys

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Western Colorado Financial Advisor Fraud Attorneys Fighting For Investors For More than 30 Years

With our law office conveniently located in Ridgway, Shepherd Smith Edward and Kantas (investorlawyers.com) represent clients throughout Colorado who have suffered serious losses due to financial advisor fraud. Unfortunately, there are registered representatives who will use their positions in brokerage firms and investment advisers to take advantage of their customers.

To schedule your free, no-obligation case assessment with one of our seasoned Western Colorado Slope financial misconduct attorneys, contact us today.

Oppenheimer PEP Margin Abuse Attorneys

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Oppenheimer Broker Recommend The Firm’s Portfolio Enhancement Program? Our Savvy Oppenheimer PEP Margin Abuse Attorneys Are Investigating Investor Losses

If you suffered investment losses in the Oppenheimer Portfolio Enhancement Program (PEP), Shepherd Smith Edwards and Kantas (investorlawyers.com) want to talk to you. The proprietary program allegedly offered investors a chance to make an extra 5% if they would borrow money on margin to take part in the Oppenheimer PEP. This purportedly has included investing in private equity investments Alkeon 1 and Alkeon 2, both of which are illiquid and speculative.

Touted as a hedged investment, the minimum investment allowed was $1.25M. Oppenheimer PEP bet that options on indexes would stay within a tight range, which was supposed to let investors receive premiums and garner returns of up to 5% annually.

Horizon Private Equity Elder Financial Fraud Lawyers

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

I’m An Older Investor Who Lost Money In The Horizon Private Equity III Ponzi Scam. Can I Get My Money Back?

Contact Our Seasoned Elder Financial Fraud Lawyers Today To Discuss Your Legal Options

For the hundreds of mostly senior investors who lost money in the more than $110 million Horizon Private Equity Ponzi scam, the impact of their losses has led to devastating, life-altering consequences. Retirement funds have been depleted and, for many, questions about how or if they can obtain financial recovery remain.

Horizon Private Equity Ponzi Scam Attorneys

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Ex-Oppenheimer John Woods Sentenced In $110M Horizon Private Equity III Scam

Our Broker Fraud Lawyers Are Continuing To Investigate Investor Losses

John J. Woods, a former Oppenheimer & Co. financial advisor who was caught defrauding hundreds of investors in a $110M Ponzi scam, is now sentenced to nearly eight years in prison. The ex-Georgia broker pleaded guilty to wire fraud last year. He has been ordered to pay up to $49.6M in restitution.

Reg D Investment Loss Recovery Lawyers

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Herbert J Sims Broker Alan Dalewitz Sell You Private Placements?

Shepherd Smith Edward and Kantas Reg D Investment Loss Recovery Lawyers Are Investigating Investor Losses

If you suffered serious portfolio losses while working with Herbert J. Sims & Co. (HJ Sims) stockbroker and investment adviser Alan Jay Dalewitz, or any other financial advisor from that firm, Shepherd Smith Edwards and Kantas (investorlawyers.com) want to talk to you. A customer of Dalewitz recently filed an investment loss recovery claim seeking up to $150K in damages and is alleging unsuitable investment recommendations.

New York Financial Advisor Fraud Lawyers

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

New York Financial Advisor Fraud Lawyers

From Our Buffalo Law Offices, Shepherd Smith Edwards and Kantas Is Dedicated To Fighting For NY Investors

Choosing a broker or investment adviser to manage your money is an important decision to make, and one would hope that any financial professional would take the responsibility seriously. Unfortunately, financial advisor fraud happens way too often and this can lead to serious losses for victims.

Broker Fraud Attorney

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You Someone Who Suffered Losses While Working With Ex-American Portfolios Financial Services Broker Mark Hopkins? Our Broker Fraud Attorney Teams Want To Talk To You

Nearly one year after the US Securities and Exchange Commission (SEC) permanently barred American Portfolios Financial Services stockbroker Mark Lewton Hopkins, Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate claims of investment losses involving his former clients. The ex-Michigan financial advisor has been serving a prison term for defrauding investors.

Hopkins was a registered representative with American Portfolios Financial Services for nearly a decade. The firm allowed him to resign in 2018 over allegations that he engaged in selling away. Hopkins was barred by the Financial Industry Regulatory Authority (FINRA) in 2019. He worked at other broker-dealers before that during his 23 years in the industry.

HJ Sims Investment Loss Recovery Lawyer

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

I’m An HJ Sims Private Placement Investor. What Can I Do To Get My Money Back?

Exploring Your Legal Options With Our Skilled Reg D Investment Loss Recovery Lawyer Is A Good First Step

If you are one of the many investors who marketed and sold HJ Sims private placement offering by the firm, you may have suffered huge losses and are wondering how you can get your money back. The financial firm/broker-dealer Herbert J. Sims is under fire for its allegedly unsuitable sale of around $2.2B of Regulation D investments, many of which its own executives issued.

Northstar (Bermuda) Financial Services Investment Loss Attorney

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

Venezuelan Family Sues Truist Investment Services For Northstar (Bermuda) Losses

Shepherd Smith Edwards and Kantas (investorlawyers.com) Northstar Financial Services Investment Loss Attorney Teams are representing Latin American investors in pursuing damages from the US-based brokerage firms that unsuitably marketed and sold them Northstar Financial Services (Bermuda) annuities. This includes three Venezuelan claimants, all from the same family, who are seeking up to $500K from Truist Investment Services.

Six-Figure FINRA Lawsuit Alleges Overconcentration Of Savings In Unsuitable Offshore Annuities