Investor Lawyers Blog

Brokerage Firm Arbitration Lawyers

Published on: June 1, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When A Brokerage Firm Violates Investors’ Best Interests Through Alleged Misconduct

FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions

The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest (Reg BI). The self-regulatory organization (SRO) contends that between January 2018 and December 2021, the broker-dealer and its co-owner Thomas Diamante made purported misrepresentations and omissions related to the sale of private placement offerings of pre-IPO securities and also allegedly engaged in churning and committed supervisory failures. This excessive trading allegedly impacted multiple customer accounts, resulting in costs of over $350K and losses greater than $465K.

Senior Investor Fraud Lawyers

Published on: May 30, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Retiree Whose Citizens Securities Broker Sold You Colorado Bankers Life Insurance Annuity?

Our Trusted Senior Investor Fraud Lawyers May Be Able To Help You Recoup Your Losses

Shepherd Smith Edwards and Kantas team of Senior Investor Fraud Lawyers (investorlawyers.com) are helping many of the investors who suffered losses in Colorado Bankers Life Insurance and the other insurance companies owned by Greg Lindberg. This includes, most recently, filing another FINRA lawsuit against brokerage firm Citizens Securities, Inc. on behalf of a Florida retiree who is seeking up to $500K in damages.

Florida Broker Fraud Attorneys

Published on: May 30, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Florida Broker Fraud Attorneys

Our Trusted Tampa, FL Broker-Dealer Negligence Law Firm Represents Investors, Including Retirees

Shepherd Smith Edwards and Kantas (investorlawyers.com) represent residents in The Sunshine State who have suffered losses caused by broker fraud or negligence. If you are a retiree, a retail investor, a high-net-worth investor, or an institutional investor who would like to help determine whether your portfolio losses were due, even in part, to the actions—or lack thereof—of your financial advisor, contact us today to schedule your free, no-obligation case consultation.

REIT Investor Loss Attorneys

Published on: May 30, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Peakstone Realty Trust Investors May Have Reason To Be Wary

Our Skilled REIT Investor Loss Attorneys Can Help You Explore Your Legal Options

With Peakstone Realty Trust (NYSE: PKST), formerly Griffin Realty Trust, recently joining the New York Stock Exchange, and the dramatic reduction to the net asset value that its stock traded at, investors may have reason for concern. While its trading shares briefly went up since the debut—starting at $8/share and at one point closing at $40.45/share, but eventually dropping to under $20.00 a share. However, previous to all of that, its most recent reported net asset value (NAV) was $66.87/share after a reverse stock split that occurred in March. Many investors paid more than the reported NAV.

Houston Broker Fraud Attorneys

Published on: May 30, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Houston Broker Fraud Attorneys

Representing Investors in Greater Houston and the Surrounding Areas Against Brokerage Firms

For over 30 years, our experienced Houston, TX broker misconduct lawyers have been fighting for investors throughout the state against the largest brokerage firms in the United States. Losing the money that you’ve invested is never easy and it is even more devastating when it is because of the wrongful or negligent actions of the financial advisor you entrusted to take care of your funds.

Broker Misappropriation Attorneys

Published on: May 24, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Broker Misappropriation Leads to Investor Losses

Ex-Aegis Capital Financial Advisor Surage Roshan Perera Allegedly Stole $4M From Investor

If you are an investor who suffered losses while working with former Aegis Capital broker Surage Roshan Perera, Shepherd Smith Edwards and Kantas (investorlawyers.com) would like to talk to you. Our skilled broker misconduct attorneys have been investigating current and former registered representatives from that brokerage firm for some time, most recently related to their sale of GWG L Bonds to investors. GWG Holdings is now accused of operating a more than $1.6B Ponzi scam.

Oil and Gas Investment Fraud Attorneys

Published on: May 24, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Oil and Gas Investment Fraud Lead To Financial Losses

Contact Our Skilled Texas Oil and Gas Investor Loss Attorneys Today

The US Securities and Exchange Commission (SEC) has filed a civil complaint against Clean Energy Technology Association Inc., Freedom Impact Consulting, LLC, and other defendants accusing them of raising $155M from more than 500 investors in an alleged oil and gas-related fraud. The securities regulator contends that allegedly false statements were made about the leasing of carbon capture units to big oil and gas producers. Investors were told they would be paid returns from the supposed revenues made from running these units. Now, the SEC is contending that the investment is a “sham.”

San Diego CA Broker Fraud Attorneys

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Working With Southern California Investors To Recoup Their Losses Caused by Stockbroker Misconduct

The team of San Diego CA Broker Fraud Attorneys at Shepherd Smith Edward and Kantas (investorlawyers.com), know that trusting a financial advisor to manage, grow, and keep your money safe is a big step. We also understand how devastating it can be to have that trust breached causing you to suffer significant investment losses.

Our San Diego broker fraud lawyers represent investors in Southern California, as well as other investors with brokerage accounts in that region, in pursuing damages caused by the wrongful or negligent actions of their registered representatives.

Structured Product Attorneys

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Broker Sell You Signature Bank Autocallable Notes?

Our Broker-Dealer Negligence Lawyers Can Help You Explore Your Legal Options

In March 2023, Signature Bank shuttered its doors. The Shepherd Smith Edwards and Kantas Structured Product Attorneys (investorlawyers.com) are speaking to investors whose financial advisors may have allegedly unsuitably recommended that they get involved in the Autocallable Contingent Coupon Equity Linked Securities Linked to Signature Bank Due August 5, 2024. Sponsored by Citigroup Global Markets, this is a structured note that came with an “auto-call” feature. Autocallable notes are complex financial instruments that can lead to potentially high returns but also come with significant risks.

Annuity Loss Lawyers

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Senior Investor Who May Be The Victim of Annuities Fraud

Our Savvy Annuity Loss Lawyers Are Representing Investors In Recouping Their Losses

The team of Annuity Loss Lawyers at Shepherd Smith Edwards and Kantas (investorlawyers.com) is offering free, initial case consultations to those who have suffered significant losses in annuities. Unfortunately, annuity fraud does happen. Many victims are older investors who have lost their retirement savings in what they were led to believe was a safe, low-risk investment.