Investor Lawyers Blog

Broker Negligence Law Firm

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

If You’ve Joined A Class Action Securities Fraud Lawsuit Against GWG Holdings Can You Still Sue Your Broker?

Our Broker Negligence Law Firm Represents GWG Investors Against Broker-Dealers

At the end of March, the legal team for GWG Holdings told a Texas bankruptcy judge that it needed another two weeks to provide more disclosures related to creditor recovery. The life insurance-backed bond seller, which is accused of running a more than $1.6B Ponzi scam, filed for Chapter 11 protection last year.

Illinois FINRA Attorneys

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

From Our Chicago Securities Law Offices, our Illinois FINRA Attorneys Represent Investors Against Broker-Dealers

For more than 30 years, Shepherd Smith Edwards, and Kantas (investorlawyers.com) have been fighting for investors throughout Illinois in helping them to pursue the damages they are owed from the brokerage firms that caused their investment losses. This includes representing them in FINRA arbitration, which is where such claims against broker-dealers and their registered representatives are usually brought.

Our trusted Illinois FINRA law firm knows how devastating it can be to suffer serious portfolio losses, which is why we are here to help. We work with retail investors, retirees, senior investors, accredited investors, high-net-worth individual investors, ultra-high-net-worth individual investors, and institutional investors that were the victims of broker misconduct or negligence.

Broker Misconduct Law Firm

Published on: April 26, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Sophisticated Investor Who Suspects Your Portfolio Losses Were Due To Broker Fraud?

Our Broker Misconduct Law Firm Can Help You Explore Your Legal Options

The Broker Misconduct Law Firm, Shepherd Smith Edwards and Kantas (investorlawyers.com) represent all kinds of investors who have suffered investment losses caused by the wrongful, careless, or negligent actions of their brokers. This includes accredited investors, sophisticated investors, high-net-worth individual investors, and institutional investors.

Annuity Fraud Loss Attorneys

Published on: April 26, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Seven-Figure Colorado Bankers Life Insurance Annuity Fraud Lawsuit Against Citizens Securities

Shepherd Smith Edwards and Kantas Is Representing Investor Over CB Life Annuity Loss

Our skilled annuity investment loss lawyers have filed a broker fraud lawsuit against Citizens Securities on behalf of a widow who suffered significant losses in a Colorado Bankers Life Insurance’s Life Annuity. The claimant, who is seeking up to $5M in damages, had entrusted her Citizens Securities broker Paul Emmanuel Coleman of Pennsylvania to make suitable, low-risk product recommendations with proper disclosures. The brokerage firm is an affiliate of Citizens Bank, which is where this investor had a checking account.

Investment Loss Lawyers

Published on: April 26, 2023 | by Shepherd Smith Edwards & Kantas, LLP

What Should You Do If Your Broker Won’t Return Your Calls or Brushes Aside From Your Concerns Regarding Your Investments?

Contact Our Knowledgeable Broker Negligence Attorneys

Even if you are working with a registered financial advisor to manage and invest your money, this does not make you exempt from becoming the victim of investment fraud whether due to a failed financial product or the wrongful or negligent actions of a stockbroker or investment adviser. At Shepherd Smith Edwards and Kantas (investorlawyers.com) our team of Investment Loss Lawyers, work with retail investors, retirees, senior investors, high-net-worth investors, and institutional investors in determining not only whether they have suffered financial losses due to fraud, but also in helping them pursue the damages they are owed from broker-dealers.

Brokerage Firm Negligence Law Firm

Published on: April 26, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Our Brokerage Firm Negligence Law Firm is Investigating Barred LPL Broker John Matson

Elderly Investor Called FINRA Helpline for Seniors to Complain

If you suffered significant portfolio losses while working with former LPL Financial stockbroker John Nicholas Matson, Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you determine whether you have grounds for a legal claim. Nicholas, who was barred from the industry in December 2022, and fired by the broker-dealer the month before, has been accused by a former elderly client of recommending a promissory note from which the latter later stopped receiving interest payments that were purportedly promised.

Alternative Investment Fraud Lawyers

Published on: April 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Customers of Berthel Fisher Sought $32.1M in Damages From Brokerage-Dealer

Our Experienced Alternative Investment Fraud Lawyers Are Investigating Investor Losses

According to the yearly audited financial statement submitted by Berthel Fisher to the US Securities and Exchange Commission (SEC) in March, the broker-dealer concluded 2022 with about $32.1M in pending investor loss claims. While it is unclear which investments were specifically involved, as InvestmentNews reported, Berthel Fisher has a long history of selling alternative investments to customers. On multiple occasions, these investment recommendations were investors for whom these were allegedly unsuitable given their financial goals.

Louisiana FINRA Attorneys

Published on: April 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Our New Orleans Broker Fraud Law Firm Represents Bayou State Investors

Throughout Louisiana, the Shepherd Smith Edwards and Kantas Louisiana FINRA Attorneys (investorlawyers.com) represent clients who are seeking to recover damages from the broker-dealers and financial advisors responsible for their losses. This usually entails filing a FINRA lawsuit against a financial firm on behalf of an investor in a bid for damages.

Proving that your investor losses were caused by broker misconduct can be tough, and going through FINRA arbitration is not the same as going to court. This is just one reason why you want to work with savvy securities fraud attorneys that not only understand how this forum works but also have a record of successful case outcomes in this kind of legal venue.

Broker Dealer Negligence Attorney.

Published on: April 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Former Morgan Stanley Broker Darryl Cohen Allegedly Defrauded NBA Stars of Over $13M

Our Trusted Broker Fraud Lawyers Are Investigating Claims of Investor Losses

The Shepherd Smith Edwards and Kantas Broker Dealer Negligence Attorney teams (investorlawyers.com) are continuing to speak to former customers of ex-Morgan Stanley financial advisor Darryl M. Cohen. He was barred from the industry in 2021.

Broker-Dealer Negligence Lawyers

Published on: April 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses In AllianceBernstein’s Options Advantage Strategy?

Our Broker-Dealer Negligence Lawyers Are Investigating Sanford Bernstein Financial Advisors

If you are someone whose financial advisor recommended that you invest in AllianceBernstein’s Options Advantage Strategy and suffered significant investor losses, contact the Broker-Dealer Negligence Lawyers at Shepherd Smith Edwards and Kantas (investorlawyers.com) today so that we can help you explore your legal options. There are growing concerns that Sanford Bernstein brokers may have allegedly misrepresented the risks involved in this complex options trading strategy that was supposed to attract investors looking for “incremental returns” in a low-yield environment. Sanford Bernstein is a registered broker-dealer and a subsidiary of AllianceBernstein, which is a registered investment adviser.