Investor Lawyers Blog

Broker Fraud Lawyers

Published on: August 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Can International Investors Pursue Their Northstar (Bermuda) Losses From Cetera Investment Services?

Chinese Investor Sues US-Based Broker-Dealer For Up to $500K in Damages

If you are a foreign national who suffered losses after Cetera Investment Services or another US-based broker-dealer marketed and sold you Northstar Financial Services (Bermuda) investments, know that there are legal remedies available to you for recovering your losses. This includes, potentially, suing the brokerage firm and their registered representative in Financial Industry Regulatory Authority (FINRA) arbitration.

Disabled and Elder Financial Abuse Lawyers

Published on: August 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Seniors and Disabled Investors Are Defrauded By Their Brokers

SEC Charges Ex-Centaurus Broker Joseph Michael Todd For Misappropriating $3M From Customers

If you are an older or disabled investor who was the victim of broker fraud, you may be able to sue the broker-dealer for damages by contacting our disabled and elder financial abuse lawyers. Even if the financial firm was unaware of their financial advisor’s misconduct, if they failed to properly supervise this registered representative and their activities in your account, the firm could be held liable.

Northstar Financial Services (Bermuda) Attorney

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

I’m A Non-US Citizen. Can I Recover My Northstar (Bermuda) Investment Losses?

Japanese Retiree Sues Bankoh Investment Services, a Division of Bank of Hawaii, For Up to $500K

If you are an international investor who suffered losses in an investment sold to you by a US-based broker-dealer, Shepherd Smith Edwards and Kantas Northstar Financial Services (Bermuda) Attorney team (investorlawyer.com) can help you explore your legal options. Over the years, we have filed many broker fraud lawsuits for foreign nationals, including Northstar Financial Services (Bermuda) investors.

Louisiana Broker Fraud Attorneys

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

Louisiana Broker Fraud Attorneys

Our Seasoned New Orleans Securities Law Firm Represents Investors Against US-Based Broker-Dealers

Trusting a financial professional to manage your funds comes with the hope that they will, at the very least, keep your money safe if not grow your assets. Unfortunately, that isn’t always what happens. Investors have been known to suffer serious portfolio losses due to broker fraud or misconduct. From our Metairie securities law offices in Jefferson Parish, Shepherd Smith Edwards and Kantas (investorlawyers.com) represents Louisiana clients in pursuing damages from US-based broker-dealers through arbitration, mediation, and litigation.

Illinois Broker Fraud Attorneys

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

Illinois Broker Fraud Attorneys

Our Trusted Chicago Securities Law Firm Represents Illinois Investors Against Their Broker-Dealers

If you lost money on NYSE Chicago or in an investment that was marketed to you by a US financial advisor, and you are wondering whether stockbroker fraud or negligence was a factor, Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you explore your legal options. We represent investors throughout The Prairie State in holding broker-dealers liable for our client’s losses.

Annuity Loss Attorneys

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

I’m A CB Life Annuity Investor. Can I Sue My Citizens Securities Broker For My Losses?

Brokerage Firm Allegedly Sold Colorado Bankers Life Insurance Annuities To Retirees and Seniors

If you are one of the tens of thousands of investors whose funds have been frozen in a CB Life annuity from Colorado Bankers Life Insurance, you may be able to sue your broker-dealer for your losses. Dozens of brokerage firms are believed to have sold this financial product to investors, many of them older investors and retirees. The insurer remains in rehabilitation.

Selling Away Lawyers

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

What To Know About Broker Selling Away

Ex-American Trust Financial Advisor David Geake Is Barred Following 25 Customer Disputes

The Financial Industry Regulatory Authority (FINRA) has barred former stockbroker David Geake for alleged broker misconduct. Geake, who most recently was an American Trust Investment Services financial advisor, has 25 customer disputes on his CRD. He was fired from another broker-dealer Ausdel Financial Partners for allegedly selling away, which appears to be the reason for the industry bar.

New York Broker Fraud Attorneys

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

New York Broker Fraud Attorneys

Our Buffalo Securities Lawyers Help NY Investors In Pursuing Damages From Brokerage Firms

Whether you live in Manhattan or elsewhere in The Empire State, Shepherd Smith Edwards and Kantas (investorlawyers.com) represents retail investors, retirees, older investors, high-net-worth investors, and institutional investors in suing their US broker-dealer for misconduct or negligence. With over a combined century’s worth of experience in securities law and the securities industry, our seasoned New York stockbroker fraud attorneys, legal assistants, and consultants are here to fight for you.

Annuity Loss Lawyer

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

Should I Sue My Brokerage Firm Over My Colorado Bankers Life Insurance Losses?

Judge Orders Partial Payment to CB Life Annuity Investors

With tens of thousands of Colorado Bankers Life Insurance and Bankers Life Insurance investors owed hundreds of millions of dollars for the annuity policies they purchased, a superior court judge has ordered Colorado Bankers Life Insurance to pay them 25% of their policies—that is on 65,000 annuity contracts. Similar payments may also be decided for Bankers Life Insurance policyholders. While this order by the judge is in investors’ favor, as Shepherd Smith Edwards and Kantas Senior Partner and annuity loss lawyer Kirk Smith explained in a recent Wall Street Journal article: investors should consider their legal options beyond the current bankruptcy, regulatory, and criminal proceedings if they want to maximize their chances for a full financial recovery.

Private Placement Fraud Attorneys

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

Did Ex-International Assets Advisory Stockbroker Sean Casterline Sell You Tuscan Gardens Growth and Income Fund Securities?

Our Skilled Broker Fraud Attorneys Are Investigating Investor Losses in This Reg D Offering

Shepherd Smith Edwards and Kantas (investorlawyers.com) is continuing to speak to former customers of former Florida financial advisor Sean Casterline who suffered losses in the Tuscan Gardens Growth and Income Fund. Casterline, was most recently a Delta Securities broker, and before that he was registered with International Assets Advisory. He worked in the industry for 19 years but was suspended by the Financial Industry Regulatory Authority (FINRA) for 18 months in December 2021 for allegedly selling away what is believed to be about $1.5M of membership units in this Fund to customers. Casterline purportedly did this without obtaining his broker dealer’s written approval.