Articles Tagged with Broker Misconduct Lawyers

Shepherd Smith Edwards and Kantas Broker Misconduct Lawyers Are Investigating Aegis Capital Following Allegations of A  $5B Securities Fraud

Broker-Dealer Is Rated Poorly Based On Number Of Retail Investor Lawsuits and Underwritten Offerings

If you have suffered serious investment losses while working with Aegis Capital, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. The broker-dealer was recently ranked by SLCG Economic Consulting LLC as number 2 on its list of the “worst” brokerage firms based on investor complaints. The financial economic consulting firm cautioned that investors should stay away from Aegis Capital “at all costs.”

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.