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Articles Tagged with failure to supervise attorneys

Failure To Supervise Attorneys

Published on: February 13, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With Investment Advisor Thomas Chadwick

Investors File FINRA Lawsuit Against Fidelity Brokerage Services Alleging $11M in Losses

If you sustained serious portfolio losses while working with financial advisor Thomas Chadwick, Shepherd Smith Edwards and Kantas (investorlawyers.com) want to talk to you. Chadwick, who runs the investment advisory firm Chadwick & D’Amato in New Hampshire, is accused of losing more than $11M of about 100 investors’ money while using Fidelity Brokerage Service’s platform. Now, the broker-dealer is the respondent in a Financial Industry Regulatory Authority (FINRA) lawsuit.

Failure to Supervise Attorneys

Published on: September 18, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Continue to Investigate Oppenheimer Over Horizon Private Equity III Losses

Broker-Dealer Allegedly Neglected To Stop Multimillion-Dollar Ponzi Scam By Former Financial Advisor

For the past two years, Shepherd Smith Edwards and Kantas (investorlawyers.com) have been investigating claims of losses by investors who were defrauded in the alleged $120M Horizon Private Equity III Ponzi scam. While Oppenheimer does not appear to have been directly involved in the fraud, run by its ex-broker John Woods in Georgia, there appear to be grounds for suing the broker-dealer for its purported gross negligence and failure to properly supervise this financial advisor.