Investor Lawyers Blog

L Bond Loss Recovery Law Firm

Published on: April 30, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Retired Washington Couple Sues Arete Wealth Management Over GWG L Bonds

Claimants Worked With A Center Street Securities Broker Prior to That Firm’s Acquisition By Arete

Two senior investors are seeking up to $500K in damages from brokerage firm Arete Wealth Management over losses they sustained in GWG L Bonds. They contend that their former broker James Joseph Toddy allegedly unsuitably recommended GWG Holdings to them while providing no meaningful disclosure of the many risks involved. This is considered making misrepresentations and omissions. Now, the Washington State couple is seeking up to $500K in damages from Arete.

Florida Broker Fraud Attorneys

Published on: April 30, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Florida Broker Fraud Attorneys Continue To Investigate Former Merrill Lynch Broker William King

Ex-Vero Beach, FL Financial Advisor Now Has At Least 28 Customer Complaints

For the past year, our seasoned Florida broker fraud attorneys have been looking into claims of investor losses involving William Worthen King, who resigned from Merrill Lynch Pierce, Fenner & Smith after 37 years with the firm. He left after his former customers filed more than a dozen FINRA lawsuits.

Broker-Dealer Fraud Lawyers

Published on: April 30, 2024 | by Shepherd Smith Edwards & Kantas, LLP

HJ Sims Brokers Sold Reg D Offerings That May Have Cost Investors

Our Broker-Dealer Fraud Lawyers Are Representing Claimants In Fighting For Damages

If you are an investor who lost money after being sold one of the following Herbert J Sims (HJ Sims) private placements, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today for a free case assessment:

Churning Loss Attorneys

Published on: April 30, 2024 | by Shepherd Smith Edwards & Kantas, LLP

I’m An Investor. How Do I Know If I Am The Victim of Excessive Trading By My Broker?

Contact our Experienced Churning Loss Attorneys Today

Over the years, Shepherd Smith Edwards and Kantas Churning Loss Attorneys (investorlawyers.com) has represented many clients who have been the victims of excessive trading, which is also known as churning. This is what happens when a financial advisor makes too many trades in an investor’s account for the purposes of earning additional commissions and not because it is in the customer’s best interests.

Mississippi Elder Financial Abuse Attorneys

Published on: April 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Mississippi Elder Financial Abuse Attorneys

Working With Older Investors and Their Families Throughout The Magnolia State In Recouping The Damages Owed By Their Brokers

According to the AARP, elder financial exploitation costs victims ages 60 and older more than $28.3 billion dollars every year. The nonprofit organization reports that 70% of these losses were caused by perpetrators the older persons knew, including friends, acquaintances, relatives, and investment professionals. From our Gulfport, MS elder financial abuse law offices, Shepherd Smith Edwards and Kantas (investorlawyers.com) represent elderly investors and their loved ones in pursuing damages from the financial advisors who committed such crimes.

iCap Investment Loss Recovery Attorneys

Published on: April 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

iCap Investors, Left In The Lurch Over Reg D Private Placement Losses, Explore Legal Options with Our iCap Investment Loss Recovery Attorneys

FBI And SEC May Be Investigating Whether Real Estate Investment Firm Was A Ponzi Scam

If you are one of the approximately 1800 investors in iCap who has been wondering how to recoup your losses, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) to request your free, no-obligation case assessment. Following recent allegations by third-party restructuring company Palladin that the Washington State-based real estate investment firm may have been a Ponzi scam, now there are reports that the Federal Bureau of Investigation (FBI) is conducting a criminal investigation and the US Securities and Exchange Commission (SEC) is performing a regulatory one.

Financial Advisor Fraud

Published on: April 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

How To Sue Your Stockbroker For Financial Advisor Fraud

Contact Shepherd Smith Edwards and Kantas Today For Your Free Consultation

Going after your broker-dealer and their registered investment adviser for stockbroker fraud that caused you portfolio losses can be a daunting task. It is one of the many reasons you should contact Shepherd Smith Edwards and Kantas (investorlawyers.com) to schedule a no obligation, initial case assessment. One of our seasoned financial advisor misconduct attorneys can help you determine whether you have grounds for filing a lawsuit for damages.

Broker Misconduct Law Firm

Published on: April 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Should HJ Sims Have Exercised More Caution When Marketing and Selling Its Reg D Offerings To Customers? Our Broker Misconduct Law Firm Are Continuing Our Investigation Into Investor Losses

The Shepherd Smith Edwards and Kantas Broker Misconduct Law Firm (investorlawyers.com) are taking very seriously the number of alleged investor losses related to the Regulation D private placements sold by brokerage firm Herbert J. Sims (HJ Sims). For the last 10 years or so, this broker-dealer has sold more than 90 Reg D offerings valued at over $2B, purportedly whether or not these were suitable for customers given their respective investment profiles, risk tolerance levels, or financial goals.

84 of these HJ Sims private placements were sold exclusively by the firm’s brokers, who earned steep commissions in the process. Not only that but some of the issuers for these Reg D bonds may have been HJ Sims executives. If that is true, then these individuals made money both during the issuing process and when these alternative investments were purchased.

Annuity Loss Lawyer

Published on: April 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Massachusetts Retiree Files Seven-Figure CB Life Annuity Lawsuit Accuses Citizens Securities

Claimant Says Broker Misrepresented Colorado Bankers Life Insurance As A Safe Investment

Shepherd Smith Edwards and Kantas Annuity Loss Lawyer Teams (investorlawyers.com) are representing a Medford, MA investor who is seeking up to $1,000,000 in damages from broker-dealer Citizens Securities over the losses she sustained in a Colorado Bankers Life Insurance annuity. In her FINRA lawsuit, this retiree is alleging unsuitability, negligence, misrepresentations and omissions, breach of fiduciary duty, gross negligence, due diligence failures, breach of contract, failure to supervise, and unjust enrichment.

Oregon Elder Financial Abuse Attorneys

Published on: April 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Oregon Elder Financial Abuse Attorneys are Fighting For The Victims of Senior Investor Fraud and Their Loved Ones Throughout The Beaver State

Shepherd Smith Edwards and Kantas (investorlawyers.com) represents older Oregon investors who have suffered losses because of the fraudulent or negligent conduct of brokers and investment advisers. If you suspect that you or a loved one are the victim of this type of exploitation, contact our Portland, OR elder financial abuse law office today to request your free, no obligation case assessment. We can help you determine whether you have grounds for a legal claim.

What Is Elder Financial Abuse?