When A Brokerage Firm Violates Investors’ Best Interests Through Alleged Misconduct FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest (Reg BI). The self-regulatory organization (SRO) contends that between January…
Florida Broker Fraud Attorneys Our Trusted Tampa, FL Broker-Dealer Negligence Law Firm Represents Investors, Including Retirees Shepherd Smith Edwards and Kantas (investorlawyers.com) represent residents in The Sunshine State who have suffered losses caused by broker fraud or negligence. If you are a retiree, a retail investor, a high-net-worth investor, or…
Houston Broker Fraud Attorneys Representing Investors in Greater Houston and the Surrounding Areas Against Brokerage Firms For over 30 years, our experienced Houston, TX broker misconduct lawyers have been fighting for investors throughout the state against the largest brokerage firms in the United States. Losing the money that you’ve invested is…
Working With Southern California Investors To Recoup Their Losses Caused by Stockbroker Misconduct The team of San Diego CA Broker Fraud Attorneys at Shepherd Smith Edward and Kantas (investorlawyers.com), know that trusting a financial advisor to manage, grow, and keep your money safe is a big step. We also understand…
Did Your Broker Sell You Signature Bank Autocallable Notes? Our Broker-Dealer Negligence Lawyers Can Help You Explore Your Legal Options In March 2023, Signature Bank shuttered its doors. The Shepherd Smith Edwards and Kantas Structured Product Attorneys (investorlawyers.com) are speaking to investors whose financial advisors may have allegedly unsuitably recommended…
Shepherd Smith Edwards and Kantas Help Investors Recover Their Portfolio Losses What Distinguishes Our Trusted Broker Fraud Law Firm Shepherd Smith Edwards and Kantas (investorlawyers.com) have recovered many millions of dollars on behalf of thousands of investors that have fallen victim to a stockbroker and financial advisor’s negligence. We are…
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…
Why The Parking REIT Investors May Want To Explore Their Legal Options Our Broker Fraud Lawyers Are Investigating The Broker-Dealers Over Alleged Investment Scam With so many The Parking REIT investors appearing to have lost more than 50% of their investment in a purported investment scheme, Shepherd Smith Edwards and Kantas…
What Are Some Red Flags In Brokerage Account Statements That May Indicate Possible Investment Fraud? Our Skilled Broker Negligence Attorneys Can Help Assess Whether You Have Grounds For A Securities Lawsuit It can be hard to know for certain whether you have been the victim of broker misconduct or negligence. This…
What Questions Should You Ask A Broker You Are Considering Working With? Investing your money is always a risk, which is why many people turn to stockbrokers and investment advisers for help. They want experienced financial professionals to handle their funds properly and allocate their assets wisely. While in an…