New York FINRA Attorneys Representing Investors Against The Largest Broker-Dealers on Wall Street Shepherd Smith Edwards and Kantas (investorlawyers.com) represent New York investors and others against broker-dealers all over the state, including the biggest Wall Street firms. In addition to our Buffalo securities law office, we have branch offices throughout the…
Why Investors With Colorado Bankers Life Insurance Annuity Losses Should Contact Our Experienced Securities Lawyers Shepherd Smith Edwards and Kantas Colorado Annuity Loss Lawyers Has Already Filed Dozens of Annuity Loss Lawsuits Related to Greg Lindberg-Owned Entities If you are an investor who purchased annuities issued by Colorado Bankers Life…
What To Know When Filing a FINRA Complaint Against Your Broker The Difference Between A FINRA Lawsuit and a FINRA Complaint If you suspect that your financial advisor engaged in broker misconduct or negligence, then you may be considering filing a complaint with the Financial Industry Regulatory Authority Organization…
Recoup Your GPB Investor Losses in Securities Arbitration If you are an investor who suffered losses in GPB Capital Holdings, you may be able to sue your broker-dealer for unsuitably recommending these private placements that allegedly were part of a more than $1.7B Ponzi scam. Unfortunately, over 17,000 investors, including…
Investors Who Used or Currently Use Robinhood Financial May Have Grounds for a Claim If you are someone who lost money while using Robinhood Financial to make investments, Shepherd Smith Edwards and Kantas (SSEK Law Firm) would like to speak with you to help you explore whether you have grounds…
Broker-Dealers Accused of Not Properly Supervising Custodial Accounts The Financial Industry Regulatory Authority (FINRA) announced that it has fined five major firms $1.4M in total for not reasonably supervising custodial accounts. The broker-dealers are: Citigroup (C), which will pay $300K. Morgan Stanley Smith Barney (MS), which will pay $300K. JP…
Our investor lawyers at SSEK Law Firm are meeting with clients who’ve worked with Innovation Partners and suffered investment losses that they suspect may be due to fraud, negligence, or inadequate supervision. The North Carolina-based broker-dealer was recently fined $60K and censured by the Financial Industry Regulatory Authority (FINRA) after…
If former Cetera Advisers broker James Christopher Hayne has handled your investments and you suffered investment losses that you suspect were due to fraud or negligence, you should speak with an experienced stockbroker fraud law firm right away. Over the years, Hayne, a Texas broker, has been named in numerous…
For alleged supervisory failures and excessive trading by one of its former brokers, Summit Brokerage Services, Inc. has been ordered to pay over $880K– $558K in restitution with interest to customers that were harmed, as well as a $325K fine to the Financial Industry Regulatory Authority (FINRA). The broker-dealer consented…
The Financial Industry Regulatory Authority (FINRA) announced that Buckman, Buckman & Reid, a New Jersey-based brokerage firm, will pay about $205K in restitution to seven clients to settle claims that it did not reasonably supervise two ex-registered representatives accused of recommending “excessive and unsuitable trades.” The self-regulatory authority (SRO) has…