Barred Woodbury Financial Services Broker Accused of Misrepresentations and Fraud If you are an investor who lost money while Robert Hayes Hoffman was your financial representative, our broker misconduct lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) would like to talk to you. Hoffman was barred by the…
Steepener Investments Not Suitable for All Investors Throughout the US, our investment fraud lawyers at Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) represent investors who sustained losses in Steepener investments after they were not fully apprised of the risks or because these structured notes were never suitable for…
Lek Securities Accused of Enabling Manipulative Trading The Financial Industry Regulatory Authority (FINRA) and most major US securities exchanges have permanently barred broker Samuel Lek, who is also the former CEO of Lek Securities. Meanwhile, the broker-dealer was fined $900K. The bars by the self-regulatory organization (FSRO), the New York…
Centaurus Financial Broker Named In Multiple Customer Disputes If you suffered substantial investment losses while Centaurus Financial broker, Katherine Nishnic, was your registered representative, please contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm). We can help you determine whether you have grounds for a broker fraud case. According…
Sagepoint Financial Customers Suffer Losses from GPB Private Placements and Funds If you are an investor who suffered losses after a Sagepoint Financial broker sold you GPB private placements, our securities fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) would like to talk to you. GPB Capital…
Merrill Lynch Sold Strategic Return Notes To Retail Investors If you are an investor who lost money from Strategic Return Notes (SRNs) that were sold by Bank of America’s (BAC) Merrill Lynch, please contact our investment fraud lawyers at Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today. The…
Kalos Capital Broker Sold GPB Private Placements and LIETFs Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) is investigating customer complaints involving Darren Michael Kubiak, a Kalos Capital broker who is currently suspended from the industry for three months. Kubiak is one of the Kalos representatives who sold GPB…
Former Pruco Securities Broker Accused of Borrowing Customers’ Money The Financial Industry Regulatory Authority (FINRA) announced that it is barring Joseph Viet Duy Phan, an ex-Pruco Securities broker, after he did not appear at a hearing in the self-regulatory organization’s (SRO) probe into why he was fired by the broker-dealer.…
NYPPEX Private Equity Fund Manager Accused Of $13M Investor Fraud Laurence G. Allen, the CEO of New York-based broker-dealer, NYPPEX Holdings LLC, is accused of defrauding investors of over $13M. New York Attorney General, Leticia James, filed a securities fraud lawsuit suing Allen, a private equity manager who is also…
GPB Capital Fraud Victim To Have Case Heard By FINRA An investor who lost significant sums after she was sold GPB Capital private placements by an Arkadios Capital broker will get her case heard before a Financial Industry Regulatory Authority arbitration (FINRA) panel in April 2020. This will likely be…