Shepherd Smith Edwards and Kantas is investigating former Equitable Advisors representative Ejiro Ode Okuma, who was recently barred by the SEC and FINRA for allegedly misappropriating over $9.8M from an elderly client. The firm is now seeking to assist other potential victims of Okuma’s misconduct in recovering losses resulting from…
Shepherd Smith Edwards and Kantas Northstar Bermuda Lawsuit Attorneys are representing international investors seeking to recover losses from Northstar Financial Services (Bermuda) through FINRA arbitration against the US broker-dealers who unsuitably marketed the high-risk products. Despite the ongoing liquidation of the offshore entity, the firm is filing lawsuits based on…
Shepherd Smith Edwards and Kantas is filing FINRA arbitration claims against Emerson Equity and broker Robert Scott Smith following the Chapter 11 bankruptcy of Inspired Healthcare Capital (IHC). The lawsuits allege that the firm unsuitably recommended risky, illiquid Delaware Statutory Trusts to retirees, leading to significant overconcentration and the loss…
Shepherd Smith Edwards and Kantas is a seasoned Texas securities law firm that helps institutional investors—including pension funds and municipalities—recoup losses caused by broker misconduct and negligence. Their Dallas-based team provides customized legal representation through mediation, arbitration, and litigation to hold financial advisors accountable for fraud and unsuitable investment recommendations.We…
Shepherd Smith Edwards and Kantas is a New Orleans-area law firm that helps Louisiana investors recover damages when brokers prioritize their own profits over client interests, in violation of the SEC’s Regulation Best Interest. With over 30 years of experience, the firm provides expert representation in FINRA arbitration and litigation…
Former customers of broker Dimitrios Michelis are seeking $5.8 million in damages following allegations of “selling away” and the recommendation of high-risk real estate investment trusts (REITs). The law firm Shepherd Smith Edwards and Kantas is currently investigating these claims to help affected investors recover losses through FINRA arbitration. Former…
Alternative investment loss lawyers at Shepherd Smith Edwards and Kantas are investigating brokerage firms like LPL Financial and Osaic for potential misrepresentations regarding Blue Owl Capital’s OBDC II fund. The investigation follows Blue Owl’s decision to restrict investor redemptions, leaving many retail investors unable to access their capital as previously…
A FINRA arbitration panel ordered UBS Financial Services to pay $5.5M to a client for the improper handling of Compass Inc. shares and options during its 2021 IPO. The article highlights UBS’s history of high-value losses in litigation and invites affected investors to seek recovery through Shepherd Smith Edwards and…
Shepherd Smith Edwards and Kantas is offering legal representation to Texas investors who have suffered significant financial losses due to product failures, fraud, or broker misconduct. The firm specializes in recovering assets through FINRA arbitration by investigating claims of unsuitable recommendations, lack of due diligence, and negligent supervision by brokerage…
A federal magistrate judge has recommended upholding a historic $133 million FINRA arbitration award against Stifel Financial, rejecting the firm’s attempt to vacate the ruling related to former broker Chuck Roberts. The article details how Roberts allegedly misled wealthy clients into high-risk structured note strategies, leading to massive losses and…