Archives

2020-04-02: Updated: 2020-04-02 16:41:31 Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving VelocityShares 3x Long Crude Oil ETN (UWT)

by Shepherd Smith Edwards & Kantas, LLP

2020-04-01: Updated: 2020-04-01 07:20:07 Shepherd Smith Edwards and Kantas Investigates Claims Involving Leveraged UBS ETRACS ETNs After COVID-19 Market Crash Causes Investor Losses

by Shepherd Smith Edwards & Kantas, LLP

2020-03-31: Updated: 2020-04-03 18:22:59 Las Pérdidas en las Inversiones durante el Coronavirus tiene a los Inversionistas Buscando Respuestas

by Shepherd Smith Edwards & Kantas, LLP

2020-03-31: Updated: 2020-03-30 12:45:24 What To Know About Suing Your Broker or Investment Adviser For Fraud In FINRA Arbitration During COVID-19

by Shepherd Smith Edwards & Kantas, LLP

2020-03-30: Updated: 2020-03-30 12:36:19 Harvest Volatility Management’s CYES Investments Prove Too Risky For Many Investors During COVID-19

by Shepherd Smith Edwards & Kantas, LLP

2020-03-25: Updated: 2020-03-24 21:23:04 James Daughtry, Ex-Kestra Broker is Involved in Investor Fraud Claims and Accused of Unauthorized Trading

by Shepherd Smith Edwards & Kantas, LLP

2020-03-24: Updated: 2020-03-24 21:24:07 Some Brokers Are Taking Advantage Of Investors During The COVID -19 Coronavirus

by Shepherd Smith Edwards & Kantas, LLP

2020-03-23: Updated: 2020-03-20 09:04:54 Shepherd Smith Edwards and Kantas Investigates Claims Involving Non-traded REIT Preferred Apartment Communities

by Shepherd Smith Edwards & Kantas, LLP

2020-03-20: Updated: 2020-03-20 09:10:32 Broker Fraud and Investment Losses During The Time of The Coronavirus

by Shepherd Smith Edwards & Kantas, LLP

2020-03-19: Updated: 2020-03-18 16:13:52 Experts Say: Expect More FINRA Arbitration Cases Following Coronavirus and Market Volatility

by Shepherd Smith Edwards & Kantas, LLP

2020-03-18: Updated: 2020-03-18 09:32:50 Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Cline Financial Group and National Securities Corporation

by Shepherd Smith Edwards & Kantas, LLP

2020-03-17: Updated: 2020-03-24 13:06:08 Jack Jones and Mark Robare of Robare & Jones Wealth Management are the Subjects of a FINRA Complaint Involving GPB Investments and Other Privately Traded Investments

by Shepherd Smith Edwards & Kantas, LLP

2020-03-16: Updated: 2020-03-16 09:50:57 Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving Midstream MLPs

by Shepherd Smith Edwards & Kantas, LLP

2020-03-13: Updated: 2020-03-13 10:06:57 SSEK Investigates Investment Loss Claims Involving Wells Fargo Broker Jeffrey Eiler

by Shepherd Smith Edwards & Kantas, LLP

2020-03-11: Updated: 2020-03-13 10:04:29 Coronavirus And Market Drops Likely to Cause More Losses for UBS YES and CYES Strategy Investors

by Shepherd Smith Edwards & Kantas, LLP

2020-03-09: Updated: 2020-03-11 11:13:13 Shepherd Smith Edwards and Kantas Investigates UIT Claims Involving Ex-Raymond James Broker

by Shepherd Smith Edwards & Kantas, LLP

2020-03-06: Updated: 2020-03-05 14:18:48 Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Robinhood Financial

by Shepherd Smith Edwards & Kantas, LLP

2020-03-05: Updated: 2020-03-04 15:54:01 Shepherd Smith Edwards and Kantas Investigates UBS YES Strategy Claims

by Shepherd Smith Edwards & Kantas, LLP

2020-03-04: Updated: 2020-03-04 09:48:54 Wells Fargo Settles Inadequate Supervision of Non-Traditional ETFs Claim for $35M

by Shepherd Smith Edwards & Kantas, LLP

2020-03-03: Updated: 2020-03-24 13:07:46 Christopher Shaw, Founder and President of CJS Wealth Management, is the Subject of a FINRA Complaint Involving GPB Capital Recommendations

by Shepherd Smith Edwards & Kantas, LLP

2020-03-02: Updated: 2020-02-27 16:04:28 Citigroup, LPL Financial, Morgan Stanley, JP Morgan Securities, and Merrill Lynch Fined $1.4M for Failure to Reasonably Supervise

by Shepherd Smith Edwards & Kantas, LLP

2020-02-28: Updated: 2020-02-27 09:49:06 Shepherd Smith Edwards and Kantas Investigates Claims Involving Investment Adviser George Marwieh Over Future Income Payments Notes

by Shepherd Smith Edwards & Kantas, LLP

2020-02-27: Updated: 2020-02-26 15:31:51 SSEK Investigates Claims Involving Ex-Principal Securities Broker Accused of $28M Securities Fraud

by Shepherd Smith Edwards & Kantas, LLP

2020-02-26: Updated: 2020-02-26 09:28:14 SSEK Investigates Stockbroker Misconduct Claims Involving Ex-Commonwealth Capital Broker Kimberly Springsteen-Abbott

by Shepherd Smith Edwards & Kantas, LLP

2020-02-25: Updated: 2020-02-24 09:50:16 Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-First Allied Securities Broker Masood Azad

by Shepherd Smith Edwards & Kantas, LLP

2020-02-24: Updated: 2020-02-24 09:33:24 GPB Capital Sued Again: A Class Action Fraud Case and One Lawsuit by Volkswagen

by Shepherd Smith Edwards & Kantas, LLP

2020-02-21: Updated: 2020-02-25 18:54:46 Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-NYLIFE Securities Broker Over Future Income Payments Sales

by Shepherd Smith Edwards & Kantas, LLP

2020-02-20: Updated: 2020-02-20 14:25:03 Shepherd Smith Edwards & Kantas Files GPB Capital Private Placement Fraud Case Against International Assets Advisory

by Shepherd Smith Edwards & Kantas, LLP

2020-02-19: Updated: 2020-02-19 09:36:33 Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Ex- Broker Ma Rosa Linan Abrego and Merrill Lynch

by Shepherd Smith Edwards & Kantas, LLP

2020-02-17: Updated: 2020-02-19 09:33:48 Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Forest Securities Broker Jeffrey Nimmow Who Sold Woodbridge Notes

by Shepherd Smith Edwards & Kantas, LLP

2020-02-13: Updated: 2020-02-14 11:03:21 Ex-Morgan Stanley Broker Elias Hafen Sentenced To Prison For Investment Fraud

by Shepherd Smith Edwards & Kantas, LLP

2020-02-11: Updated: 2020-02-14 11:00:23 GPB Capital Won’t Be Providing Key Tax Documents to Over 6,500 Investors By April 15

by Shepherd Smith Edwards & Kantas, LLP

2020-02-10: Updated: 2020-02-10 10:48:17 Rogue Broker Named in Over 50 Complaints Found Guilty of Mail & Wire Fraud

by Shepherd Smith Edwards & Kantas, LLP

2020-02-07: Updated: 2020-02-07 12:07:20 Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Non-Traditional ETFs

by Shepherd Smith Edwards & Kantas, LLP

2020-02-05: Updated: 2020-02-05 15:50:30 Shepherd Smith Edwards and Kantas Investigates Suspended First Western Securities Broker Kerry Dean Wills

by Shepherd Smith Edwards & Kantas, LLP

2020-02-04: Updated: 2020-02-03 09:36:49 Shepherd Smith Edwards and Kantas Investigates Former Berthel Fisher Broker Mason Gann

by Shepherd Smith Edwards & Kantas, LLP

2020-02-03: Updated: 2020-02-03 09:19:47 Shepherd Smith Edwards and Kantas Investigates Barred Mutual of Omaha Broker Edward Matthes

by Shepherd Smith Edwards & Kantas, LLP

2020-01-30: Updated: 2020-01-30 10:17:35 Shepherd Smith Edwards and Kantas Investigates Ex-Cetera Advisors Broker Roger Owens

by Shepherd Smith Edwards & Kantas, LLP

2020-01-28: Updated: 2020-01-30 10:16:33 SSEK Investigates UBS Broker Christopher Tolman For UBS YES Strategy Recommendations

by Shepherd Smith Edwards & Kantas, LLP

2020-01-27: Updated: 2020-01-28 14:37:55 Merrill Lynch Ordered to Pay $1.7 Million in Puerto Rico Bond Fraud Case Involving Broker Alex Gierbolini

by Shepherd Smith Edwards & Kantas, LLP

2020-01-23: Updated: 2020-01-23 14:51:41 Shepherd Smith Edwards and Kantas Investigates Ex-First Allied Securities Broker Shlomo Strugano

by Shepherd Smith Edwards & Kantas, LLP

2020-01-22: Updated: 2020-01-22 15:58:01 SSEK Investigates Broker Fraud Claims Involving SagePoint Financial Broker Timothy Vanlohuizen

by Shepherd Smith Edwards & Kantas, LLP

2020-01-21: Updated: 2020-02-20 14:26:06 SSEK Investigates Woodbury Financial Broker Daryl Serizawa Over GPB Capital Private Placements

by Shepherd Smith Edwards & Kantas, LLP

2020-01-20: Updated: 2020-01-22 15:26:40 SSEK Investigates Investment Fraud Claims Involving Rogue Broker Anthony Diaz

by Shepherd Smith Edwards & Kantas, LLP

2020-01-17: Updated: 2020-01-17 13:02:02 Shepherd Smith Edwards and Kantas Investigate Claims Involving Barred National Planning Broker William Glaser

by Shepherd Smith Edwards & Kantas, LLP

2020-01-15: Updated: 2020-01-16 14:20:24 Oppenheimer To Pay $3.8M To Customers For Unit Investment Trust Rollover Fees

by Shepherd Smith Edwards & Kantas, LLP

2020-01-13: Updated: 2020-01-16 14:17:25 SSEK Explores Investor Claims Involving Ex-Cetera Advisors Broker Stephen Carver

by Shepherd Smith Edwards & Kantas, LLP

2020-01-10: Updated: 2020-01-10 10:29:34 Shepherd Smith Edwards and Kantas Investigates Ex-Morgan Stanley Broker John Cahill

by Shepherd Smith Edwards & Kantas, LLP

2020-01-09: Updated: 2020-01-10 10:29:15 Shepherd Smith Edwards & Kantas Investigates Merrill Lynch and Gordon Harper over Collateral Yield Enhancement Strategy (CYES) Damages

by Shepherd Smith Edwards & Kantas, LLP

2020-01-08: Updated: 2020-03-24 18:58:35 Kristian Finfrock, Founder of Retirement Income Strategies, is the subject of Investor Complaints Over GPB Capital and Other Esoteric Investments

by Shepherd Smith Edwards & Kantas, LLP

2020-01-07: Updated: 2020-01-08 13:49:51 Shepherd Smith Edwards and Kantas Investigates Ex-Royal Alliance Broker Gary Basralian

by Shepherd Smith Edwards & Kantas, LLP

2020-01-06: Updated: 2020-01-07 08:52:21 Shepherd Smith Edwards and Kantas Investigates NEXT Financial Group Over Non-Traded REIT Sales

by Shepherd Smith Edwards & Kantas, LLP

2020-01-03: Updated: 2020-01-03 15:51:00 Shepherd Smith Edwards and Kantas investigates Martin David Batstone and Newbridge Securities Corp.

by Shepherd Smith Edwards & Kantas, LLP

2019-12-30: Updated: 2019-12-26 10:04:47 Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving SBLOC Losses

by Shepherd Smith Edwards & Kantas, LLP

2019-12-27: Updated: 2020-01-02 10:52:13 Shepherd Smith Edwards and Kantas Investigates Ex-Triad Advisors Broker Michael Sievert For Selling GPB Private Placements

by Shepherd Smith Edwards & Kantas, LLP

2019-12-26: Updated: 2019-12-26 09:53:23 Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Woodbury Financial Services Broker Robert Hayes Hoffman

by Shepherd Smith Edwards & Kantas, LLP

2019-12-24: Updated: 2020-01-02 10:40:16 Shepherd Smith Edwards and Kantas Investigates Investor Loses Involving Steepener Structured Notes

by Shepherd Smith Edwards & Kantas, LLP

2019-12-24: Updated: 2019-12-20 14:16:49 Lek Securities Ex-CEO Samuel Lek Barred by FINRA and Major Exchanges

by Shepherd Smith Edwards & Kantas, LLP

2019-12-23: Updated: 2019-12-19 09:11:54 Shepherd Smith Edwards and Kantas Investigates Claims Involving Centaurus Financial Broker Katherine Nishnic

by Shepherd Smith Edwards & Kantas, LLP

2019-12-19: Updated: 2020-02-04 10:45:33 Shepherd Smith Edwards and Kantas Investigates Sagepoint Financial Over GPB Private Placement Sales

by Shepherd Smith Edwards & Kantas, LLP

2019-12-18: Updated: 2019-12-19 09:00:02 Shepherd Smith Edwards and Kantas Continues to Investigate Claims Involving Merrill Lynch Strategic Return Notes

by Shepherd Smith Edwards & Kantas, LLP

2019-12-17: Updated: 2019-12-19 08:58:56 Shepherd Smith Edwards and Kantas Investigates Kalos Capital Broker Darren Kubiak Over GPB Investments and Exchange-Traded Funds Sales

by Shepherd Smith Edwards & Kantas, LLP

2019-12-16: Updated: 2019-12-13 08:57:38 Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Pruco Broker Joseph Viet Duy Phan

by Shepherd Smith Edwards & Kantas, LLP

2019-12-13: Updated: 2019-12-12 09:18:04 Shepherd Smith Edwards and Kantas Investigates Claims Involving NYPPEX Broker Laurence Allen

by Shepherd Smith Edwards & Kantas, LLP

2019-12-12: Updated: 2019-12-12 09:17:36 First Broker Fraud Case Involving GPB Capital Investments Gears Up for Spring FINRA Hearing

by Shepherd Smith Edwards & Kantas, LLP

2019-12-10: Updated: 2019-12-10 10:51:23 Shepherd Smith Edwards and Kantas Investigates Claims Involving Lincoln Investment Planning Broker Lester Burroughs

by Shepherd Smith Edwards & Kantas, LLP

2019-12-09: Updated: 2019-12-06 09:42:23 Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Securities America Broker Ronald Roach

by Shepherd Smith Edwards & Kantas, LLP

2019-12-06: Updated: 2019-12-06 09:40:18 Former GPB Capital Holdings Partner Doubles Down on Ponzi Scam Claims

by Shepherd Smith Edwards & Kantas, LLP

2019-12-05: Updated: 2019-12-04 13:59:05 Leveraged Loan Defaults Hit $23B

by Shepherd Smith Edwards & Kantas, LLP

2019-12-04: Updated: 2019-12-03 11:31:24 UBS Ordered to Pay Investor Over $150K In Puerto Rico Bonds and Closed-End Bond Fund Case

by Shepherd Smith Edwards & Kantas, LLP

2019-12-03: Updated: 2019-12-02 12:58:01 Another GPB Capital Holdings Auditor Resigns

by Shepherd Smith Edwards & Kantas, LLP

2019-12-02: Updated: 2019-12-02 12:54:57 Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Commonwealth Financial Network Broker Gerald Eaton

by Shepherd Smith Edwards & Kantas, LLP

2019-11-29: Updated: 2019-12-02 12:53:14 Ex-UBS Puerto Rico Broker David Lugo Ordered to Appear in Federal Court

by Shepherd Smith Edwards & Kantas, LLP

2019-11-26: Updated: 2019-12-02 12:50:51 National Financial Services Gives GPB Investors Deadline to Move Investments To Another Platform

by Shepherd Smith Edwards & Kantas, LLP

2019-11-25: Updated: 2019-11-25 11:19:23 Shepherd Smith Edwards and Kantas Investigates Claims Involving 1 Global Capital Investments

by Shepherd Smith Edwards & Kantas, LLP

2019-11-22: Updated: 2019-11-21 10:21:04 Summit Investment to Pay Investor $100K for LJM Preservation and Growth Fund

by Shepherd Smith Edwards & Kantas, LLP

2019-11-21: Updated: 2019-11-20 13:56:22 Shepherd Smith Edwards and Kantas Investigates Ex-Sigma Financial Broker Frederick Randhahn For Selling $625K of Woodbridge Promissory Notes

by Shepherd Smith Edwards & Kantas, LLP

2019-11-20: Updated: 2019-11-20 09:29:44 Shepherd Smith Edwards and Kantas Pursues GPB Capital Investor Fraud Claim Against Kalos Capital, Ameriprise Financial and Ex-Broker Gary Imel

by Shepherd Smith Edwards & Kantas, LLP

2019-11-19: Updated: 2019-11-20 09:21:36 Shepherd Smith Edwards & Kantas Investigates Cetera Investment Services and Mengxuan Zhang

by Shepherd Smith Edwards & Kantas, LLP

2019-11-18: Updated: 2019-11-18 11:01:58 Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Capital Financial Investments and Ex- Broker Sean Kelly

by Shepherd Smith Edwards & Kantas, LLP

2019-11-15: Updated: 2019-11-18 10:57:36 Shepherd Smith Edwards & Kantas Investigates Donovan St. Anthony Hunter and JP Morgan Securities LLP

by Shepherd Smith Edwards & Kantas, LLP

2019-11-14: Updated: 2019-11-15 12:49:48 Kalos Financial Sends Letter to Investor Defending Its Sale of GPB Private Placements

by Shepherd Smith Edwards & Kantas, LLP

2019-11-13: Updated: 2019-11-14 10:02:15 Hong Kong Fines UBS Group $51M For Overcharging Clients

by Shepherd Smith Edwards & Kantas, LLP

2019-11-12: Updated: 2019-11-14 10:02:36 Shepherd Smith Edwards and Kantas Investigates GPB Investor Claims Against Ladenburg Thalmann’s Triad Advisors

by Shepherd Smith Edwards & Kantas, LLP

2019-11-08: Updated: 2019-11-08 11:25:29 New Class Action Against GPB Capital Offers New Details Into Alleged $1.8B Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2019-11-07: Updated: 2019-11-08 09:15:00 Shepherd Smith Edwards and Kantas Investigates Customer Claims Involving First Standard Financial and Brokers Philip J. Sparacino and Gabriel Block

by Shepherd Smith Edwards & Kantas, LLP

2019-11-06: Updated: 2019-11-06 15:19:01 9th Circuit Strikes Down JP Morgan Securities’ Wrongful Termination Win

by Shepherd Smith Edwards & Kantas, LLP

2019-11-05: Updated: 2019-11-06 15:15:44 Morgan Stanley Pays $182K to Clients of Ex-Broker Justin Amaral

by Shepherd Smith Edwards & Kantas, LLP

2019-11-04: Updated: 2019-11-01 14:05:28 SEC’s Broker-Dealer Fraud Case Against Cetera Advisors Reaches $21M

by Shepherd Smith Edwards & Kantas, LLP

2019-11-01: Updated: 2019-11-01 14:03:35 Shepherd Smith Edwards and Kantas Investigates Centaurus Financial Brokers Ricky Mantei and Cindy Chiellini

by Shepherd Smith Edwards & Kantas, LLP

2019-10-31: Updated: 2019-10-31 13:22:57 Shepherd Smith Edwards & Kantas Investigates Ex-Raymond James & Associates Advisor Stuart Nichols

by Shepherd Smith Edwards & Kantas, LLP

2019-10-30: Updated: 2019-10-30 12:52:22 Newbridge Securities, Under Investigation for GPB Private Placement Sales, Fined $225K for Inadequate Supervision

by Shepherd Smith Edwards & Kantas, LLP

2019-10-29: Updated: 2019-10-29 09:37:04 Shepherd Smith Edwards and Kantas Investigates Claims by Clients of Innovation Partners

by Shepherd Smith Edwards & Kantas, LLP

2019-10-28: Updated: 2019-10-28 14:21:26 Ex-Texas Broker With Morgan Stanley and Ameriprise Fined Over Allegedly Unauthorized Trades

by Shepherd Smith Edwards & Kantas, LLP

2019-10-25: Updated: 2019-10-26 12:50:56 GPB Capital CCO Michael Cohn is Charged with Obstruction

by Shepherd Smith Edwards & Kantas, LLP

2019-10-24: Updated: 2019-10-25 14:54:11 Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving ex-Morgan Stanley Brokers Ami Forte and Charles Lawrence

by Shepherd Smith Edwards & Kantas, LLP

2019-10-23: Updated: 2019-10-22 10:35:06 Shepherd Smith Edwards and Kantas Investigates Daniel Gordon Maughan and Financial West Group

by Shepherd Smith Edwards & Kantas, LLP

2019-10-22: Updated: 2019-10-22 10:10:21 Shepherd Smith Edwards and Kantas Investigates Complaints Involving Ex-Raymond James Broker John Wyshak

by Shepherd Smith Edwards & Kantas, LLP

2019-10-21: Updated: 2019-10-21 09:50:21 Investor Funds Take on Big Losses Because of Argentina Stock Market Exposure

by Shepherd Smith Edwards & Kantas, LLP

2019-10-18: Updated: 2019-10-17 10:02:50 Shepherd Smith Edwards and Kantas Investigates ex-Wells Fargo Advisor Stephen Klinger

by Shepherd Smith Edwards & Kantas, LLP

2019-10-17: Updated: 2019-10-16 10:46:28 Shepherd Smith Edwards and Kantas Investigates Claims Involving Fired UBS Broker David Fagenson

by Shepherd Smith Edwards & Kantas, LLP

2019-10-16: Updated: 2019-10-16 10:36:45 Shepherd Smith Edwards and Kantas Investigating Claims Involving Ex-Hilltop Securities Broker Richard Cagle

by Shepherd Smith Edwards & Kantas, LLP

2019-10-15: Updated: 2019-10-15 09:12:07 Shepherd Smith Edwards and Kantas Investigates Ex-Wells Fargo Broker Leonard Kinsman

by Shepherd Smith Edwards & Kantas, LLP

2019-10-14: Updated: 2019-10-15 09:05:02 Shepherd Smith Edwards and Kantas Investigating Oppenheimer Broker Cesar Hurtado

by Shepherd Smith Edwards & Kantas, LLP

2019-10-11: Updated: 2019-10-11 09:29:26 Stifel Nicolaus to Pay $1.5M For Failure to Supervise Broker Kenneth Blumberg

by Shepherd Smith Edwards & Kantas, LLP

2019-10-10: Updated: 2019-10-11 08:57:32 What’s The Connection Between Kalos Capital And GPB Capital?

by Shepherd Smith Edwards & Kantas, LLP

2019-10-09: Updated: 2019-10-09 15:09:00 Shepherd Smith Edwards & Kantas Investigates Jeffery Vasiloff, Former LPL Financial Advisor

by Shepherd Smith Edwards & Kantas, LLP

2019-10-08: Updated: 2019-10-23 19:22:32 Shepherd Smith Edwards and Kantas Files Investor Fraud Lawsuit Against Money Concepts Capital for GPB Capital Sales

by Shepherd Smith Edwards & Kantas, LLP

2019-10-07: Updated: 2019-10-08 13:28:45 Three Ex-Morgan Stanley Brokers Accused of Broker Misconduct

by Shepherd Smith Edwards & Kantas, LLP

2019-10-03: Updated: 2019-10-02 14:20:07 Raymond James To Pay $15M for Improper Advisory Fees and Commission Charges

by Shepherd Smith Edwards & Kantas, LLP

2019-10-03: Updated: 2019-10-04 12:18:40 SSEK Law Firm Investigates Ex-Broker James T. Flynn and Voya Financial Advisors

by Shepherd Smith Edwards & Kantas, LLP

2019-10-02: Updated: 2019-10-02 14:13:13 Alleged $125M Offering Fraud Touted “Highly Profitable” Trading Strategy

by Shepherd Smith Edwards & Kantas, LLP

2019-10-01: Updated: 2019-10-03 10:10:44 Investors Blame Brokers Matthew Buchsbaum And Scott Rosenberg For UBS YES Strategy Losses

by Shepherd Smith Edwards & Kantas, LLP

2019-10-01: Updated: 2019-10-11 09:34:38 Fraudulent Binary Options Led to Tens of Millions of Dollars in Investor Losses

by Shepherd Smith Edwards & Kantas, LLP

2019-09-30: Updated: 2019-10-01 09:12:26 SSEK Investigates Stockbroker Eddie Lyons of Raymond James & Associates

by Shepherd Smith Edwards & Kantas, LLP

2019-09-30: Updated: 2019-10-11 09:35:01 Strong Investment Management and Laurel Wealth Advisors Settle Cherry Picking Allegations

by Shepherd Smith Edwards & Kantas, LLP

2019-09-23: Updated: 2019-10-23 19:23:57 GPB Fails to Meet Its Own Disclosure Deadline, Fires Prime Automotive Group CEO

by Shepherd Smith Edwards & Kantas, LLP

2019-09-23: Updated: 2019-09-23 10:58:24 Shepherd Smith Edwards & Kantas investigates James T. Booth and LPL/INVEST

by Shepherd Smith Edwards & Kantas, LLP

2019-09-23: Updated: 2019-09-23 10:46:30 Shepherd Smith Edwards & Kantas investigates Marcus Boggs, a former Merrill Lynch Financial Advisor

by Shepherd Smith Edwards & Kantas, LLP

2019-09-20: Updated: 2019-09-20 09:54:59 JP Morgan Settles Broker Fraud Claim for $14M

by Shepherd Smith Edwards & Kantas, LLP

2019-09-18: Updated: 2019-09-20 09:52:02 Shepherd Smith Edwards and Kantas Wins $550K for Texas Widow Against UBS

by Shepherd Smith Edwards & Kantas, LLP

2019-09-16: Updated: 2019-10-23 19:24:48 Investor Files GPB Private Placement Claim Against Kalos Capital

by Shepherd Smith Edwards & Kantas, LLP

2019-09-13: Updated: 2019-10-23 19:21:06 Investor’s GPB Private Placement Claim Against Arkadios Capital Gets FINRA Hearing

by Shepherd Smith Edwards & Kantas, LLP

2019-09-13: Updated: 2019-09-16 15:18:20 Ex-Cetera Broker from Texas is Accused of Defrauding Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-09-12: Updated: 2019-09-16 15:23:50 American Realty Capital Properties to Pay Investors $1B

by Shepherd Smith Edwards & Kantas, LLP

2019-09-10: Updated: 2019-09-16 15:21:50 Ex-Morgan Stanley Broker Pleads Guilty to Investment Adviser Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-09-07: Updated: 2019-09-16 14:31:46 Cetera Advisors Accused of Defrauding Investors of $10M

by Shepherd Smith Edwards & Kantas, LLP

2019-09-06: Updated: 2019-09-16 14:29:53 Cambridge Capital Accused of Defrauding Retired NFL Athletes

by Shepherd Smith Edwards & Kantas, LLP

2019-09-05: Updated: 2019-09-16 14:26:48 Philadelphia-Based Investment Adviser Accused of $105M Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-09-03: Updated: 2019-09-16 14:24:01 UBS Ordered to Pay $9.3M for Puerto Rico Bond Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-09-02: Updated: 2019-09-06 11:54:09 Financial Sherpa Accused of Cherry Picking

by Shepherd Smith Edwards & Kantas, LLP

2019-08-31: Updated: 2019-09-06 11:46:10 UBS Yes Strategy Investors File Fraud Claims

by Shepherd Smith Edwards & Kantas, LLP

2019-08-30: Updated: 2019-09-06 11:43:56 Sagepoint Financial and Royal Alliance Sold GPB Private Placements to Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-08-27: Updated: 2019-08-29 14:11:36 Ex-Merrill Lynch Investment Adviser Accused of Stealing $1.7M

by Shepherd Smith Edwards & Kantas, LLP

2019-08-26: Updated: 2019-08-29 14:09:44 Former Broker Pleads Guilty in Castleberry Financial Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-08-20: Updated: 2019-08-29 14:08:04 Alleged Unauthorized Trades by IFS Securities Trader Causes $10M in Losses

by Shepherd Smith Edwards & Kantas, LLP

2019-08-19: Updated: 2019-08-30 10:56:51 Investors of GPB Capital Holdings Funds File Class Action Securities Fraud Lawsuit

by Shepherd Smith Edwards & Kantas, LLP

2019-08-16: Updated: 2019-08-29 13:59:25 Commonwealth Accused of Not Disclosing Revenue Deal to Clients

by Shepherd Smith Edwards & Kantas, LLP

2019-08-15: Updated: 2019-08-29 14:04:23 Texas Fines Investment Advisor for Failure to Supervise, UXVY ETF Losses

by Shepherd Smith Edwards & Kantas, LLP

2019-08-13: Updated: 2019-08-29 13:49:50 Two Former Brokers Sentenced in Multimillion-Dollar Ponzi Frauds

by Shepherd Smith Edwards & Kantas, LLP

2019-08-09: Updated: 2019-08-21 12:37:29 Ex-Wells Fargo Broker and Advisor Are Accused of Misconduct

by Shepherd Smith Edwards & Kantas, LLP

2019-08-08: Updated: 2019-08-21 12:32:06 Mispriced Funds and Elder Investor Fraud Lead to SEC Cases

by Shepherd Smith Edwards & Kantas, LLP

2019-08-06: Updated: 2019-08-06 15:56:54 Centaurus Structured Investment Loss Lawyers

by Shepherd Smith Edwards & Kantas, LLP

2019-08-05: Updated: 2019-08-05 12:38:57 Texas Investor Says Kalos Capital Advisor Inappropriately Recommended GPB Private Placements

by Shepherd Smith Edwards & Kantas, LLP

2019-08-02: Updated: 2019-08-02 14:37:13 SSEK Investigates Darren Oglesby and Money Concepts Capital

by Shepherd Smith Edwards & Kantas, LLP

2019-07-31: Updated: 2019-08-29 14:14:11 GPB Capital Sued by Another Business Partner Alleging Financial Misconduct

by Shepherd Smith Edwards & Kantas, LLP

2019-07-26: Updated: 2019-07-26 15:24:28 56 Brokerage Firms to Pay $89M to Retirement and Charitable Accounts

by Shepherd Smith Edwards & Kantas, LLP

2019-07-25: Updated: 2019-07-25 15:23:39 Fidelity’s National Financial Services Orders GPB Private Placements Removed

by Shepherd Smith Edwards & Kantas, LLP

2019-07-22: Updated: 2019-07-22 11:09:27 Nomura Settles Two MBS Fraud Cases for $25M

by Shepherd Smith Edwards & Kantas, LLP

2019-07-19: Updated: 2019-07-19 16:12:03 GPB Capital Funds Continue To Plunge In Value

by Shepherd Smith Edwards & Kantas, LLP

2019-07-18: Updated: 2019-07-18 11:06:59 AR Capital, Nick Schorsch, and Brian Block Settle REIT Fraud Case for $60M

by Shepherd Smith Edwards & Kantas, LLP

2019-07-16: Updated: 2019-07-16 11:04:56 Aequitas Ponzi Fraud Case Results in $234.6M Settlement

by Shepherd Smith Edwards & Kantas, LLP

2019-07-15: Updated: 2019-07-15 11:01:44 CYES Strategy Investments Prove Too Risky for Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-07-12: Updated: 2019-07-12 10:59:26 Kristofor R. Behn, Fieldstone Financial Management Face Fraud Charges

by Shepherd Smith Edwards & Kantas, LLP

2019-07-11: Updated: 2019-07-11 10:56:51 Summit to Pay Over $880K for Excessive Trading, Inadequate Supervision

by Shepherd Smith Edwards & Kantas, LLP

2019-07-10: Updated: 2019-07-10 06:52:12 Former LPL Broker and Ex-Convict Accused in $3.3M Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-07-09: Updated: 2019-07-09 11:48:38 Legend Securities to Pay Almost $967K to Investor

by Shepherd Smith Edwards & Kantas, LLP

2019-07-05: Updated: 2019-07-05 09:36:44 Former NY Trader Accused of $19.3M Ponzi Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-07-03: Updated: 2019-07-03 15:10:44 Purshe Kaplan to Pay $9.5M to Native American Tribe

by Shepherd Smith Edwards & Kantas, LLP

2019-07-02: Updated: 2019-07-02 15:09:55 Massachusetts Fines LPL Financial $1.1M

by Shepherd Smith Edwards & Kantas, LLP

2019-07-01: Updated: 2019-07-01 15:03:02 Brokerage Firms Made over $165 Million for Selling GPB Capital Private Placements

by Shepherd Smith Edwards & Kantas, LLP

2019-06-29: Updated: 2019-06-29 15:13:17 Investors Awarded $3M In Claim Against Spire Securities

by Shepherd Smith Edwards & Kantas, LLP

2019-06-26: Updated: 2019-06-26 14:56:17 Healthcare Investment Scam Targeted Dozens of Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-06-25: Updated: 2019-06-25 14:55:37 REIT Investors Suffer Major Losses

by Shepherd Smith Edwards & Kantas, LLP

2019-06-24: Updated: 2019-06-24 14:49:22 Ex-Cetera Financial Group Adviser Named in 27 Customer Disputes

by Shepherd Smith Edwards & Kantas, LLP

2019-06-21: Updated: 2019-06-21 14:21:42 Ex-Cetera, UBS, and Spencer Edwards Brokers Barred

by Shepherd Smith Edwards & Kantas, LLP

2019-06-19: Updated: 2019-06-19 16:36:44 Recent SEC Cases Involves Market Rigging

by Shepherd Smith Edwards & Kantas, LLP

2019-06-18: Updated: 2019-06-18 16:34:47 Ex-Windsor Street Capital Broker is Barred

by Shepherd Smith Edwards & Kantas, LLP

2019-06-14: Updated: 2019-06-14 14:08:10 Leon Vaccarelli Convicted on 21 Counts Involving Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-06-12: Updated: 2019-06-12 14:00:21 Wells Fargo Sued for More than $1B in RMBS Fraud Case

by Shepherd Smith Edwards & Kantas, LLP

2019-06-11: Updated: 2019-06-11 13:57:11 Another Ex-LPL Broker Barred Following Misrepresentation Allegations

by Shepherd Smith Edwards & Kantas, LLP

2019-06-07: Updated: 2019-06-07 13:26:36 Recent Ponzi Fraud Allegedly Targeted College Grads

by Shepherd Smith Edwards & Kantas, LLP

2019-06-06: Updated: 2019-06-06 13:18:51 FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations

by Shepherd Smith Edwards & Kantas, LLP

2019-06-05: Updated: 2019-06-05 13:15:38 Stephen Brandon Anderson Accused of Multiple SEC Findings

by Shepherd Smith Edwards & Kantas, LLP

2019-06-04: Updated: 2019-06-04 13:14:00 Ex-Morgan Stanley Broker Suspended Over Alleged Churning

by Shepherd Smith Edwards & Kantas, LLP

2019-06-03: Updated: 2019-07-29 09:47:38 FINRA Bars Additional Bad Brokers from Big Firms

by Shepherd Smith Edwards & Kantas, LLP

2019-05-31: Updated: 2019-05-31 16:37:47 Former Och-Ziff Capital Executive Admits To Lying

by Shepherd Smith Edwards & Kantas, LLP

2019-05-30: Updated: 2019-05-30 16:30:44 Investors Defrauded in Alleged $1.4M Prime Bank Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-05-29: Updated: 2019-05-29 16:19:00 SEC Announces $4.5M Whistleblower Award

by Shepherd Smith Edwards & Kantas, LLP

2019-05-28: Updated: 2019-05-28 10:49:34 Newbridge Securities Corporation in Financial Trouble

by Shepherd Smith Edwards & Kantas, LLP

2019-05-27: Updated: 2019-05-27 10:05:02 SSEK Investigates Harvest Volatility Management Strategies

by Shepherd Smith Edwards & Kantas, LLP

2019-05-24: Updated: 2019-05-24 11:32:06 Former LPL Financial Broker is Barred from the Securities Industry

by Shepherd Smith Edwards & Kantas, LLP

2019-05-24: Updated: 2019-05-24 11:20:54 Morgan Stanley Ordered to Pay $519K to Retired Couple

by Shepherd Smith Edwards & Kantas, LLP

2019-05-22: Updated: 2019-05-22 11:02:27 Broker Allegedly Illegally Sold Over $23M in Woodbridge Securities

by Shepherd Smith Edwards & Kantas, LLP

2019-05-21: Updated: 2019-05-21 10:48:21 Ex-America Northcoast Securities Broker Barred For Unsuitable ETF Trades

by Shepherd Smith Edwards & Kantas, LLP

2019-05-17: Updated: 2019-05-17 10:42:28 Former Janney Montgomery Scott Broker Faces Charges

by Shepherd Smith Edwards & Kantas, LLP

2019-05-16: Updated: 2019-05-16 10:27:20 Stanford Ponzi Fraud Victims Awarded $1.4M

by Shepherd Smith Edwards & Kantas, LLP

2019-05-15: Updated: 2019-05-15 15:49:57 Fund Manager LJM Partners Sues Over Volatility Losses

by Shepherd Smith Edwards & Kantas, LLP

2019-05-14: Updated: 2019-05-14 15:31:48 Ex-Business Partner Accuses GPB Capital Holdings of Ponzi Scheme

by Shepherd Smith Edwards & Kantas, LLP

2019-05-10: Updated: 2019-05-10 15:19:18 AXA Financial Ordered to Pay $3.2M to Farming Family

by Shepherd Smith Edwards & Kantas, LLP

2019-05-08: Updated: 2019-05-08 15:08:18 Morgan Stanley to Pay Almost $455K For Alleged Retirement Fund Mismanagement

by Shepherd Smith Edwards & Kantas, LLP

2019-05-06: Updated: 2019-05-06 11:01:50 Morgan Stanley To Pay $150M Over Mortgage-Backed Securities

by Shepherd Smith Edwards & Kantas, LLP

2019-05-03: Updated: 2019-09-12 11:35:37 Claim Filed Against Arkadios Over GPB Capital Private Placements

by Shepherd Smith Edwards & Kantas, LLP

2019-05-02: Updated: 2019-05-02 15:22:48 Buckman, Buckman & Reid To Pay Customers $205K

by Shepherd Smith Edwards & Kantas, LLP

2019-04-29: Updated: 2019-04-29 14:55:12 Puerto Rico Retiree Plan Accuses UBS and Others of Bond Price Rigging

by Shepherd Smith Edwards & Kantas, LLP

2019-04-25: Updated: 2019-04-25 14:45:42 Recent Fraud Cases Targeted Hedge Funds, Senior Investors, and Israeli-Americans

by Shepherd Smith Edwards & Kantas, LLP

2019-04-24: Updated: 2019-04-24 14:40:35 Hundreds of Retail Investors Harmed in Two Separate Fraud Cases

by Shepherd Smith Edwards & Kantas, LLP

2019-04-22: Updated: 2019-04-22 09:20:12 Ex-Aegis Capital Broker is Barred Over Churning Allegations

by Shepherd Smith Edwards & Kantas, LLP

2019-04-21: Updated: 2019-04-21 09:16:16 LPL Financial To Pay $450K Fine to Texas Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-04-19: Updated: 2019-04-19 09:10:52 SEC Charges Abraaj Investment Management With Defrauding Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-04-18: Updated: 2019-04-18 07:31:35 Investment Adviser is Accused of Defrauding More than $570K

by Shepherd Smith Edwards & Kantas, LLP

2019-04-17: Updated: 2019-04-17 07:38:44 Former Woodbridge CEO Now Faces Criminal Charges

by Shepherd Smith Edwards & Kantas, LLP

2019-04-15: Updated: 2019-04-15 15:32:05 “Pastors” Accused of $25M Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2019-04-12: Updated: 2019-04-12 15:28:16 Direct Lending Investments Face SEC $11M Fraud Charges

by Shepherd Smith Edwards & Kantas, LLP

2019-04-10: Updated: 2019-04-10 11:08:41 Investor Fraud Crimes: Ex-Hedge Fund Manager and Investment Advisor Sentenced

by Shepherd Smith Edwards & Kantas, LLP

2019-04-08: Updated: 2019-04-08 11:03:24 Texas Man Pleads Guilty In $360M Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2019-04-05: Updated: 2019-04-05 16:13:30 Latest SEC Whistleblower Award is $50 Million | Securities Fraud Attorney

by Shepherd Smith Edwards & Kantas, LLP

2019-04-04: Updated: 2019-04-04 10:57:47 Sweetwater Investments Plead Guilty To $3M Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-04-03: Updated: 2019-04-03 09:52:23 Unregistered Investment Adviser Accused in $29M Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2019-04-01: Updated: 2019-04-01 09:54:12 Investor Alert! Beware of Losses from the UBS Yield Enhancement Strategy

by Shepherd Smith Edwards & Kantas, LLP

2019-03-29: Updated: 2019-03-29 14:01:25 Ex-UBS Puerto Rico Broker is Sentenced to Prison

by Shepherd Smith Edwards & Kantas, LLP

2019-03-27: Updated: 2019-03-27 07:46:05 Family Files $18M Investor Fraud Lawsuit Against Securities America Alleging Broker Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-03-26: Updated: 2019-03-26 09:12:49 The FBI and NY Regulators Raid GPB Capital Holdings’ Trash Hauling Company

by Shepherd Smith Edwards & Kantas, LLP

2019-03-22: Updated: 2019-03-22 09:09:37 NorthStar Healthcare REIT Investors Suffer Losses as Income Distributions Are Suspended

by Shepherd Smith Edwards & Kantas, LLP

2019-03-21: Updated: 2019-03-21 08:56:25 Talimco LLC Allegedly Defrauded CDO Client To Benefit Another Client

by Shepherd Smith Edwards & Kantas, LLP

2019-03-19: Updated: 2019-03-19 13:18:39 79 Investment Advisers To Give Over $125M Back to Mutual Fund Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-03-18: Updated: 2019-03-18 13:04:14 Radio Host Accused in $19.6M Texas Scam That Targeted Elderly Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-03-15: Updated: 2019-08-19 16:23:23 Wedbush Securities To Pay $250K Over Inadequate Supervision of Ex-Broker Accused of Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-03-12: Updated: 2019-03-12 16:23:03 Former Alexander Capital Broker Accused of Churning Must Pay Over $302K

by Shepherd Smith Edwards & Kantas, LLP

2019-03-11: Updated: 2019-03-11 16:17:07 SEC Bars Former Wells Fargo Broker Over Alleged $1.3M Senior Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-03-08: Updated: 2019-03-08 11:44:51 BB&T Securities To Give Back Over $5M To Retail Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-03-06: Updated: 2019-03-06 07:00:39 Securities-Backed Lines of Credit Are Not For Every Investor

by Shepherd Smith Edwards & Kantas, LLP

2019-03-05: Updated: 2019-12-10 18:35:09 Broker-Dealers Who Sold GPB Investments

by Shepherd Smith Edwards & Kantas, LLP

2019-03-05: Updated: 2019-03-05 11:56:31 FBI Is Investigating GPB Capital Holdings

by Shepherd Smith Edwards & Kantas, LLP

2019-03-05: Updated: 2019-03-05 11:32:04 Hedge Funds That Own Puerto Rico General Obligation Bonds Continue to Fight for Repayment

by Shepherd Smith Edwards & Kantas, LLP

2019-03-04: Updated: 2019-03-04 11:31:00 Criminal Securities Fraud Cases Including Startup Company Charged in $48M Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-03-02: Updated: 2019-03-02 10:30:33 Investors Claims Against Santander for Puerto Rico Bond Fraud Losses are Increasing

by Shepherd Smith Edwards & Kantas, LLP

2019-02-28: Updated: 2019-02-28 09:44:06 Castleberry Financial Services is Accused of $3.6M Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-02-27: Updated: 2019-02-27 09:40:40 Big Banks Are Accused of Rigging Freddie Mac and Fannie Mae Bonds

by Shepherd Smith Edwards & Kantas, LLP

2019-02-26: Updated: 2019-02-26 09:36:25 Investor Fraud Claims Include Kiddar Capital and Stanford Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2019-02-25: Updated: 2019-02-25 10:28:39 Former Commonwealth Financial Network Broker Is Accused of Stealing $100K From Retiree

by Shepherd Smith Edwards & Kantas, LLP

2019-02-21: Updated: 2019-02-21 16:04:35 Philadelphia Sues Citigroup, Goldman Sachs, Bank of America and Other Big Banks, Alleges Municipal Bond Rigging

by Shepherd Smith Edwards & Kantas, LLP

2019-02-20: Updated: 2019-02-20 13:54:27 United Planners Fined $100K By Massachusetts for Inadequate Supervision of a Broker

by Shepherd Smith Edwards & Kantas, LLP

2019-02-19: Updated: 2019-02-19 15:09:29 Financial Firms: UBS Settles with Virginia’s Regulator over Broker’s Unsuitable Recommendations, FINRA Fines Texas Broker-Dealer $225K for Mutual Fund Sales Violations, and an Ex-Client Seeks $500K from Carson Wealth while Alleging Excessive Fees

by Shepherd Smith Edwards & Kantas, LLP

2019-02-18: Updated: 2019-02-18 13:05:05 U.S. First Circuit Court of Appeals Invalidates PROMESA Board

by Shepherd Smith Edwards & Kantas, LLP

2019-02-16: Updated: 2019-02-16 10:00:35 Recover Losses From Investing With Former Ameritas Investment Corp. Broker Kristian Gaudet

by Shepherd Smith Edwards & Kantas, LLP

2019-02-15: Updated: 2019-02-15 13:32:25 Investor Fraud: Former MML Investors Broker Who Sold $3.5M of Woodbridge Notes is Barred, Ex-Merrill Lynch Rep Gets 40-Month Prison Term for Defrauding Clients, and Barred UBS Broker is Sentenced in $3.7M Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-02-14: Updated: 2019-02-14 10:33:26 $18 Billion COFINA Deal to Restructure Puerto Rico Debt Gets Federal Court Approval

by Shepherd Smith Edwards & Kantas, LLP

2019-02-13: Updated: 2019-02-13 16:30:30 Commodity Futures Trading Commission Orders Couple Who Pleaded Guilty in $11M Futures Trading Scam to Pay Restitution

by Shepherd Smith Edwards & Kantas, LLP

2019-02-11: Updated: 2019-02-11 13:00:12 Statim Holdings Is Accused of Defrauding Private Fund Arjun and Its Investors

by Shepherd Smith Edwards & Kantas, LLP

2019-02-07: Updated: 2019-02-07 11:46:05 Finra Bars Fired Merrill Lynch Broker Accused of Falsifying Class B Mutual Fund Share Sales Orders

by Shepherd Smith Edwards & Kantas, LLP

2019-02-06: Updated: 2019-02-06 16:17:51 Investment Fraud: Capital Securities Must Pay Retired Teachers $3.8M and Investors Ask Court for Nearly $2.7M Judgment over High Risk Investment Losses

by Shepherd Smith Edwards & Kantas, LLP

2019-02-05: Updated: 2019-02-05 19:55:55 U.S. First Court of Appeals Reverses Lower Court and Rules that Puerto Rico Bondholders Have a Valid Claim on Pension Fund Assets

by Shepherd Smith Edwards & Kantas, LLP

2019-02-04: Updated: 2019-02-04 16:18:14 Retirement Losses: First Allied Securities and Financial Adviser to Pay Retirees Over $1.6M for Investment Advice, MetLife to Pay Another $189M to Individuals Owed Pensions, and Duke University Will Pay Over $10M to Settles Lawsuits Alleging ERISA Violations

by Shepherd Smith Edwards & Kantas, LLP

2019-01-31: Updated: 2019-01-31 15:24:40 Investor Fraud: Quest Capital Strategies Must Pay Investor $276K in Woodbridge Ponzi Fraud, FINRA Warns Firms About Recommending Unsuitable 529 Plan Share Classes, and Ex-Ameritas Broker is Barred from the Securities Industry

by Shepherd Smith Edwards & Kantas, LLP

2019-01-30: Updated: 2019-01-30 07:00:15 Woodbridge and Its Ex-Owner Must Pay $1B Over Alleged Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2019-01-29: Updated: 2019-01-29 07:06:50 Criminal Securities Fraud: Another Ex-Wilmington Trust Executive Gets His Prison Term, Former Rock Capital Trader in $13.7M Fake Profits Scam to Serve 5-Year Sentence, and Ex-NJ Financial Adviser Who Defrauded Customers Waits for Jury Verdict

by Shepherd Smith Edwards & Kantas, LLP

2019-01-28: Updated: 2019-01-28 12:04:11 Texas Real Estate Developer Faces SEC Charges Over Alleged Multimillion-Dollar Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2019-01-25: Updated: 2019-01-25 11:48:46 Ex- Financial Adviser Peggy Fulford is Sentenced to 10 Years in Prison for Defrauding Professional Athletes

by Shepherd Smith Edwards & Kantas, LLP

2019-01-24: Updated: 2019-01-24 15:16:18 Securities Cases: Massachusetts Charges Royal Alliance Over Unsuitable Investment Advice, Ex-Schwab Rep. is Fined For Alleged False Statements, and Texas Broker Accused of Bank Fraud Gets His CFP Designation Suspended

by Shepherd Smith Edwards & Kantas, LLP

2019-01-21: Updated: 2019-01-21 15:09:22 CFD Investments Ordered to Pay $125K Fine Over the Inadequate Supervision of Variable Annuity Sales

by Shepherd Smith Edwards & Kantas, LLP

2019-01-17: Updated: 2019-01-17 15:11:46 Royal Alliance and Former Broker Are Ordered to Pay $4.2M To Widow Who Was Victim of Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-01-15: Updated: 2019-01-15 12:24:35 Puerto Rico Oversight Board Seeks to Invalidate Over $6 Billion of General Obligation Bonds

by Shepherd Smith Edwards & Kantas, LLP

2019-01-11: Updated: 2019-01-11 16:30:19 Enbridge Acquires The Rest of Its Houston-Based Mastered Limited Partnership Operations

by Shepherd Smith Edwards & Kantas, LLP

2019-01-10: Updated: 2019-01-10 10:47:55 Finra Bars Another Ex-Morgan Stanley Representative, Fines Firm $10M for AML Detection Deficiencies, and Orders It To Pay Two Investors $4.2M For Broker Fraud

by Shepherd Smith Edwards & Kantas, LLP

2019-01-09: Updated: 2019-01-09 13:31:57 Houston, TX-Based Brokerage Firm Next Financial is Acquired by Atria

by Shepherd Smith Edwards & Kantas, LLP

2019-01-07: Updated: 2019-01-07 13:35:12 Puerto Rico’s Fiscal Oversight Board Reportedly Will Pay Advisor Brown Rudnick $790/Hour

by Shepherd Smith Edwards & Kantas, LLP

2019-01-03: Updated: 2019-01-03 13:33:32 Ex- Wells Fargo Broker Faces 128 Felony Counts in Alleged $1M Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2018-12-31: Updated: 2018-12-31 15:04:31 Big Banks End 2018 Holding At Least $1.6B of Unsold Loans Involving Leveraged Buyout Debt

by Shepherd Smith Edwards & Kantas, LLP

2018-12-27: Updated: 2018-12-27 11:55:19 FINRA Sues Ex-Morgan Stanley Broker Ami Forte for Elder Financial Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-12-26: Updated: 2018-12-26 11:54:02 SEC Files Charges Against 10 Companies and 13 Unregistered Brokers That Sold Woodbridge Securities in $1.2B Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2018-12-24: Updated: 2018-12-24 11:52:16 FINRA and SEC Reportedly Probe GPB Capital Holdings and The Brokerage Firms That Sold Its Private Placements

by Shepherd Smith Edwards & Kantas, LLP

2018-12-22: Updated: 2018-12-22 11:49:49 When Margin Calls Lead to Investor Fraud Losses

by Shepherd Smith Edwards & Kantas, LLP

2018-12-21: Updated: 2018-12-21 15:13:53 Puerto Rico Consultant McKinsey & Company’s Ownership of $20 Million of Puerto Rico Bonds Raises Conflict of Interest Concerns

by Shepherd Smith Edwards & Kantas, LLP

2018-12-21: Updated: 2018-12-21 06:50:28 Criminal Securities Fraud: Jury Convicts Former NJ Investment Manager Over $10M Ponzi Scam and Wilmington Trust Executives Get Prison Term of Six Years

by Shepherd Smith Edwards & Kantas, LLP

2018-12-20: Updated: 2018-12-20 12:33:41 Financial Firm News: Goldman Sachs Faces Criminal Fraud Charges in Malaysia and UBS is Fined $15M Over Poor Anti-Money Laundering Detection Systems and Multibillion-Dollar Fraud Involving 1MDB Fund Leads to Criminal Charges for Goldman

by Shepherd Smith Edwards & Kantas, LLP

2018-12-17: Updated: 2018-12-17 15:18:28 Investor Fraud: Ex-HCR Wealth Advisors Advisor Who Stole $1.2M from Pro Athlete Makes a Deal with the SEC, Investment Adviser and His Daughter Settle $7.9M Ponzi Scam Case, and Texas-Based Developers to Pay Over $50M in E-B Offering Scam

by Shepherd Smith Edwards & Kantas, LLP

2018-12-14: Updated: 2018-12-14 15:13:30 Merrill Lynch to Pay $300K to Settle Inadequate Supervision Allegations

by Shepherd Smith Edwards & Kantas, LLP

2018-12-13: Updated: 2018-12-13 15:07:38 FINRA Suspends Ex-Securities America Broker

by Shepherd Smith Edwards & Kantas, LLP

2018-12-12: Updated: 2018-12-12 15:05:21 Investment Scam: Ex-MRI International CEO Convicted in $1.5B Ponzi Scam, Receiver Says Aequitas Capital Management Was Involved in $617M Fraud, and Texas-Based AriseBank CEO Is Accused in $4M Cryptocurrency Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-12-11: Updated: 2018-12-11 09:22:17 Former Lombard Securities Broker Pleads Guilty in Multimillion-Dollar Ponzi Scam That Defrauded Older Investors

by Shepherd Smith Edwards & Kantas, LLP

2018-12-10: Updated: 2018-12-10 09:17:40 International Assets Advisory “Proudly” Hires Brokers With “Checkered” Pasts

by Shepherd Smith Edwards & Kantas, LLP

2018-12-07: Updated: 2018-12-07 09:12:22 Options Trading Website Owner Faces Charges in Alleged $4M Online Binary Options Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-12-06: Updated: 2018-12-06 13:55:49 FINRA Bars Broker For Selling $10.8M of Notes in $1.2B Woodbridge Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2018-12-04: Updated: 2019-09-09 16:27:06 Investment Fraud: Madoff Ponzi Scam Victims Receive Another $695M, Ex-Royal Alliance Associates Investment Adviser Pleads Guilty To Stealing $3M From Customers, and MoneyGram Investor Proposes Lawsuit After $125M Settlement

by Shepherd Smith Edwards & Kantas, LLP

2018-12-03: Updated: 2018-12-03 13:27:40 JPMorgan Chase and Citigroup Settle Euribor Investor Case for $180M

by Shepherd Smith Edwards & Kantas, LLP

2018-11-30: Updated: 2018-11-30 16:39:06 Investor Fraud: FINRA Awards Over $1M in Churning Case Against Legend Securities and Morgan Stanley Financial Adviser is Sentenced After Spending Over $950K of Clients’ Money

by Shepherd Smith Edwards & Kantas, LLP

2018-11-29: Updated: 2018-11-29 16:36:11 FINRA Suspends Ex-UBS Broker Who is Now With Newbridge Securities

by Shepherd Smith Edwards & Kantas, LLP

2018-11-27: Updated: 2018-11-27 14:49:09 H. Beck Ordered to Pay $400K for Unsuitable Variable Annuity Sales to Customers

by Shepherd Smith Edwards & Kantas, LLP

2018-11-26: Updated: 2018-11-26 10:54:07 Alleged $17.5M Texas Investor Fraud Leads to Criminal Indictment

by Shepherd Smith Edwards & Kantas, LLP

2018-11-23: Updated: 2018-11-23 06:06:10 Investor Fraud: Investment Adviser Pleads Guilty to Retirement Fund Fraud, Stock Research Firm is Sued in Alleged Pump-and-Dump Scam That Targeted Seniors, and A Rabbi is Accused of Running a $35M Ponzi Scam

by Shepherd Smith Edwards & Kantas, LLP

2018-11-21: Updated: 2018-11-21 12:57:12 Ex-UBS Puerto Rico Broker Jose “Whopper” Ramirez Pleads Guilty to Bank Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-11-19: Updated: 2018-11-19 06:01:56 GPB Capital Holdings’ Auditor Resigns Within Months of Private Placement Sales Suspension

by Shepherd Smith Edwards & Kantas, LLP

2018-11-18: Updated: 2018-11-18 13:00:14 IMS Securities Ordered to Pay Retirement Investors $1M in UDF REIT Case

by Shepherd Smith Edwards & Kantas, LLP

2018-11-16: Updated: 2018-11-16 06:00:55 Center Street Securities Broker and Lion’s Share Financial Are Accused of Defrauding Senior Retirees and Investors with Disabilities

by Shepherd Smith Edwards & Kantas, LLP

2018-11-15: Updated: 2018-11-15 06:00:44 US Government Sues UBS for Residential Mortgage-Backed Securities Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-11-14: Updated: 2018-11-14 16:54:11 FINRA Bars Ex-Texas Based Brokers from Merrill Lynch and RBC Capital Markets

by Shepherd Smith Edwards & Kantas, LLP

2018-11-09: Updated: 2018-11-09 11:05:07 Former Next Financial Investment Adviser and Broker Pleads Guilty to Multimillion-Dollar Investor Fraud Charges

by Shepherd Smith Edwards & Kantas, LLP

2018-11-08: Updated: 2018-11-08 11:05:35 Puerto Rico UBS Closed-End Mutual Fund Fraud Lawsuit Goes to Arbitration

by Shepherd Smith Edwards & Kantas, LLP

2018-11-06: Updated: 2018-11-06 12:38:08 Ex-LPL Financial Broker Gets 20 Years in Prison for Securities Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-11-01: Updated: 2018-11-01 09:51:46 UBS Ordered to Pay Investor $693K in Puerto Rico Bond Fraud Case

by Shepherd Smith Edwards & Kantas, LLP

2018-10-31: Updated: 2018-10-31 15:54:35 FINRA Bars Another Ex-Morgan Stanley Broker

by Shepherd Smith Edwards & Kantas, LLP

2018-10-30: Updated: 2018-10-30 15:14:40 Texas Couple Indicted for Allegedly Embezzling $14.5M from Retirement Funds

by Shepherd Smith Edwards & Kantas, LLP

2018-10-29: Updated: 2018-10-29 14:50:58 Investor Fraud: Boston Hedge Fund Manager Pleads Guilty in Ponzi Scam Case, Ex-State Street Executive is Sentenced to 18 Months, and Willow Creek Fund Manger Must Forfeit $13M

by Shepherd Smith Edwards & Kantas, LLP

2018-10-25: Updated: 2018-10-25 10:23:45 UBS to Pay $19.8M in Puerto Rico Bond Fraud Case

by Shepherd Smith Edwards & Kantas, LLP

2018-10-24: Updated: 2018-10-24 14:45:54 Texas Oil and Gas Businessman Settles $80M Fraud Case Involving Breitling Energy Shares

by Shepherd Smith Edwards & Kantas, LLP

2018-10-19: Updated: 2018-10-19 19:30:42 HSBC and Nomura to Pay $765M and $480M, Respectively to Settle RMBS Fraud Claims

by Shepherd Smith Edwards & Kantas, LLP

2018-10-18: Updated: 2018-10-18 19:20:16 Investment Advisor Fraud: Dawn Bennett is Convicted in $20M Ponzi Scam, Guilty Plea Reached in $6.1M Fraud, and Genesis Advisory Services Operator Settles SEC Charges

by Shepherd Smith Edwards & Kantas, LLP

2018-10-17: Updated: 2018-10-17 19:14:44 Fidelity is Sued Over Alleged Retirement Plan Mismanagement Again

by Shepherd Smith Edwards & Kantas, LLP

2018-10-16: Updated: 2018-10-16 15:06:54 Another Ex-Morgan Stanley Broker is Barred by FINRA

by Shepherd Smith Edwards & Kantas, LLP

2018-10-12: Updated: 2018-10-12 18:12:21 Investor Fraud: Man Who Solicited Women He Dated is Convicted, Real Estate Developer is Accused in $16M Financial Scam Turns Himself In, and Couple Allegedly Promised Over 2200% in Investment Returns

by Shepherd Smith Edwards & Kantas, LLP

2018-10-11: Updated: 2018-10-11 17:58:52 FINRA Bars Former Morgan Stanley and Wells Fargo Brokers

by Shepherd Smith Edwards & Kantas, LLP

2018-10-11: Updated: 2018-10-11 00:03:55 Financial Fraud: Massachusetts Mayor is Accused of Bilking Investors, Former Wells Fargo Broker Allegedly Stole $1M From Older Clients, and the LendingClub Asset Management Settles $4.27M Securities Case

by Shepherd Smith Edwards & Kantas, LLP

2018-10-08: Updated: 2018-10-08 17:36:02 Wayde McKelvy, Accused of Defrauding Retirees and Widows in $54M Ponzi Scam, is Now on Trial

by Shepherd Smith Edwards & Kantas, LLP

2018-10-03: Updated: 2018-10-03 21:40:31 Real Estate Investment Trust Cases: SII to Repay Clients Who Bought Non-traded REITs, Trustmont Financial Group is Ordered to Pay Client $1M, and Vereit Settles with More Investors Over Accounting Fraud Claims Against ARCP

by Shepherd Smith Edwards & Kantas, LLP

2018-10-01: Updated: 2018-10-01 20:04:15 SEC and CFTC File Multiple Binary Options Fraud Complaints Accusing Marketers of Defrauding Investors of Millions of Dollars

by Shepherd Smith Edwards & Kantas, LLP

2018-09-28: Updated: 2018-09-28 10:00:12 Securities News: Citigroup to Pay $12M Over Alleged Dark Pool Misrepresentations, SEC Issues Nearly $4M Whistleblower Award, Ex-Bankrate CEO Who Pleaded Guilty to Fraud Gets 10 Years in Prison

by Shepherd Smith Edwards & Kantas, LLP

2018-09-27: Updated: 2018-09-27 15:16:52 Texas Investor Fraud: Investment Adviser is Barred in $6.8M Offering Fraud and Investment Promoter Gets 25 Years in Prison for Stealing from Clients

by Shepherd Smith Edwards & Kantas, LLP

2018-09-26: Updated: 2018-09-26 08:06:49 TD Ameritrade Fined $500K For Not Reporting Investment Advisers’ Suspect Activities

by Shepherd Smith Edwards & Kantas, LLP

2018-09-25: Updated: 2018-09-25 16:30:22 Two Former Meyers Associates Alleged Excessive Trading Cost Investors $3.6M

by Shepherd Smith Edwards & Kantas, LLP

2018-09-20: Updated: 2018-09-20 21:27:14 Investor Fraud: Barred Michigan Investment Adviser is Accused of Defrauding Retirees of $2.7M and SEC Halts Alleged $345M Ponzi Scam That Bilked Seniors, Retail Investors, and Small Business Owners

by Shepherd Smith Edwards & Kantas, LLP

2018-09-19: Updated: 2018-09-19 20:14:04 Investors Suing UBS Puerto Rico Over Closed-End Fund Losses Are Denied Class Action Certification

by Shepherd Smith Edwards & Kantas, LLP

2018-09-18: Updated: 2018-09-18 13:19:39 SEC Issues $55.5M in Whistleblower Awards

by Shepherd Smith Edwards & Kantas, LLP

2018-09-15: Updated: 2018-09-15 03:00:56 Investor Fraud: Steele Financial is Accused of Selling Over $13M in Risky Securities, NJ Broker Allegedly Cherry Picked Trades, and the SEC Files Charges in $27M Microcap Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-09-12: Updated: 2018-09-12 14:29:36 Hedge Fund Fraud Cases: Adviser is Accused of Short-and-Distort Scam and Digital Asset Manager Faces Misrepresentation Allegations

by Shepherd Smith Edwards & Kantas, LLP

2018-09-12: Updated: 2018-09-12 14:24:38 Another Texas-Based Wells Fargo Broker is Barred by FINRA

by Shepherd Smith Edwards & Kantas, LLP

2018-09-11: Updated: 2019-09-05 17:14:59 FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers

by Shepherd Smith Edwards & Kantas, LLP

2018-09-07: Updated: 2018-09-07 14:38:11 Financial Firm News: Includes Lincoln Investment Planning, Grenda Group, and Massachusetts Financial Services Company

by Shepherd Smith Edwards & Kantas, LLP

2018-09-06: Updated: 2018-09-06 19:52:56 New Report Suggests Banco Popular de Puerto Rico Could Be Held Liable Over Island’s Final Junk Bond Issuance

by Shepherd Smith Edwards & Kantas, LLP

2018-09-06: Updated: 2018-09-06 14:53:13 Investigations Involving William A. Hightower of UBS Financial Services and Legacy Asset Securities Inc.

by Shepherd Smith Edwards & Kantas, LLP

2018-09-05: Updated: 2018-09-05 19:02:34 Investors Bilked in $1.2B Woodbridge Ponzi Scam Must Pay 16% to Borrow on What They Are Owed

by Shepherd Smith Edwards & Kantas, LLP

2018-09-04: Updated: 2018-09-04 13:52:20 1 Global Capital Accused of Defrauding Retail Investors in Alleged $287M Unregistered Securities Scam

by Shepherd Smith Edwards & Kantas, LLP

2018-08-30: Updated: 2018-08-30 16:25:53 Dallas, Texas-Based Wells Fargo Broker Expelled by FINRA

by Shepherd Smith Edwards & Kantas, LLP

2018-08-29: Updated: 2018-08-29 19:36:20 Investors in UDF IV REIT Want Texas Federal Judge to Approve $13.5M Ponzi Fraud Settlement

by Shepherd Smith Edwards & Kantas, LLP

2018-08-29: Updated: 2018-08-29 16:18:32 Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services

by Shepherd Smith Edwards & Kantas, LLP

2018-08-29: Updated: 2018-08-29 16:07:32 Oppenheimer Found Liable for Representative Mark Hotton’s Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-08-28: Updated: 2018-08-28 16:12:32 Oppenheimer Continues to Show Serious Supervisory Deficiencies

by Shepherd Smith Edwards & Kantas, LLP

2018-08-28: Updated: 2018-08-28 00:00:23 Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models

by Shepherd Smith Edwards & Kantas, LLP

2018-08-27: Updated: 2018-08-27 02:59:15 Securities News: Genstar to Acquire Cetera With $1B in Junk Bond Sales, Financial Adviser Admits to Fraud Involving $2M Trading Loss, and BlackRock Funds Shareholders Sue Over Excessive Fees

by Shepherd Smith Edwards & Kantas, LLP

2018-08-24: Updated: 2018-08-24 15:34:04 Investor Fraud: Alleged $100M Future Income Payments Fraud, Capital Investment Group to Pay One Elderly Investor $400K, and Tech Fund Adviser is Now Facing Fraud Charges

by Shepherd Smith Edwards & Kantas, LLP

2018-08-24: Updated: 2019-08-10 13:47:32 Unregistered Brokers Are Charged With Selling More Than $243M of Woodbridge Securities to Over 1600 Investors

by Shepherd Smith Edwards & Kantas, LLP

2018-08-23: Updated: 2018-08-23 01:38:56 Ex-Wells Fargo Advisors Claim Bank Pressured Them to Sell Products That Charged Higher Fees to High-Net Worth Investors

by Shepherd Smith Edwards & Kantas, LLP

2018-08-21: Updated: 2018-08-21 16:17:43 Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Puerto Rico UBS Bond Funds

by Shepherd Smith Edwards & Kantas, LLP

2018-08-20: Updated: 2018-08-20 22:47:42 GPB Capital Holdings Stops Selling Private Placements in GPB Funds to Investors

by Shepherd Smith Edwards & Kantas, LLP

2018-08-18: Updated: 2018-08-18 22:58:01 Alleged $135M Ponzi Scam Involving Equitybuild

by Shepherd Smith Edwards & Kantas, LLP

2018-08-17: Updated: 2018-08-17 00:48:19 Securities Cases: Goldman Sachs Investors Can Proceed with $13B CDO Fraud Litigation, Deutsche Bank Resolves Self-Dealing Lawsuit for $21.9M, and Elkhorn Capital Group Founder is Accused in $2.5M ETF Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-08-16: Updated: 2018-08-16 16:16:41 Larry Dearman, Sr. Ponzi Scheme Investigation

by Shepherd Smith Edwards & Kantas, LLP

2018-08-15: Updated: 2018-08-15 20:41:13 Ameriprise Financial to Pay $4.5M Over Alleged Failure to Protect Investors

by Shepherd Smith Edwards & Kantas, LLP

2018-08-14: Updated: 2018-08-14 20:32:31 Securities Fraud Allegations Against Former Merrill Lynch/RBC Financial Adviser Could Lead to More Unauthorized Trading and Failure to Supervise Claims

by Shepherd Smith Edwards & Kantas, LLP

2018-08-14: Updated: 2018-08-14 16:15:35 Defective Security Swaps

by Shepherd Smith Edwards & Kantas, LLP

2018-07-31: Updated: 2018-07-31 16:10:50 Precious Metal Investments

by Shepherd Smith Edwards & Kantas, LLP

2018-07-11: Updated: 2018-07-11 14:57:33 SSEK Investigating Claims Involving Jeff Wilson and Wells Fargo

by Shepherd Smith Edwards & Kantas, LLP

2018-06-01: Updated: 2018-06-01 22:06:21 Retired Couple Awarded $800,000 in Damages From Oppenheimer & Co., Inc

by Shepherd Smith Edwards & Kantas, LLP

2018-05-24: Updated: 2018-05-24 20:38:04 Wilmington Trust Agrees to $210M Settlement in Shareholders’ Bank Fraud Lawsuit

by Shepherd Smith Edwards & Kantas, LLP

2018-05-23: Updated: 2018-05-23 20:34:31 Platinum Partners Principal Pleads Guilty to Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-05-22: Updated: 2018-05-22 20:32:22 Cryptocurrency Fraud Allegations Lead to Criminal Allegations Alleging $32M ICO Scheme

by Shepherd Smith Edwards & Kantas, LLP

2018-05-21: Updated: 2018-05-21 19:56:00 Assured Guaranty Sues Puerto Rico Over Fiscal Rescue Plan

by Shepherd Smith Edwards & Kantas, LLP

2018-05-18: Updated: 2018-05-18 19:50:38 Securities Cases: Anti-Money Laundering Violation Allegations Lead to $5.3M Fine Against ICFBCFS, Three Houston-Based Healthcare Executives are Accused of Falsifying Financial Information, and Pension Fund Accuses Wells Fargo of Holding Back Rebate Fees

by Shepherd Smith Edwards & Kantas, LLP

2018-05-17: Updated: 2018-05-17 19:45:32 Royal Bank of Scotland Settles Mortgage Fraud Case for $4.9B

by Shepherd Smith Edwards & Kantas, LLP

2018-05-16: Updated: 2018-05-16 19:40:31 Gerova Financial Group Chairman and Others Plead Guilty

by Shepherd Smith Edwards & Kantas, LLP

2018-05-15: Updated: 2018-05-15 19:30:36 Investor Fraud: Four More People Charged in $34M Biozoom Stock Scam, Alternative Investment Firm Owner is Accused of Misappropriating Nearly $6M, and California Investment Adviser Settles Allegations in $71M Scheme

by Shepherd Smith Edwards & Kantas, LLP

2018-05-14: Updated: 2018-05-14 19:34:58 Texas Regulator’s Probe Uncovers Widespread Cryptocurrency Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-05-06: Updated: 2018-05-06 18:16:22 Judge Rules Against Ex-UBS Puerto Rico Broker in Closed-End Fund Case

by Shepherd Smith Edwards & Kantas, LLP

2018-05-05: Updated: 2018-05-05 18:08:53 Recent Criminal Securities Fraud Cases: Ex-OmniView Capital Advisers CEO is Convicted in $300M Fraud, Jury Finds Former-Wilmington Trust Executives Guilty, and Jury Finds Two Hedge Fund Professionals and a Health Consultant Guilty in Insider Case

by Shepherd Smith Edwards & Kantas, LLP

2018-05-04: Updated: 2018-05-04 18:01:57 LPL Financial Agrees to Pay $26M Over Unregistered Securities to State Securities Regulators

by Shepherd Smith Edwards & Kantas, LLP

2018-05-03: Updated: 2018-05-03 17:54:38 Massachusetts Hedge Fund Manager Sentenced to Prison for Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-05-02: Updated: 2018-05-02 17:42:08 Ex-UBS Official Recounts How the Bank Got Investors to Take on More Puerto Rico Debt

by Shepherd Smith Edwards & Kantas, LLP

2018-05-01: Updated: 2018-05-01 17:38:06 $85M Ponzi Scam Allegedly Defrauded at Least 150 Investors

by Shepherd Smith Edwards & Kantas, LLP

2018-04-30: Updated: 2018-04-30 21:04:16 Panasonic Settles Accounting Fraud and FCPA Violation Charges For $280m

by Shepherd Smith Edwards & Kantas, LLP

2018-04-28: Updated: 2018-04-28 20:59:39 JB FINANCIAL RESOURCES ORDERED TO PAY $750K OVER $1.2B WOODBRIDGE PONZI SCAM

by Shepherd Smith Edwards & Kantas, LLP

2018-04-26: Updated: 2018-04-26 20:56:48 $27M IN LONGFIN STOCK SALE PROCEEDS PLACED UNDER EMERGENCY FREEZE OVER ALLEGEDLY ILLEGAL DISTRIBUTIONS

by Shepherd Smith Edwards & Kantas, LLP

2018-04-26: Updated: 2018-04-26 20:38:42 SECURITIES CASES: YAHOO AGREES TO PAY $35M TO SETTLE CHARGES AND A BIOTECH START UP IS ACCUSED OF ISSUING MISLEADING INFORMATION

by Shepherd Smith Edwards & Kantas, LLP

2018-04-25: Updated: 2018-04-25 20:17:05 $22M HEDGE FUND FRAUD LEADS TO SEC BAN FOR MONEY MANAGER

by Shepherd Smith Edwards & Kantas, LLP

2018-04-24: Updated: 2018-04-24 21:00:28 Sanctions Against Wedbush Securities in SEC and FINRA Rulings Are Upheld by the 9th Circuit

by Shepherd Smith Edwards & Kantas, LLP

2018-04-23: Updated: 2018-04-23 21:04:28 Chicago Investment Adviser Daniel Glick Is Sentenced For Senior Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-04-20: Updated: 2018-04-20 20:54:51 SEC Proposes “Regulation Best Interests” that Would Prevent Brokers from Merely Calling Themselves Investment Adviser

by Shepherd Smith Edwards & Kantas, LLP

2018-04-19: Updated: 2018-04-19 20:57:26 SEC Accuses Former Broker of $5.7M Pension Plan Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-04-18: Updated: 2018-04-18 20:49:15 Investment Adviser is Accused of “Ponzi-Like” Scam Involving 50 Investors, Including Friends and Family

by Shepherd Smith Edwards & Kantas, LLP

2018-04-13: Updated: 2018-04-13 20:46:30 Proposed Tax Ruling Could Bar Oil and Gas Pipelines from Structuring as Master Limited Partnerships

by Shepherd Smith Edwards & Kantas, LLP

2018-04-11: Updated: 2018-04-11 20:51:30 Firm Executives Reportedly Were Aware of Domestic Violence Allegations Against High-Earning Morgan Stanley Broker for Years

by Shepherd Smith Edwards & Kantas, LLP

2018-04-06: Updated: 2018-04-06 15:44:16 Santander Securities Will Shut Down Its San Juan, Puerto Rico Branch in May

by Shepherd Smith Edwards & Kantas, LLP

2018-04-02: Updated: 2018-04-02 17:31:52 Texas Megachurch Pastor and Financial Planner Are Accused of Senior Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-04-01: Updated: 2018-04-01 19:19:15 Barclays Settles DOJ’s Mortgage-Backed Securities Fraud Case for $2B

by Shepherd Smith Edwards & Kantas, LLP

2018-03-31: Updated: 2018-03-31 16:47:44 Investment Fraud: Man Who Pretended to be Financial Adviser Pleads Guilty to $13M Scam, Ponzi Fraudster is Accused of Bilking Friends & Coworkers, and Real Estate Scammers Must Pay Back Investors $30M

by Shepherd Smith Edwards & Kantas, LLP

2018-03-31: Updated: 2018-03-31 16:36:28 HSBC Settles Libor Rigging Lawsuit for $100M

by Shepherd Smith Edwards & Kantas, LLP

2018-03-29: Updated: 2018-03-29 19:03:29 Allegations of FCPA Violations, Inflation Schemes, and Improper Audits Lead to SEC Fraud Cases

by Shepherd Smith Edwards & Kantas, LLP

2018-03-28: Updated: 2018-03-28 20:16:38 Wedbush Securities Faces Failure to Supervise Charges Over Broker’s Pump-And-Dump Scam

by Shepherd Smith Edwards & Kantas, LLP

2018-03-28: Updated: 2018-03-28 18:57:20 Aegis Capital to Pay Over $1M to the SEC and FINRA to Settle Allegations Involving Low-Priced Securities and Anti-Money Laundering Violations

by Shepherd Smith Edwards & Kantas, LLP

2018-03-26: Updated: 2018-03-26 19:02:56 Massachusetts Regulator Accuses ARO Equity of $5.8M Ponzi Scam that Bilked Seniors

by Shepherd Smith Edwards & Kantas, LLP

2018-03-24: Updated: 2018-03-24 19:18:46 Bank of America to Pay $42M to New York Over Fraudulent “Masking” Involving Electronic Trading

by Shepherd Smith Edwards & Kantas, LLP

2018-03-24: Updated: 2018-03-24 19:17:18 Broker Fraud Allegations Lead to Finra Bars for Northwestern, Fortune Financial, and Morgan Stanley Representatives

by Shepherd Smith Edwards & Kantas, LLP

2018-03-22: Updated: 2018-03-22 15:37:32 FINRA Panel Orders UBS to Pay $204K in Puerto Rico Bond Fraud Claim

by Shepherd Smith Edwards & Kantas, LLP

2018-03-22: Updated: 2018-03-22 14:59:12 Judge Says Ex-F-Squared CEO Must Pay More Than $13M Related to AlphaSector Strategy and ETF Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-03-20: Updated: 2018-03-20 17:59:47 Goldman Sachs Gives LPL Financial Holdings Clients Access to Securities Lending

by Shepherd Smith Edwards & Kantas, LLP

2018-03-19: Updated: 2018-03-19 15:18:28 SEC Grants $83M in Whistleblower Awards in $415M Bank of America Settlement

by Shepherd Smith Edwards & Kantas, LLP

2018-03-17: Updated: 2018-03-17 12:37:37 Stock Fraud: Fyre Festival Founder to Pay $26M After Guilty Plea, Promoter is Accused of Defrauding Gold Mining Stock Investors, and SEC Prevents Alleged Pump-And-Dump Scam

by Shepherd Smith Edwards & Kantas, LLP

2018-03-16: Updated: 2018-03-16 17:48:13 Theranos and Founder Elizabeth Holmes Charged in Alleged $750M Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-03-16: Updated: 2018-03-16 16:40:37 Strategic Return Notes

by Shepherd Smith Edwards & Kantas, LLP

2018-03-16: Updated: 2018-03-16 13:48:45 Massachusetts Investigates Wells Fargo Advisers

by Shepherd Smith Edwards & Kantas, LLP

2018-03-15: Updated: 2018-03-15 19:01:03 Investigation Underway of Asset Management Fund’s (“AMF”) Ultra Short Fund (AULTX) and the Role of Shay Asset Management

by Shepherd Smith Edwards & Kantas, LLP

2018-03-14: Updated: 2018-03-14 17:23:15 Ex-Equifax Trader is Accused of Insider Trading Before Data Breach News Was Disclosed to the Public

by Shepherd Smith Edwards & Kantas, LLP

2018-03-13: Updated: 2018-03-13 12:37:47 Securities Industry Headlines: Convicted Hedge Fund Manager Martin Shkreli Gets Seven Years, Zohar Investment Funds File for Bankruptcy Protection, and Ex-Morgan Stanley Investment Adviser Named in $34M Securities Arbitration Loss Lands at Pinnacle

by Shepherd Smith Edwards & Kantas, LLP

2018-03-12: Updated: 2018-03-12 19:45:18 Voya Holdings Subsidiaries to Repay Mutual Funds Over $2M

by Shepherd Smith Edwards & Kantas, LLP

2018-03-09: Updated: 2018-03-09 20:11:08 Texas Securities Cases: Austin Investment Adviser to Pay Over $715K to Settle Cherry Picking Allegations and Dallas-Based Oil and Gas Company is Accused of $95OK Investor Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-03-09: Updated: 2018-03-09 16:33:32 Royal Bank of Scotland Settles NY’s RMBS Fraud Case for $500M

by Shepherd Smith Edwards & Kantas, LLP

2018-03-07: Updated: 2018-03-07 11:53:28 Securities News: Wells Fargo’s Wealth Management Division is Reportedly Under Investigation, Merrill Lynch is Accused of Gatekeeping Failures Involving Unregistered Securities Sales, and NYSE Must Pay $14M Over Regulatory Failures

by Shepherd Smith Edwards & Kantas, LLP

2018-03-07: Updated: 2018-03-07 11:16:40 FINRA Cases: Allegis Investment Adviser and Ex-Broker Ordered to Pay Nearly $405K, Former Madison Avenues Securities Broker Accused in $1.67M Unauthorized Trading Case is Barred by FINRA, and US Senator Elizabeth Warren Introduces Bill To Address Unpaid Arbitration Awards

by Shepherd Smith Edwards & Kantas, LLP

2018-03-05: Updated: 2018-03-05 18:35:11 Retirement Accounts : Ameriprise Settles SEC Allegations That It Overcharged for Mutual Funds & Fidelity Undergoes Customer Exodus from Flagship Funds

by Shepherd Smith Edwards & Kantas, LLP

2018-03-05: Updated: 2018-03-05 15:43:10 UK Brokerage Firm is Accused of $50M Stock Fraud as SEC Files Manipulative Trading Charges

by Shepherd Smith Edwards & Kantas, LLP

2018-03-01: Updated: 2018-03-01 15:22:19 As LJM Preservation and Growth Fund Declines in Value and Announces Shut Down, Investors Suffer Losses

by Shepherd Smith Edwards & Kantas, LLP

2018-02-28: Updated: 2018-02-28 16:08:09 Three Companies and Their Principals Accused of $11.7M Texas Oil and Gas Offering Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-02-28: Updated: 2018-02-28 15:52:07 SEC Fights to Stop Fraud Scam Targeting Small Businesses

by Shepherd Smith Edwards & Kantas, LLP

2018-02-27: Updated: 2018-02-27 13:39:13 Ex-Georgeson Employees Accused of Trading Bribes for Information Are on Trial for Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-02-27: Updated: 2018-02-27 12:39:37 Financial Firm News: Hilliard Lyons Must Pay $445K to Elderly Investor, Merrill Lynch Ordered to Pay Vermont $140K After Broker Makes Unauthorized Changes, and FSC Securities Settles with Montana Regulators

by Shepherd Smith Edwards & Kantas, LLP

2018-02-26: Updated: 2018-02-26 17:11:36 Judge Rules that Martin Shkreli Will Be Held Responsible for $10.4M in Investor Losses

by Shepherd Smith Edwards & Kantas, LLP

2018-02-26: Updated: 2018-02-26 15:50:01 Ex-Wells Fargo Broker Barred for Alleged $180K Elder Financial Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-02-25: Updated: 2018-02-25 12:11:28 Deutsche Bank Settles Libor Manipulation Lawsuit for $240M

by Shepherd Smith Edwards & Kantas, LLP

2018-02-24: Updated: 2018-02-24 16:50:11 UBS Must Pay Five Clients $521,000 Over Puerto Rico Bond Fraud

by Shepherd Smith Edwards & Kantas, LLP

2018-02-23: Updated: 2018-02-23 21:31:51 CFTC News: Regulator Warns Customers, Including Experienced Investors, About Virtual Currency Pump-and-Dump Scam and Enhances Fraud Enforcement Efforts

by Shepherd Smith Edwards & Kantas, LLP

2018-02-22: Updated: 2018-02-22 20:16:46 Investor Fraud: Strong Investment Management Faces Allegations of Cherry Picking, a $2.5M Financial Scam Leads to Convictions, and a Former Investment Adviser Is Sentenced to Serve Prison Time

by Shepherd Smith Edwards & Kantas, LLP

2018-02-22: Updated: 2018-02-22 13:26:01 Insider Trading: Two Former Executives Accused of Making Illegal Profits from Emeritus Stock Trading Settle SEC Charges, More Final Judgments Reached Against Circle of Amateur Golfers, and Investment Adviser Gets Six Months in Prison

by Shepherd Smith Edwards & Kantas, LLP

2018-02-21: Updated: 2018-02-21 19:57:51 Securities Cases: Massachusetts Accuses Scottrade of Running Sales Contests and Targeting Retirees, Wife of Investment Adviser Must Pay $500K in Fraud Case, and Hedge Fund Manager and His Firms Are Ordered to Pay Almost $30M for Diverting Investor Money

by Shepherd Smith Edwards & Kantas, LLP

2018-02-20: Updated: 2018-02-20 18:38:45 CFTC to Pay $30M to Whistleblower in $367M Asset Management Case Against JPMorgan

by Shepherd Smith Edwards & Kantas, LLP