Shepherd Smith Edwards and Kantas Want To Help You Explore Your Legal Options

The law firm of Shepherd Smith Edwards and Kantas is investigating Rockefeller Financial broker Shay Scruggs following a $1M FINRA lawsuit alleging unsuitable investment recommendations. Investors who suffered portfolio losses due to unsuitability or mismanagement are encouraged to contact the firm’s experienced Broker Fraud Lawyers to explore their options for financial recovery.

If you are an investor who suffered serious portfolio losses while working with Rockefeller Financial registered representative Shay W.  Scruggs, our broker misconduct lawyers want to talk to you.

The longtime Texas financial advisor has come under scrutiny after a former customer of his filed a $1M FINRA lawsuit alleging unsuitable investment recommendations. Scruggs has been accused of unsuitability by a customer before.

If you suspect that you, too, may have fallen victim to possible broker misconduct involving Rockefeller Financial stockbroker Shay Scruggs or another financial advisor, Shepherd Smith Edward and Kantas (investorlawyers.com) wants to talk to you.

Headquartered in Houston, TX,  we have securities law offices all over the United States. Our unsuitability attorneys help investors fight to recoup their losses from financial advisors.

Who Is Rockefeller Financial Broker Shay Scruggs?

• A veteran Texas broker and investment adviser who has worked for 25 years in the industry.
• Head of Scruggs Wright Wealth Partners, which is part of the Rockefeller Global Family Office.
• Shay Scruggs’ BrokerCheck CRD notes two other customer disputes, which resulted in settlements.

What Does It Mean To Be A Victim of Unsuitable Investment Recommendations?

Your stockbroker recommended an investment product/security, strategy, or transaction that was not in alignment with your financial goals, age, risk tolerance level, level of investing experience, or investment time horizon.

Unsuitability is one of the most common claims made against brokers. Every year, investors end up losing a lot of money because their financial advisor engages in this type of broker misconduct.

Examples of unsuitability by a broker include:

• Recommending high-risk investments to someone with a low tolerance level and/or not a lot of investing experience.
• Applying an aggressive trading strategy to the account of a conservative or novice investor.
• Making excessive trades in a customer’s account for the purpose of earning commissions rather than because it is appropriate for the client.
• Failing to diversify the customer’s portfolio.

I’m An Investor. What Should I Do If I Suspect Unsuitability By My Broker?

• Speak with one of our trusted unsuitability lawyers so we can help you assess whether you have grounds for suing your financial advisor or their broker-dealer.
• DO NOT try to resolve this matter directly with your broker. They are likely to deny wrongdoing or even blame you.
• Stop any activities or transactions in your account.

Why Hire Our Broker Fraud Lawyers To Represent You In Your Investor Lawsuit Against Rockefeller Financial or Any Other Brokerage Firm?

• Seasoned securities law firm that has been fighting for investors against broker-dealers for more than 30 years.
• We provide quality securities representation and personalized attention.
• We have won awards and settlements for most of the investors we represent.

Shepherd Smith Edward and Kantas represent investors against Rockefeller Financial. We recently filed a seven-figure lawsuit against this brokerage firm on behalf of two retirees who suffered losses in alternative investments that they contend were unsuitably recommended to them.

Talk To Us About Your Investment Losses While Working With A Rockefeller Financial Broker

Call (800) 259-9010 or contact us online to schedule your free case consultation.