Broker Fraud

California Retirees That Sustained Inspired Healthcare Capital Losses Sue Aurora Securities.

Published on: October 16, 2025 | by Shepherd Smith Edwards & Kantas, LLP

California Retirees That Sustained Inspired Healthcare Capital Losses Sue Aurora Securities. Broker Austin Bowlin Is A Respondent in This DST Fraud Lawsuit

Two investors are suing Austin Securities and financial advisor Austin A. Bowlin for up to $1,000,0000 after suffering losses in Inspired Healthcare Capital (IHC) Delaware Statutory Trusts (DSTs). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this retired couple in pursuing damages through Financial Industry Regulatory Authority (FINRA) arbitration.

The Claimants contend that Aurora Securities and Bowlin unsuitably recommended risky products, including IHC DSTs. This type of investment vehicle is often involved in real estate ventures and is usually a start-up. Inspired Healthcare Capital is heavily invested in the senior housing space.

Our Broker-Dealer Negligence Lawyers Are Representing Three Claimants in Their Webull Financial FINRA Lawsuit

Published on: September 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Investors Sue Webull Financial for Up To $5,000,000 Over Pump and Dump Losses Involving Third-Party Hacker That Accessed Their Brokerage Accounts

Our Broker-Dealer Negligence Lawyers Are Representing These Three Claimants in Their FINRA Lawsuit

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing more Claimants in suing Webull Financial over losses they sustained after an unknown party managed to hack into their accounts and defraud them in an alleged pump and dump scam involving the newly issued foreign penny stock of Ten-League International Holdings Ltd. (TLIH). The three investors are suing Webull for up to $5,000,000 in damages.

Shepherd Smith Edwards Continues To Investigate Broker James Walesa

Published on: September 17, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards Continues To Investigate Broker James Walesa As Investors Pursue Tens of Millions of Dollars in Damages

More Than 100 Investors May Have Been Impacted By Allegedly Unsuitable Recommendations

If you are an investor who suffered serious losses while working with former financial advisor James Thaddeus Walesa, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you.

Shepherd Smith Edwards and Kantas Is Representing These Claimants in FINRA Arbitration

Published on: September 10, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Illinois Couple Files Six-Figure Easterly ROCMuni High Income Fund Lawsuit Against Stifel

Shepherd Smith Edwards and Kantas Is Representing These Claimants in FINRA Arbitration

A semi-retired couple in their sixties is suing Stifel, Nicolaus & Co. for up to $500,000 over investment losses they sustained in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX). These investors worked with Stifel broker John Eric Suess, who is not a respondent in this securities fraud lawsuit.

Elderly New York Investor Files Six-Figure Easterly ROCMuni Fund Lawsuit Against Osaic Wealth

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Law Firm Is Representing This Claimant In FINRA Arbitration

A Brooklyn widow in her eighties is suing Osaic Wealth for up to $500,000 in damages for losses she suffered in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this New York Claimant. We are also representing other investors against the broker-dealers that unsuitably recommended this high-risk, speculative investment.

This Claimant had an account with Osaic that was supposed to provide for her income each month. Unfortunately, by the end of May 2025, her Osaic Wealth broker Sergio Kindler had concentrated two-thirds of her account into the Easterly ROCMuni Fund.

ATTENTION: Easterly ROCMuni High Income Fund Investors Who Have Sustained Serious Losses

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Easterly ROCMuni Fund Fraud Lawyers Are Representing Claimants Against US Broker-Dealers

If you are an investor who suffered serious losses in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX), Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. Already, we are representing a number of claimants in their six- and seven-figure investment loss recovery lawsuits against the brokerage firms that marketed and sold this high-risk, speculative junk bond.

The Easterly ROCMuni Fund is purportedly primarily invested in tax-exempt debt securities and illiquid bonds that have little to no financial history to support issuance. This makes it more of a junk bond than a municipal bond, especially given that the majority of the investments in the Fund are junk or below investment grade.

SSEK Represents Delaware Statutory Trust (DST) Investors In Recouping Their Portfolio Losses

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Delaware Statutory Trust Fraud Attorneys Represent Delaware Statutory Trust (DST) Investors In Recouping Their Portfolio Losses From Brokerage Firms

Contact Us Today To Schedule Your Free Case Consultation

If you are an investor who has suffered losses in a Delaware Statutory Trust (DST), Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. A Delaware Statutory Trust is an alternative investment that is unsuitable for most retail investors and even some wealthy investors. They should only be sold to accredited investors.

Investor Sues Emerson Equity Over Inspired Healthcare Capital Losses

Published on: September 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Investor Sues Emerson Equity And Its Brokers, Under The Moniker “The Sherer Group” Over Inspired Healthcare Capital Losses. Shepherd Smith Edwards and Kantas Inspired Healthcare Capital Fraud Lawyers are Representing This Retiree in His 7-Figure Investment Loss Lawsuit

Another investor is suing Emerson Equity and its brokers Timothy John Sherer, Ryan Jonathan Sherer, Dominic Julio Baldini, Patrick Wang Lam, and Zhi Ying Guan over losses sustained in the beleaguered Inspired Healthcare Capital (IHC). The alternative investment firm is under regulatory investigation by the US Securities and Exchange Commission (SEC).

In his FINRA arbitration claim, this retiree is requesting up to $1,000,000 in damages. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this claimant. We are also representing other IHC investors against Emerson Equity and these same brokers, including a couple that are pursuing up to $5,000,000 in damages.

Broker Dealer Negligence Lawyers

Published on: August 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Investigates Webull Financial After Unauthorized Third Party Allegedly Ran Pump and Dump Scam Involving TLIH Shares In Customers’ Accounts

Our Broker Fraud Law Firm Is Representing Webull Financial Customers

Shepherd Smith Edwards and Kantas Broker Dealer Negligence Lawyers (investorlawyers.com) are offering free case consultations to Webull Financial customers who sustained losses in Ten-League International Holdings Limited (TLIH).

Northstar Bermuda Fraud Attorneys

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Japanese Investors File Multimillion-Dollar Northstar (Bermuda) Lawsuit Against Bankoh Investment Services

Broker Yoko Farias Is Also A Respondent In This Investment Loss Recovery Claim

Once again, Shepherd Smith Edwards and Kantas Northstar Bermuda Fraud Attorneys (investorlawyers.com) are suing Bankoh Investment Services and its former stockbroker, Yoko Farias, in Hawaii on behalf of Japanese investors who sustained losses in Northstar Financial Services (Bermuda). In their FINRA arbitration case, the claimants are seeking up to $5,000,000 in damages.