Broker Fraud

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.

Northstar Bermuda Fraud Attorneys

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

Spanish Citizen Sues Osaic Institutions (FKA Infinex Investments) Over Northstar (Bermuda) Losses. Our Northstar Bermuda Fraud Attorneys Are Representing This Claimant in Their Six-Figure Lawsuit

A Spanish retiree is seeking up to $500K in damages from Osaic Institutions (FKA Infinex Investments) for losses he sustained in Northstar Financial Services (Bermuda). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this international investor in FINRA arbitration.

The claimant, who lives in Spain, had an account with Grove Bank & Trust (Formerly known as Coconut Grove Bank) in Florida. This investor was introduced to his then-Infinex Investments broker Alvaro Mauricio Jiron, through the bank. Our client contends that Jiron indicated there was a better way to manage his life savings than to keep them in bank CDs.

Broker Fraud Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

The Shepherd Smith Edwards and Kantas Broker Fraud Law Firm Continues To Investigate Investor Losses Involving Ex-Hilltop Securities Broker Rajesh Markan.

SEC Bars Ex-Texas Financial Advisor Who Pleaded Guilty Over Pony Private Equity Investments

If you are an investor who suffered losses while working with now convicted former Dallas financial advisor Rajesh Markan, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. Our Texas securities law firm represents investors in recouping losses caused by broker misconduct or negligence.

Broker Fraud Attorneys

Published on: July 15, 2025 | by Shepherd Smith Edwards & Kantas, LLP

69 Investor Lawsuits Filed By Former Customers of Ex-BOK Financial Securities Broker Gihan Fernando. Our Broker Fraud Attorneys Continue To Investigate Further Loss Claims

Shepherd Smith Edwards and Kantas Broker Fraud Attorneys (investorlawyers.com) is offering free, no-obligation case consultations to customers who have suffered serious portfolio losses while working with former Bok Financial Securities stockbroker Gihan Anil Fernando. The Texas financial advisor is now a registered representative with Cetera Investment Services.

Fernando, who has worked 23 years in the industry, is also known as Gihan Raphael Fernando or Raphael Fernando. According to his CRD, at least 69 customer complaints have been filed by his former customers who sought to recoup their losses.