Broker Fraud

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.

Broker Fraud Lawyers

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

Texas Couple Sues Rockefeller Financial Over Virage (VRF) and Other Alternative Investment Losses. Our Broker Fraud Lawyers Are Representing These Retirees, Who Are Seeking Up To $1M in Damages.

If you are an investor who suffered losses in Virage (VRF), LP, Shepherd Smith Edward, and Kantas Broker Fraud Lawyers (investorlawyers.com) want to talk to you. We recently filed a FINRA lawsuit on behalf of two Texas seniors who are suing Rockefeller Financial for losses they sustained in this limited partnership, as well as in structured notes and other privately traded products that were completely unsuitable for them and not in their best interests. Now, our clients are requesting up to $1M in damages.

The older couple entrusted Rockefeller Financial with their life savings. In their FINRA arbitration case, they contend that then-Rockefeller Financial broker David Frankfort (also known as Samuel David Frankfort) promised to make sound recommendations that were not risky, per their request.

Broker Negligence Attorneys

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

iCapital VRF Investors in Texas May Be Adversely Impacted After MSRP Recovery/LifeWallet Losses. Our Houston Broker Negligence Attorneys Are Investigating Rockefeller Financial, Ex-Broker Samuel Frankfort, and Others That May Have Sold This Investment

Shepherd Smith Edwards and Kantas Broker Negligence Attorneys (investorlawyers.com) is investigating claims of losses involving iCapital VRF that may have impacted Texas investors, in particular those in the Houston area. Our Houston broker misconduct law firm is looking at Rockefeller Financial, including former financial advisor Samuel David Frankfort, and any other brokers that may have sold this investment to customers.

Rockefeller Financial is a subsidiary of Rockefeller Capital Management, which partnered with iCapital to give Rockefeller clients access to certain kinds of investment opportunities. Many of Rockefeller Financial’s customers are wealthy investors.

High-Yield Fund Loss Attorneys

Published on: July 11, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You an Easterly ROCMuni High Income Municipal Bond Fund Investor Who Suffered Serious Losses? Our High-Yield Fund Loss Attorneys Want To Talk To You

Shepherd Smith Edwards and Kantas High-Yield Fund Loss Attorneys (investorlawyers.com) are investigating portfolio losses involving Easterly ROCMuni High Income Municipal Bond Fund (RMJAX, RHHIX , and RMHVX). This junk bond, which has lost many millions of dollars, was sold to investors by brokerage firms, including Janney Montgomery Scott.

In June 2025, this HY Muni Fund lost nearly 50% of its value in one day, somewhere between $50M and $100M. Its net assets, $232M at the end of March, by June 23 that had dropped to $25.1M. That happened after a fire sale initiated by Easterly ROCMuni High Income Municipal Bond Fund. Its year-to-date performance declined to -57.34%.

Stockbroker Negligence Law Firm

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

Have You Ever Been A Customer of Former Merrill Lynch Broker Greg Whelan? If You Suffered Portfolio Losses During That Time, Contact Our Stockbroker Negligence Law Firm

The Shepherd Smith Edwards and Kantas Stockbroker Negligence Law Firm (investorlawyers.com) is investigating claims of portfolio losses by current or former customers of Fort Lauderdale, Florida, broker Greg Whelan, who is now with Kovack Securities.

He was a Merrill Lynch, Pierce, Fenner & Smith financial advisor from 2013 to 2025 but voluntarily resigned from that firm following allegations of selling away, conflict of interest, and more. According to Greg Whelan’s CRD, he has worked for 16 years in the industry.

Stock Loss Law Firm

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

Are You An Investor Who Suffered Losses in MSP Recovery, Formerly D/B/A LifeWallet Stock, Sold To You By A Broker? Our Stock Loss Law Firm May Be Able To Help

The Shepherd Smith Edwards and Kantas Stock Loss Law Firm (investorlawyers.com) is looking into claims of losses by LifeWallet (LIFW) investors who purchased their shares through a financial advisor.

Now MSP Recovery (MSPRW), (formerly D/B/A LifeWallet). The company is focused on recovering healthcare reimbursements for claims that were improperly paid, especially those involving Medicaid and Medicare. Most investors purchased this stock as LifeWallet, which has faced a number of problems in recent years, such as:

SSEK Bond Loss Lawyers

Published on: July 1, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Easterly ROCMuni High Income Municipal Bond Fund (RMJAX) Loses Almost Half Its Value in a Single Day

Shepherd Smith Edwards and Kantas Is Investigating Janney Montgomery Scott and Other Brokerage Firms That Sold This High-Yield Municipal Bond Fund

Last month, Easterly ROCMuni High Income Municipal Bond Fund investors suffered serious losses after the Fund’s total net assets plunged nearly 50%. Between $50M and $100M may have been lost, which may shock investors when they read their July statements.

SSEK Broker Fraud Lawyer

Published on: June 29, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Former Customers of Barred American Trust Investment Services Broker Austin Dutton May Still Have Time To Sue For Damages. If You Sustained Serious Portfolio Losses While Working With This Ex-Financial Advisor, Contact Our Broker Fraud Lawyer Team Today

Shepherd Smith Edwards and Kantas Broker Fraud Lawyer teams (investorlawyers.com) are investigating claims of investment losses by former customers of Austin Richard Dutton, who was most recently an American Trust Investment Services registered representative.

According to Dutton’s CRD, there have been more than 30 investor loss recovery claims involving him. The Financial Industry Regulatory Authority permanently barred Dutton from in June 2024.

Northstar Bermuda Loss Attorneys

Published on: June 8, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Northstar Financial Services (Bermuda) Investor Sues Cetera For Up to $5M. Our Northstar Bermuda Loss Attorneys Are Representing This Chinese Investor in The US

A retiree who resides in China is suing Cetera Investment Services for losses she sustained in Northstar Financial (Services) Bermuda, which, she alleges, the US broker-dealer unsuitably recommended to her. In her FINRA arbitration claim, this investor is seeking up to $5M in damages. Shepherd Smith Edwards and Kantas Northstar Bermuda Loss Attorneys (investorlawyers.com) are representing this claimant.

This senior retiree thought it would be wise to place the family’s assets in the US for safekeeping to avoid the financial risks and fluctuations that are common in China. She opened an account with East West Bank, which is how she met Cetera broker Jason Chi-Jui Chiu, who spoke her native language. Chiu has worked in the industry for 23 years.