For Velocis Fund III Investors, Suing Your Broker May Be The Way To Recoup Your Losses

Published on: July 21, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Investment Loss Recovery Law Firm Wants To Talk To You

Shepherd Smith Edwards and Kantas is investigating brokerage firms, including RBC Capital, for unsuitably recommending Velocis Fund III—a speculative, illiquid commercial real estate private equity fund—to retail investors and retirees. Because market headwinds and high interest rates have heavily impacted the fund’s assets, affected investors are being encouraged to explore legal recovery options against the broker-dealers who failed to perform proper due diligence or adequately disclose risks.

Once again, Shepherd Smith Edwards and Kantas Broker Negligence Attorneys (investorlawyers.com) are putting out a call to investors who suffered losses in Velocis Fund III. This is a speculative investment that should not have been sold to retail customers, inexperienced investors, and retirees. Unfortunately, there are brokers that have done exactly that, unsuitably recommending this high-risk real estate investment fund to clients.

Are You An Investor Who Suffered Investment Losses in the First Liberty Building & Loan Ponzi Scam?

Published on: July 21, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Misconduct Attorneys Can Explore Your Legal Options With You

The Securities and Exchange Commission (SEC) and federal prosecutors charged First Liberty Building & Loan owner Edwin Brant Frost IV with operating a $140 million Ponzi scheme that targeted hundreds of retail investors with promises of high-return, low-risk loans. Law firm Shepherd Smith Edwards and Kantas is actively investigating financial firms and brokers who sold these investments without proper supervision, helping victims explore legal options like FINRA arbitration to recover their losses.

Shepherd Smith Edwards and Kantas Broker Misconduct Attorneys (investorlawyers.com) are investigating claims of losses related to First Liberty Building & Loan. Last year, the US Securities and Exchange Commission (SEC) filed charges accusing the Georgia-based lender and owner Edwin Brant Frost IV of running a $140M Ponzi scam.

Are You An Investor Who Suffered Losses While Working With Spartan Capital Securities?

Published on: June 23, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers Are Investigating Churning Allegations That May Have Cost Customers Millions of Dollars

The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Spartan Capital Securities over allegations of extensive account churning that resulted in nearly $18 million in customer losses and trading costs. Investors who suffered financial damage from this excessive trading can work with the firm’s experienced churning attorneys to pursue legal options and recover their losses.

If you are an investor who sustained portfolio losses while working with a Spartan Capital Securities financial advisor, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today to schedule your free case assessment. The broker-dealer is under scrutiny over churning allegations in customer accounts.

Shepherd Smith Edwards and Kantas Provides Quality Securities Fraud Representation Against Financial Advisors

Published on: June 23, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Kentucky Regulation Best Interest Investor Law Firm

The law firm Shepherd Smith Edwards and Kantas offers legal representation for Kentucky investors seeking to recover portfolio losses caused by brokers who violated the SEC’s Regulation Best Interest standard. While investors cannot sue in civil court for these violations, the firm helps clients file for financial recovery through FINRA arbitration on a contingency basis.

Shepherd Smith Edwards and Kantas (investorlawyers.com) works with investors throughout the Bluegrass State to recoup portfolio losses from their brokerage firms, which prioritised their own interests over those of their customers. Contact our Lexington, KY, Regulation Best Interest law firm today so that we can help you explore your legal options.

Did You Suffer Easterly ROCMuni High Income Municipal Bond Fund Losses While Working With Janney Montgomery Scott Broker John Hardiman?

Published on: June 4, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers Want To Talk To You

The Broker Fraud Lawyers of Shepherd Smith Edwards and Kantas is investigating Janney Montgomery Scott financial advisor John Thomas Hardiman following the filing of a six-figure FINRA lawsuit involving massive losses in the Easterly ROCMuni High Income Municipal Bond Fund. The claim, filed on behalf of an elderly widow, alleges that Hardiman unsuitably overconcentrated her portfolio in speculative “junk” bond funds despite her conservative investment goals.

If you are an Easterly ROCMuni High Income Municipal Bond Fund investor who worked with Janney Montgomery Scott financial advisor John Thomas Hardiman, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. We are continuing to investigate claims of losses against any financial advisor who sold the Easterly Fund to customers. Already, we have filed many FINRA lawsuits against brokerage firms.

Attn: Investors Who Suffered Serious Losses While Working With Rockefeller Financial Broker Shay Scruggs

Published on: May 18, 2026 | by Shepherd Smith Edwards & Kantas, LLP

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.

We Represent Pension Funds, Hedge Funds, Charities, Municipalities, and Many Others Against Brokerage Firms

Published on: April 30, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Florida Institutional Investor Fraud Law Firm

From our Tampa, FL securities law office, Shepherd Smith Edwards and Kantas (investorlawyers.com) works with institutional investors to recoup their losses caused by financial advisor fraud, broker misconduct, or negligence. We are a seasoned Florida institutional investor fraud law firm that has more than 100 years of collective experience in securities law and the securities industry.

Our skilled institutional investment loss recovery attorneys have successfully handled complex claims for our institutional investor clients against large Wall Street firms and other broker-dealers to recoup awards and settlements for them in arbitration, mediation, and litigation. Contact us today to request your free, initial case consultation.

Our Broker Fraud Lawyers Are Investigating Former Alexander Capital Broker Roger

Published on: April 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Former Customers Sue For More than $8.9M

Broker fraud lawyers at Shepherd Smith Edwards and Kantas are investigating claims against barred advisor Roger Roemmich following allegations of unsuitable investment recommendations and over $8.9M in losses. Impacted investors may still seek financial recovery through FINRA arbitration by filing claims against the broker-dealers responsible for supervising his conduct.

Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) are investigating claims of investor losses by former customers of barred broker Roger Allan Roemmich. Most recently an Alexander Capital registered representative, and before that with Dempsey Lord Smith and others, Roemmich was permanently barred by the Financial Industry Regulatory Authority (FINRA) in March 2026.

How Do I Know If I’m The Victim of Broker Negligence?

Published on: March 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Broker Negligence Attorneys Can Evaluate The Cause Of Your Investment Losses

Shepherd Smith Edwards and Kantas is a specialized securities law firm that helps investors determine if their financial losses were caused by various forms of stockbroker negligence, such as unsuitable recommendations or churning. With over 35 years of experience, the firm represents clients in FINRA arbitration to help them recover damages from negligent advisors and the brokerage firms responsible for supervising them.

Stockbroker negligence is a serious problem that can lead to substantial losses for investors. The Broker Negligence Law Firm of Shepherd Smith Edwards and Kantas (investorlawyers.com), a longtime securities law firm, can help you determine whether you were the victim of this type of financial advisor misconduct.

UBS Group Ordered to Pay $5.5M To Investor For Alleged Stock Option Mismanagement

Published on: February 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

A FINRA arbitration panel ordered UBS Financial Services to pay $5.5M to a client for the improper handling of Compass Inc. shares and options during its 2021 IPO. The article highlights UBS’s history of high-value losses in litigation and invites affected investors to seek recovery through Shepherd Smith Edwards and Kantas.

Broker-Dealer Held Liable Over Handling of Investor’s Portfolio

A FINRA arbitration panel has ordered UBS Financial Services (UBS) to pay $5.5M to one client over its allegedly improper handling of his shares and options in real estate brokerage firm Compass Inc. around its 2021 initial public offering. The claimant happens to be a Compass real estate broker. He accused the brokerage firm of breach of fiduciary duties, deliberate and negligent misrepresentations, Regulation Best Interest violation, negligence, and other broker misconduct involving UBS’ recommendations and management of his portfolio.