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.

Dallas, TX Financial Product Failure Law Firm

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

Shepherd Smith Edwards and Kantas is offering legal representation to Texas investors who have suffered significant financial losses due to product failures, fraud, or broker misconduct. The firm specializes in recovering assets through FINRA arbitration by investigating claims of unsuitable recommendations, lack of due diligence, and negligent supervision by brokerage firms.

Are You A Texas Investor Whose Suffered a Failed Investment That Was Sold To You By A broker?

The Shepherd Smith Edwards and Kantas Financial Product Failure Law Firm represents investors throughout Texas who suffered losses because of a financial product failure. Contact our Dallas securities law firm if you want to explore your legal options.

Former Florida Investment Advisor Andrew Jacobus Sentenced Over $94M Ponzi Scam

Published on: February 19, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Continues To Represent Investors Who Suffered Losses as a result of Andrew Jacobus

Andrew Hamilton Jacobus (Jacobus), the ex-Florida investment adviser who pleaded guilty to running a $94M Ponzi-style scam, was sentenced to 20 years in prison. Prosecutors contend that Jacobus defrauded at least 70 investors, including a number of Venezuelan nationals. Jacobus misappropriated investors’ money for his own use while paying earlier investors with newer investors’ funds in Ponzi -like fashion. This investment scam, which ran for almost 20 years, involved Jacobus promising to place his victims’ money in purportedly safe investments that generated high returns. Jacobus falsified documents and forged account statements to conceal his fraud.

Shepherd Smith Edwards and Kantas Broker Negligence Lawyers (investorlawyers.com) represent those who were harmed in Jacobus’ Ponzi fraud against the brokerage firms that enabled Jacobus’ wrongful actions, typically because of their own negligence.

Former Broker James Walesa Is Barred by FINRA

Published on: February 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers Continue To Investigate Investor Losses

The Financial Industry Regulatory Authority (FINRA) announced that it has barred former financial James Thaddeus Walesa. His former clients have filed at least 19 investor lawsuits accusing him of making unsuitable investment recommendations, including one case that was concluded with a $9.75M settlement.

Walesa is accused of making inappropriate investment recommendations in businesses that he owned, ran, or directed. So far, at least $18.3M in settlements have been paid by Triad Advisors (now Osaic) or Arkadios Capital. Both are accused of ignoring Walesa’s alleged broker misconduct when he worked with them. Many of the customer disputes involving him remain pending, including a case in which $34,000,000 is being sought.

Did You Suffer Investment Losses in Vintage DST, Which Was Sold To You By Your Financial Advisor?

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

Our Broker Fraud Lawyers May Be Able To Help

Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) are speaking to investors who suffered losses in Vintage Delaware Statutory Trusts (Vintage DST). This private placement Regulation D offering was sponsored by the now-defunct Crew Enterprises (f/k/a Versity Investments). It appears to have been unsuitably recommended to retail investors, retirees, and other unaccredited investors by financial advisors. Vintage DST is a risky, illiquid alternative investment. We are investigating the following brokerage firms or investment advisers that sold this private placement offering:

Aurora Securities

How Broker Fraud Attorneys Recover Lost Retirement Savings

Published on: January 15, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Florida Investors Sue United Planners’ Financial Services of America for Up to $1 Million in Damages

Couple Sustained Losses in Creative Media and Community Trust REIT and Priority Income Fund, as well as other Unsuitable Investment Recommendations

Shepherd Smith Edwards and Kantas Broker Fraud Attorneys (investorlawyers.com) are representing a Florida couple who are suing United Planners’ Financial Services of America A Limited Partnership (United Planners’) for up to $1,000,000 over the customers’ investment losses they sustained.

Houston, TX Financial Product Failure Law Firm

Published on: December 20, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Representing Investors Whose Financial Advisors Sold Them Investments That Caused Them Serious Portfolio Losses

The Shepherd Smith Edwards and Kantas Financial Product Failure Law Firm (investorlawyers.com) represents Texas investors who suffered losses because a financial product sold to them by their broker or investment adviser failed. Contact our Houston securities law office today to schedule your free case consultation.

Why Does A Financial Product Fail?

Attention Atlas Funds Investors Who Suffered Losses in These Private Placement Funds

Published on: December 20, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Broker Fraud Lawyers are Investigating Spartan Capital Securities For Selling These Alternative Investments

If you are an investor who has sustained losses in any of the 346 private placement investments from one of 16 offerings from Atlas Management LLC, including those involving the following, Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) wants to talk to you:

Atlas Fund III Ser B LLC (Klarna)