Articles Posted in Broker Fraud

Are You A Chinese Investor Who Suffered Losses in iCap Securities?

Our Broker Fraud Law Firm Represents Non-US Citizens in Recouping Losses From US Brokerage Firms

Shepherd Smith Edwards and Kantas Broker Fraud Law Firm (investorlawyers.com) is representing both US citizens and non-US citizens in recouping their losses involving iCap. Some 1800 investors are believed to have purchased iCap investments that were issued by iCap Enterprises and sold by US-based broker-dealers, which appear to have been paid up to 10% in commissions by iCap Equity.

There is Still Time To Try To Recover Your GWG L Bond Losses

California Brokers From Expelled Firm Ordered To Pay More Than $1M To Investor

A Financial Industry Regulatory Authority (FINRA) arbitration panel recently awarded over $1 million in damage to a GWG L Bond investor. The three respondents in the case were all former financial advisors at the now-expelled broker-dealer Accelerated Capital Group in Costa Mesa, CA. Two of them, Michael Barrows and Eric Ludovico, were ordered to pay the award. (They are now registered M Stevens Securities brokers in Irvine, CA.)

Did Emerson Equity Broker Tony Barouti Sell You GWG L Bonds?

The Investment Broker Fraud Law Firm of Shepherd Smith Edwards and Kantas Is Continuing To Investigate Investor Losses

If you are an investor who suffered losses in GWG Holdings L Bonds, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. To date, our Investment Broker Fraud Law Firm has filed a number of broker fraud lawsuits against the broker-dealers and, in some cases, their registered representatives who allegedly unsuitably sold these high-risk junk bonds to investors. GWG Holdings is accused of operating a more than $1.6B Ponzi scam.

Louisiana Broker Fraud Attorneys

Our Seasoned New Orleans Securities Law Firm Represents Investors Against US-Based Broker-Dealers 

Trusting a financial professional to manage your funds comes with the hope that they will, at the very least, keep your money safe if not grow your assets. Unfortunately, that isn’t always what happens. Investors have been known to suffer serious portfolio losses due to broker fraud or misconduct. From our Metairie securities law offices in Jefferson Parish, Shepherd Smith Edwards and Kantas (investorlawyers.com) represents Louisiana clients in pursuing damages from US-based broker-dealers through arbitration, mediation, and litigation.

Illinois Broker Fraud Attorneys

Our Trusted Chicago Securities Law Firm Represents Illinois Investors Against Their Broker-Dealers 

If you lost money on NYSE Chicago or in an investment that was marketed to you by a US financial advisor, and you are wondering whether stockbroker fraud or negligence was a factor, Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you explore your legal options. We represent investors throughout The Prairie State in holding broker-dealers liable for our client’s losses.

New York Broker Fraud Attorneys

Our Buffalo Securities Lawyers Help NY Investors In Pursuing Damages From Brokerage Firms 

Whether you live in Manhattan or elsewhere in The Empire State, Shepherd Smith Edwards and Kantas (investorlawyers.com) represents retail investors, retirees, older investors, high-net-worth investors, and institutional investors in suing their US broker-dealer for misconduct or negligence. With over a combined century’s worth of experience in securities law and the securities industry, our seasoned New York stockbroker fraud attorneys, legal assistants, and consultants are here to fight for you.

Should I Sue My Brokerage Firm Over My Colorado Bankers Life Insurance Losses?

Judge Orders Partial Payment to CB Life Annuity Investors

With tens of thousands of Colorado Bankers Life Insurance and Bankers Life Insurance investors owed hundreds of millions of dollars for the annuity policies they purchased, a superior court judge has ordered Colorado Bankers Life Insurance to pay them 25% of their policies—that is on 65,000 annuity contracts. Similar payments may also be decided for Bankers Life Insurance policyholders. While this order by the judge is in investors’ favor, as Shepherd Smith Edwards and Kantas Senior Partner and annuity loss lawyer Kirk Smith explained in a recent Wall Street Journal article: investors should consider their legal options beyond the current bankruptcy, regulatory, and criminal proceedings if they want to maximize their chances for a full financial recovery.

Did Ex-International Assets Advisory Stockbroker Sean Casterline Sell You Tuscan Gardens Growth and Income Fund Securities?

Our Skilled Broker Fraud Attorneys Are Investigating Investor Losses in This Reg D Offering

Shepherd Smith Edwards and Kantas (investorlawyers.com) is continuing to speak to former customers of former Florida financial advisor Sean Casterline who suffered losses in the Tuscan Gardens Growth and Income Fund. Casterline, was most recently a Delta Securities broker, and before that he was registered with International Assets Advisory. He worked in the industry for 19 years but was suspended by the Financial Industry Regulatory Authority (FINRA) for 18 months in December 2021 for allegedly selling away what is believed to be about $1.5M of membership units in this Fund to customers. Casterline purportedly did this without obtaining his broker dealer’s written approval.

When You Suspect Your Alternative Investment Losses May Be Due To Broker-Dealer Negligence

Explore Your Legal Options With Seasoned Broker Misconduct Attorneys

More often these days, financial advisors are marketing and selling alternative investments to all kinds of investors, including retail customers and retirees. Once only sold to high-net-worth individual investors, even less sophisticated investors without as many dollars in their accounts have been wanting to get involved. One of the biggest draws is the chance to make greater returns than with traditional investments, as well as increased portfolio diversification.

Denver Broker Fraud Attorneys

We Represent Colorado Investors Who Have Suffered Losses Due To Financial Advisor Misconduct

For over 30 years, our trusted Denver Broker Fraud Attorneys have been helping investors from all walks of life to recoup their losses from the broker-dealers responsible. Unfortunately, financial advisor misconduct does happen more often than you would think. It is one of the reasons our own seasoned securities lawyers, many of whom used to be former brokers, left that industry and now choose to exclusively fight for investors while protecting their right to financial recovery.

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