Broker Fraud

Northstar Fraud Law Firm

Published on: October 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Spanish Investors Sue Insigneo Securities For Up to $500K Following Northstar (Bermuda) Losses. Our Northstar Fraud Law Firm Are Representing These Claimants And Many Others

Shepherd Smith Edwards and Kantas Northstar Fraud Law Firm (investorlawyers.com) is representing two Spanish citizens in their Northstar (Bermuda) investment loss recovery claim against Insigneo Securities. The claimants, who are requesting up to $500K, in addition to interest and costs, are alleging unsuitable investment recommendations, concentration, misrepresentations and omissions, a gross lack of supervision, negligence, grossly negligent behavior, and more.

The couple, one of whom is now deceased, were referred to Insigneo (when it used to be Northeast Securities) through City National Bank in South Florida where they were residents. The wanted a safe haven for their assets. Instead, the broker-dealer allegedly abused their trust by overconcentrating a huge portion of their assets in Norhtstar Financial Services (Bermuda), an offshore investment that is now defunct.

Seasoned Broker Fraud Lawyers

Published on: October 3, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Lost Money From Aegis Capital Corp. Underwritten Stocks?

Our Seasoned Broker Fraud Lawyers Are Investigating Loss Claims That May Be in The Billions

If you sustained losses in stock that were underwritten and/or sold by Aegis Capital Corp., Shepherd Smith Edward and Kantas Seasoned Broker Fraud Lawyers (investorlawyers.com) would like to offer you a free, no-obligation case assessment to determine whether you have grounds for a broker fraud claim. Aegis Capital is under scrutiny for allegedly underwriting securities that are now likely worthless and may have cost investors billions of dollars.

Affinity Fraud Lawyers

Published on: September 5, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Sustain Losses While Working With Former Newbridge Securities Broker Caz Craffy?

Affinity Scammer Who Defrauded Gold Star Families Gets Prison Sentence

Caz Craffy (Carz Levinski Craffy), who most recently was a Monmouth Capital Management stockbroker, is sentenced to more than 12 years (151 months) in prison. According to prosecutors, the barred New Jersey financial advisor admitted to defrauding Gold Star families and committing other crimes. Craffy was a Newbridge Securities financial advisor from 2017 to 2021.

Oil and Gas Investment Lawyers

Published on: August 12, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Suspended Vanderbilt Securities Broker Kurt Berry Sell You Resolute/PetroRock Investments?

Our Oil and Gas Investment Lawyers Are Investigating Investor Losses

If you sustained losses in a Resolute/PetroRock investment, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. We are looking into investor losses, particularly those involving retirees and retail investors whose financial advisors may have unsuitably sold over $250M of these unregistered equity and debt securities to them.

Securities Broker Misconduct Attorney

Published on: July 21, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With Ex-Western International Securities Broker Tony Liddle?

Former Customers of Barred Wisconsin Financial Advisor Seeking Over $3M in Damages

Shepherd Smith Edwards and Kantas (investorlawyers.com) is speaking to investors who sustained losses while working with ex-Landolt Securities financial advisor Anthony Baker Liddle (Tony Liddle). He pleaded guilty to wire fraud and money-related offenses in January 2023 and was sentenced to 97 months in prison for each count, but he will serve his time concurrently. He also was ordered to pay more than $1.6M in restitution. Liddle, a former registered investment adviser and control person of Prosper Wealth Management in Wausau, was barred by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), and the Wisconsin Department of Financial Institutions Division of Securities. Prior to being a Landolt registered representative, he was a Western International Securities broker.

FINRA Broker Fraud Attorney

Published on: July 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investor Losses While Working With Western International Securities Broker Jeffrey Higgins? Our FINRA Broker Fraud Attorney Are Investigating Misappropriation Allegations

Shepherd Smith Edwards and Kantas FINRA Broker Fraud Attorney Team (investorlawyers.com) is speaking to investors who sustained losses while working with now barred Western International Securities financial advisor Jeffrey Thomas Higgins. The broker-dealer recently fired the Oregon stockbroker after finding that he has been allegedly misappropriating clients’ money since 2007 when he was still registered with Financial West Group. That brokerage firm was expelled from the industry in 2020.

Already, at least one Financial Industry Regulatory Authority (FINRA) arbitration claim has been brought against Higgins. The claimant, who made allegations of unsuitable investment recommendations and misrepresentations and omissions, settled their claim for over $94K.

GWG Bond Fraud Lawyers

Published on: June 4, 2024 | by Shepherd Smith Edwards & Kantas, LLP

_{Estate of Michigan Investor Files Six-Figure GWG Bond Fraud Lawsuit Against Centaurus Financial.}_{Widow Was Inexperienced, Elderly Investor Who Sought Minimal Risk And Instead Ended Up With High-Risk Junk Bond}

_{The Shepherd Smith Edwards and Kantas GWG Bond Fraud Lawyers (}_{investorlawyers.com}_{) are representing another investor in their}_{L Bond lawsuit}_{against a broker-dealer. This time, the claimant is the estate of a deceased Michigan retiree that is seeking an L Bond lawsuit for up to $500K in damages from Centaurus Financial.}

_{The septuagenarian was a widow who entrusted}_{Centaurus Financial broker John Edmond Tryon}_{to properly manage her assets. Instead, this Michigan financial advisor allegedly unsuitably recommended a GWG L Bond while purportedly misrepresenting this junk bond as safe and secure. It now appears that there will be a near complete loss of principal with this investment for this investor. Not only that but GWG Holdings is now accused of running a more than $1.6B Ponzi scam that has defrauded many thousands of older investors and seniors.}

Private Placement Loss Lawyers

Published on: May 31, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With Former Independent Financial Group Broker Armando Roman? Shepherd Smith Edwards and Kantas Want to Talk To You

Our broker fraud attorneys are continuing to investigate claims of losses involving ex-Independent Financial Group registered representative Armando Roman. The former Arizona stockbroker is still a registered investment adviser with AXIOM Founders Family Office.

Several months ago, a Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $1M in compensatory damages to one customer for portfolio losses from allegedly unsuitable private placement recommendations by Roman. The investments involved included:

SSEK broker misconduct Attorneys

Published on: May 23, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses After A Fidelity Broker Made Unsuitable Investment Recommendations?

Whistleblower Claims That Brokerage Firm Fired Him For Disclosing Best Interest Violations Against Customers

SSEK broker misconduct Attorneys are continuing to investigate claims of losses by investors who worked with Fidelity Investments financial advisors. Earlier this year, we filed one six-figure lawsuit for a claimant after the broker-dealer connected him with an outside adviser who made risky, unsuitable investment recommendations, including a concentrated position with Apple.

Broker Fraud Lawyer

Published on: May 19, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Investor Seeks Up $1M In Damages Over UBS YES Losses. Our Broker Fraud Lawyer Are Representing This Claimant and Others Against UBS Financial Services

The Shepherd Smith Edwards and Kantas Broker Fraud Lawyer Team (investorlawyers.com) is representing another investor in their UBS Yield Enhancement Strategy (YES) loss lawsuit against UBS Financial Services. The claimant, an inexperienced New Jersey investor, is suing for up to $1M in damages. Unfortunately, she is just one of many who have suffered significant losses in the brokerage firm’s internally managed, high-risk options trading strategy.

Touted by UBS brokers as a way for investors to obtain marginally higher yields on existing portfolios while taking limited risks, the UBS YES program has caused serious losses for many of the firm’s wealthy clients. Its “iron condor” options overlay approach was allegedly implemented with reckless abandon.