Broker Fraud

Did Your Broker Recommend That You Invest In The Alleged Next Level Holdings Ponzi Scam?

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

Our Stockbroker Fraud Law Firm Can Help You Explore Your Legal Options

Shepherd Smith Edwards and Kantas (investorlawyers.com) Is investigating PFS Investments and the other brokerage firms that may have unsuitably marketed Next Level Holdings LLC to customers. The company’s founder, Henry Paul Regan, Jr., is now the subject of investigations by both the US Justice Department (DOJ) and the US Securities and Exchange Commission (SEC). They are accusing him of running a more than $60M Ponzi scam that may have defrauded over 300 investors. Also purportedly involved in the alleged scam are Yield Capital Management and Yield Wealth Limited, which are both affiliated with Regan.

Both the SEC’s civil complaint and the federal government’s criminal indictment allege that investors were promised yearly returns of 12-15.3%, falsely assured that their principal and interest were guaranteed, and given forged insurance documents and unregistered securities offerings. The regulator contends that investors were told that their returns would be paid from profits that came from precious metals in Colombia and investments in health insurance policies under the Affordable Care Act. Regan allegedly stated that the latter would render the monthly income guaranteed by the federal government.

Texas Broker Fraud Law Firm Investigates Former Ameriprise Advisor Eric Dupre

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

Did You Suffer Serious Investment Losses While Working With Former Ameriprise Broker Eric Dupre?

Shepherd Smith Edwards and Kantas Is Investigating This ex-San Antonio, TX, Financial Advisor Over Fraud Allegations, Including Elder Financial Abuse

If you are an investor who suffered suspect portfolio losses while working with then-Ameriprise registered representative Eric Anthony Dupre, please contact our Texas securities law firm of Shepherd Smith Edwards and Kantas (investorlawyers.com) today. We can help you assess whether you have grounds for an investment loss recovery claim.

Nevada Retiree Who Suffered Private Placement and Annuity Losses Sues LifeMark Securities For Up to $500K

Published on: November 16, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Broker Fraud Attorneys Are Representing This Claimant In FINRA Arbitration

A Las Vegas investor is suing LifeMark Securities after the brokerage firm recommended a private placement, a Limited Partnership known as Tasty Brands, as well as annuities, to her, even though she is a retiree with a disability.

Private placements are risky, unregistered investment products. They are particularly unsuitable for those who are no longer earning employment wages. They are illiquid and hard to resell. Annuities can also be illiquid and have lengthy surrender periods. They are unsuitable for many retirees.

Our IHC Investor Recovery Attorneys Can Help Investors Recover IHC Losses

Published on: October 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You an Austin, TX Investor Whose Realized Financial Broker Sold You Inspired Healthcare Capital DSTs?

If You Have Suffered IHC Losses, Contact Our Texas Broker-Dealer Negligence Law Firm Today

In Austin, Texas, the Shepherd Smith Edwards and Kantas Investor Recovery Attorneys (investorlawyers.com) is offering free, no obligation case assessments to investors who were marketed and sold Inspired Healthcare Capital (IHC) Delaware Statutory Trusts (DSTs) by brokerage firm Realized Financial, Inc.

California Retirees That Sustained Inspired Healthcare Capital Losses Sue Aurora Securities.

Published on: October 16, 2025 | by Shepherd Smith Edwards & Kantas, LLP

California Retirees That Sustained Inspired Healthcare Capital Losses Sue Aurora Securities. Broker Austin Bowlin Is A Respondent in This DST Fraud Lawsuit

Two investors are suing Austin Securities and financial advisor Austin A. Bowlin for up to $1,000,0000 after suffering losses in Inspired Healthcare Capital (IHC) Delaware Statutory Trusts (DSTs). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this retired couple in pursuing damages through Financial Industry Regulatory Authority (FINRA) arbitration.

The Claimants contend that Aurora Securities and Bowlin unsuitably recommended risky products, including IHC DSTs. This type of investment vehicle is often involved in real estate ventures and is usually a start-up. Inspired Healthcare Capital is heavily invested in the senior housing space.

Our Broker-Dealer Negligence Lawyers Are Representing Three Claimants in Their Webull Financial FINRA Lawsuit

Published on: September 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Investors Sue Webull Financial for Up To $5,000,000 Over Pump and Dump Losses Involving Third-Party Hacker That Accessed Their Brokerage Accounts

Our Broker-Dealer Negligence Lawyers Are Representing These Three Claimants in Their FINRA Lawsuit

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing more Claimants in suing Webull Financial over losses they sustained after an unknown party managed to hack into their accounts and defraud them in an alleged pump and dump scam involving the newly issued foreign penny stock of Ten-League International Holdings Ltd. (TLIH). The three investors are suing Webull for up to $5,000,000 in damages.

Shepherd Smith Edwards Continues To Investigate Broker James Walesa

Published on: September 17, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards Continues To Investigate Broker James Walesa As Investors Pursue Tens of Millions of Dollars in Damages

More Than 100 Investors May Have Been Impacted By Allegedly Unsuitable Recommendations

If you are an investor who suffered serious losses while working with former financial advisor James Thaddeus Walesa, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you.

Shepherd Smith Edwards and Kantas Is Representing These Claimants in FINRA Arbitration

Published on: September 10, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Illinois Couple Files Six-Figure Easterly ROCMuni High Income Fund Lawsuit Against Stifel

Shepherd Smith Edwards and Kantas Is Representing These Claimants in FINRA Arbitration

A semi-retired couple in their sixties is suing Stifel, Nicolaus & Co. for up to $500,000 over investment losses they sustained in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX). These investors worked with Stifel broker John Eric Suess, who is not a respondent in this securities fraud lawsuit.

Elderly New York Investor Files Six-Figure Easterly ROCMuni Fund Lawsuit Against Osaic Wealth

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Law Firm Is Representing This Claimant In FINRA Arbitration

A Brooklyn widow in her eighties is suing Osaic Wealth for up to $500,000 in damages for losses she suffered in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this New York Claimant. We are also representing other investors against the broker-dealers that unsuitably recommended this high-risk, speculative investment.

This Claimant had an account with Osaic that was supposed to provide for her income each month. Unfortunately, by the end of May 2025, her Osaic Wealth broker Sergio Kindler had concentrated two-thirds of her account into the Easterly ROCMuni Fund.

ATTENTION: Easterly ROCMuni High Income Fund Investors Who Have Sustained Serious Losses

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Easterly ROCMuni Fund Fraud Lawyers Are Representing Claimants Against US Broker-Dealers

If you are an investor who suffered serious losses in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX), Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. Already, we are representing a number of claimants in their six- and seven-figure investment loss recovery lawsuits against the brokerage firms that marketed and sold this high-risk, speculative junk bond.

The Easterly ROCMuni Fund is purportedly primarily invested in tax-exempt debt securities and illiquid bonds that have little to no financial history to support issuance. This makes it more of a junk bond than a municipal bond, especially given that the majority of the investments in the Fund are junk or below investment grade.