Broker Fraud

Houston Broker Fraud Attorneys

Published on: May 30, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Houston Broker Fraud Attorneys

Representing Investors in Greater Houston and the Surrounding Areas Against Brokerage Firms

For over 30 years, our experienced Houston, TX broker misconduct lawyers have been fighting for investors throughout the state against the largest brokerage firms in the United States. Losing the money that you’ve invested is never easy and it is even more devastating when it is because of the wrongful or negligent actions of the financial advisor you entrusted to take care of your funds.

San Diego CA Broker Fraud Attorneys

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Working With Southern California Investors To Recoup Their Losses Caused by Stockbroker Misconduct

The team of San Diego CA Broker Fraud Attorneys at Shepherd Smith Edward and Kantas (investorlawyers.com), know that trusting a financial advisor to manage, grow, and keep your money safe is a big step. We also understand how devastating it can be to have that trust breached causing you to suffer significant investment losses.

Our San Diego broker fraud lawyers represent investors in Southern California, as well as other investors with brokerage accounts in that region, in pursuing damages caused by the wrongful or negligent actions of their registered representatives.

Structured Product Attorneys

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Broker Sell You Signature Bank Autocallable Notes?

Our Broker-Dealer Negligence Lawyers Can Help You Explore Your Legal Options

In March 2023, Signature Bank shuttered its doors. The Shepherd Smith Edwards and Kantas Structured Product Attorneys (investorlawyers.com) are speaking to investors whose financial advisors may have allegedly unsuitably recommended that they get involved in the Autocallable Contingent Coupon Equity Linked Securities Linked to Signature Bank Due August 5, 2024. Sponsored by Citigroup Global Markets, this is a structured note that came with an “auto-call” feature. Autocallable notes are complex financial instruments that can lead to potentially high returns but also come with significant risks.

Broker Fraud Law Firm

Published on: May 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Help Investors Recover Their Portfolio Losses

What Distinguishes Our Trusted Broker Fraud Law Firm

Shepherd Smith Edwards and Kantas (investorlawyers.com) have recovered many millions of dollars on behalf of thousands of investors that have fallen victim to a stockbroker and financial advisor’s negligence. We are one of the largest securities fraud law firms in the United States with over a combined century’s worth of experience in securities law and the securities industry. Dedicated to providing our clients with quality counsel and effective legal representation, we work with retail investors, retirees, wealthy investors, and institutions in pursuing damages from broker-dealers and investment advisers while protecting their legal rights.

Alternative Investment Fraud Lawyers

Published on: April 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Customers of Berthel Fisher Sought $32.1M in Damages From Brokerage-Dealer

Our Experienced Alternative Investment Fraud Lawyers Are Investigating Investor Losses

According to the yearly audited financial statement submitted by Berthel Fisher to the US Securities and Exchange Commission (SEC) in March, the broker-dealer concluded 2022 with about $32.1M in pending investor loss claims. While it is unclear which investments were specifically involved, as InvestmentNews reported, Berthel Fisher has a long history of selling alternative investments to customers. On multiple occasions, these investment recommendations were investors for whom these were allegedly unsuitable given their financial goals.

Broker Fraud Lawyers

Published on: March 22, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Why The Parking REIT Investors May Want To Explore Their Legal Options

Our Broker Fraud Lawyers Are Investigating The Broker-Dealers Over Alleged Investment Scam

With so many The Parking REIT investors appearing to have lost more than 50% of their investment in a purported investment scheme, Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate the brokerage firms that marketed and sold shares in this former non-traded real estate investment trust (non-traded REIT). If you are someone who invested in The Parking REIT (now called Mobile Infrastructure Corp.), contact us here today to request your free, no-obligation case assessment.

Broker Negligence Attorneys

Published on: March 16, 2023 | by Shepherd Smith Edwards & Kantas, LLP

What Are Some Red Flags In Brokerage Account Statements That May Indicate Possible Investment Fraud?

Our Skilled Broker Negligence Attorneys Can Help Assess Whether You Have Grounds For A Securities Lawsuit

It can be hard to know for certain whether you have been the victim of broker misconduct or negligence. This is where Shepherd Smith Edwards and Kantas (investorlawyers.com) can step in. For more than three decades, we have helped thousands of investors, including retail investors, retirees, senior investors, high-net-worth individual investors, institutional investors, and others, determine whether their investment losses are due to the actions, or lack thereof, of their financial advisors. More than 90% of the clients we have represented have received full or partial damages for the harm they have suffered at the hands of their broker-dealers.

Broker Fraud Attorneys

Published on: March 12, 2023 | by Shepherd Smith Edwards & Kantas, LLP

What Questions Should You Ask A Broker You Are Considering Working With?

Investing your money is always a risk, which is why many people turn to stockbrokers and investment advisers for help. They want experienced financial professionals to handle their funds properly and allocate their assets wisely.

While in an ideal world, every broker would only make suitable investment recommendations in line with each customer’s investing profile, risk tolerance level, and financial goals—as well as refrain from making misrepresentations and omissions, overconcentrating a client’s portfolio with too much of the same investment, or engaging in other forms of stockbroker negligence or fraud—every year, there are thousands of investors who end up losing money because of the wrongful, erroneous, or negligent actions of their financial advisors.

Tax Return Loss Investment Law Firm

Published on: March 12, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Broker Misconduct Leads To Tax Return Losses

Our Skilled Investor Loss Lawyers Work With CPAs and Investors in Pursuing Financial Recovery

Many people don’t realize that investing can impact them tax-wise. For example, if you receive income from your investments, you may have to pay an ordinary income tax rate or, in certain instances, a special tax treatment involving lower, long-term capital gains tax rates. If you made a profit from selling an investment, you will typically have to pay taxes for the money that you earned. Or, if you sustained a loss from the sale, you may be able to take a deduction depending on what assets were involved. A qualified CPA can help with such matters.

Broker Misconduct Lawyers

Published on: February 2, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Hiring Trusted Broker Misconduct Lawyers Can Maximize Your Chances of Financial Recovery

Customers of Emerson Equity Broker Robert Melberth Are Pursuing Over $12M in Damages

If you are a current or former customer of Emerson Equity financial advisor Robert Wyla Melberth, and you are wondering if your investor losses are due to alleged broker misconduct or negligence, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) to request your free, no-obligation case assessment.