Articles Posted in Broker Misappropriation

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.)

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.

Kentucky Broker Fraud Attorneys

Our Lexington, KY Securities Law Firm Is Here To Help Investors Recoup 

To suffer investment losses can be devastating. When those losses were caused even in part by a financial advisor that you entrusted to keep your assets safe, the sense of betrayal and perhaps even the wondering of what you could have done to protect yourself may arise.

Are You The Victim of Broker Misappropriation?

Financial Advisor Theft Isn’t Just A Crime It May Be Grounds for Filing a Securities Fraud Lawsuit

For more than three decades, Shepherd Smith Edward and Kantas ( has represented investors against the bad brokers who have stolen their money and the broker-dealers who failed to stop or prevent this type of securities fraud from happening. Unfortunately, stockbroker misappropriation happens and is even committed by registered representatives from reputable financial firms.

The Number of Broker Fraud Lawsuits Against Citizens Securities Over CB Life Annuity Losses Is Growing 

Our Trusted Annuity Loss Attorneys Represent Colorado Bankers Life Insurance Investors

With tens of thousands of investors, including retirees, sustaining losses in Colorado Bankers Life Insurance annuities, the number of broker negligence lawsuits filed by claimants seeking damages is increasing. One of the brokerage firms that has come under fire for allegedly unsuitably recommending these investments to customers is Citizens Securities, which is also under investigation by Massachusetts regulators for this very reason.

When Broker Misappropriation Leads to Investor Losses

Ex-Aegis Capital Financial Advisor Surage Roshan Perera Allegedly Stole $4M From Investor

If you are an investor who suffered losses while working with former Aegis Capital broker Surage Roshan Perera, Shepherd Smith Edwards and Kantas ( would like to talk to you. Our skilled broker misconduct attorneys have been investigating current and former registered representatives from that brokerage firm for some time, most recently related to their sale of GWG L Bonds to investors. GWG Holdings is now accused of operating a more than $1.6B Ponzi scam.

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