Broker Misconduct

Broker Fraud Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

The Shepherd Smith Edwards and Kantas Broker Fraud Law Firm Continues To Investigate Investor Losses Involving Ex-Hilltop Securities Broker Rajesh Markan.

SEC Bars Ex-Texas Financial Advisor Who Pleaded Guilty Over Pony Private Equity Investments

If you are an investor who suffered losses while working with now convicted former Dallas financial advisor Rajesh Markan, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. Our Texas securities law firm represents investors in recouping losses caused by broker misconduct or negligence.

Stockbroker Misconduct Attorneys

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Sustained Portfolio Losses While Working With Former Edward Jones Broker Lincoln Mason?

Our Seasoned Stockbroker Misconduct Attorneys Are Investigating

Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorneys (investorlawyer.com) are speaking to former customers of former financial advisor Lincoln Lucas Mason. Suspended by the Financial Industry Regulatory Authority (FINRA) in 2024 for 90 days, and discharged by Edward Jones in 2021, Mason is no longer a broker or investment adviser.

Broker Misconduct Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Massachusetts Investor Files Stock Loss Claim Against B Riley Wealth Management (FKA National Securities Corp. )

Claimant Is Suing For Up to $1M in Damages Involving Intelsat Stock (INTEQ) And Alleges Pump and Dump, Overconcentration By the Broker

In the FINRA lawsuit that the Shepherd Smith Edwards and Kantas Broker Misconduct Law Firm (investorlawyers.com) is representing, an elderly investor is suing B Riley Wealth Management (FKA National Securities). Our client, who is from Massachusetts, contends that his then-advisor Ali Barry Mahlooji, overconcentrated his account in Intelsat Sa(INTEQ) stock and took part in what appears to be an alleged pump and dump scam.

Broker Fraud Attorneys

Published on: July 15, 2025 | by Shepherd Smith Edwards & Kantas, LLP

69 Investor Lawsuits Filed By Former Customers of Ex-BOK Financial Securities Broker Gihan Fernando. Our Broker Fraud Attorneys Continue To Investigate Further Loss Claims

Shepherd Smith Edwards and Kantas Broker Fraud Attorneys (investorlawyers.com) is offering free, no-obligation case consultations to customers who have suffered serious portfolio losses while working with former Bok Financial Securities stockbroker Gihan Anil Fernando. The Texas financial advisor is now a registered representative with Cetera Investment Services.

Fernando, who has worked 23 years in the industry, is also known as Gihan Raphael Fernando or Raphael Fernando. According to his CRD, at least 69 customer complaints have been filed by his former customers who sought to recoup their losses.

Broker Negligence Attorneys

Published on: July 15, 2025 | by Shepherd Smith Edwards & Kantas, LLP

iCapital VRF Investors in Texas May Be Adversely Impacted After MSRP Recovery/LifeWallet Losses. Our Houston Broker Negligence Attorneys Are Investigating Rockefeller Financial, Ex-Broker Samuel Frankfort, and Others That May Have Sold This Investment

Shepherd Smith Edwards and Kantas Broker Negligence Attorneys (investorlawyers.com) is investigating claims of losses involving iCapital VRF that may have impacted Texas investors, in particular those in the Houston area. Our Houston broker misconduct law firm is looking at Rockefeller Financial, including former financial advisor Samuel David Frankfort, and any other brokers that may have sold this investment to customers.

Rockefeller Financial is a subsidiary of Rockefeller Capital Management, which partnered with iCapital to give Rockefeller clients access to certain kinds of investment opportunities. Many of Rockefeller Financial’s customers are wealthy investors.

Northstar Bermuda Loss Attorneys

Published on: June 8, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Northstar Financial Services (Bermuda) Investor Sues Cetera For Up to $5M. Our Northstar Bermuda Loss Attorneys Are Representing This Chinese Investor in The US

A retiree who resides in China is suing Cetera Investment Services for losses she sustained in Northstar Financial (Services) Bermuda, which, she alleges, the US broker-dealer unsuitably recommended to her. In her FINRA arbitration claim, this investor is seeking up to $5M in damages. Shepherd Smith Edwards and Kantas Northstar Bermuda Loss Attorneys (investorlawyers.com) are representing this claimant.

This senior retiree thought it would be wise to place the family’s assets in the US for safekeeping to avoid the financial risks and fluctuations that are common in China. She opened an account with East West Bank, which is how she met Cetera broker Jason Chi-Jui Chiu, who spoke her native language. Chiu has worked in the industry for 23 years.

Broker Negligence Attorney

Published on: June 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

GK 7% Bond Investment Losses

Did Your Broker Unsuitably Recommend These Unsecured GK Investment Holdings Bond?

Three years after GK 7% bondholders were asked to trade in their older bonds for newer ones, Shepherd Smith Edwards and Kantas Broker Negligence Attorney team (investorlawyers.com) is investigating claims of unsuitability and misrepresentations and omissions against broker-dealers.

Beneficiary Broker Fraud Lawyers

Published on: June 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Claimant Files Six-Figure Breach of Contract Lawsuit Against Merrill Lynch. Our Beneficiary Broker Fraud Lawyers Filed This Recovery Claim in FINRA Arbitration

Shepherd Smith Edwards and Kantas Beneficiary Broker Fraud Lawyers (investorlawyers.com) are representing a claimant who is pursuing up to $500K in damages from Merrill Lynch, Pierce, Fenner & Smith.

This is a case of alleged breach of contract in which the broker-dealer failed in its duty to properly facilitate a beneficiary transfer involving an annuity—a misstep that could have easily been avoided and that the firm and its registered representative knew/or should have known to execute properly.

Broker Misconduct Attorney

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

Does Your Financial Advisor Know Exactly What He Or She Is Selling? How Due Diligence Failures and Negligence Can Lead To Investor Losses. Our Broker Misconduct Attorney Can Help!

Often, people will hire a financial advisor because they want expert help making investments, managing their portfolios, keeping their assets safe, saving for retirement, or growing their money.

Stockbrokers are professionals who buy and sell stocks and securities for retail investors, accredited investors, wealthy investors, and institutional investors. In return, they are paid a commission or a fee.

Broker Fraud Loss Attorneys

Published on: April 28, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With Former LPL Broker Derek Copeland? Our Broker Fraud Loss Attorneys Are Looking Into Allegations of Selling Way Involving $11M in Outside Investments

Shepherd Smith Edwards and Kantas Broker Fraud Loss Attorneys (investorlawyers.com) are looking into claims of investor losses involving barred LPL Financial stockbroker Derek Lee Copeland. According to the Financial Industry Regulatory Authority (FINRA), the former North Carolina financial advisor allegedly raised almost $11M through 74 transactions involving 19 securities without the knowledge of LPL.

This is an illegal practice known as selling away. He purportedly used unapproved channels when communicating with clients. The self-regulatory organization (SRO) barred Copeland in March 2025.