Broker Misconduct

Investor Sues Emerson Equity Over Inspired Healthcare Capital Losses

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

Investor Sues Emerson Equity And Its Brokers, Under The Moniker “The Sherer Group” Over Inspired Healthcare Capital Losses. Shepherd Smith Edwards and Kantas Inspired Healthcare Capital Fraud Lawyers are Representing This Retiree in His 7-Figure Investment Loss Lawsuit

Another investor is suing Emerson Equity and its brokers Timothy John Sherer, Ryan Jonathan Sherer, Dominic Julio Baldini, Patrick Wang Lam, and Zhi Ying Guan over losses sustained in the beleaguered Inspired Healthcare Capital (IHC). The alternative investment firm is under regulatory investigation by the US Securities and Exchange Commission (SEC).

In his FINRA arbitration claim, this retiree is requesting up to $1,000,000 in damages. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this claimant. We are also representing other IHC investors against Emerson Equity and these same brokers, including a couple that are pursuing up to $5,000,000 in damages.

Broker Dealer Negligence Lawyers

Published on: August 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Investigates Webull Financial After Unauthorized Third Party Allegedly Ran Pump and Dump Scam Involving TLIH Shares In Customers’ Accounts

Our Broker Fraud Law Firm Is Representing Webull Financial Customers

Shepherd Smith Edwards and Kantas Broker Dealer Negligence Lawyers (investorlawyers.com) are offering free case consultations to Webull Financial customers who sustained losses in Ten-League International Holdings Limited (TLIH).

Northstar Bermuda Fraud Attorneys

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Spanish Citizen Sues Osaic Institutions (FKA Infinex Investments) Over Northstar (Bermuda) Losses. Our Northstar Bermuda Fraud Attorneys Are Representing This Claimant in Their Six-Figure Lawsuit

A Spanish retiree is seeking up to $500K in damages from Osaic Institutions (FKA Infinex Investments) for losses he sustained in Northstar Financial Services (Bermuda). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this international investor in FINRA arbitration.

The claimant, who lives in Spain, had an account with Grove Bank & Trust (Formerly known as Coconut Grove Bank) in Florida. This investor was introduced to his then-Infinex Investments broker Alvaro Mauricio Jiron, through the bank. Our client contends that Jiron indicated there was a better way to manage his life savings than to keep them in bank CDs.

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.